Subject: RFA RR-90-03.082490 NIH Guide 8/24/90
From: Dot Baker <[email-masked]>
To: [email-masked]
Date: Thu, 23 Aug 90 08:12 EST

Hi Again,
   Another one to be posted to the NIH Listserver.  Please post as:
         RFARR-90-03.082490.
  Thanks.
         Dottie
 ---------------------------- Text of forwarded message -----------------------
 
ANIMAL  RESOURCES PROGRAM
 
INFORMATION FOR APPLICANTS
 
RFA:  RR-90-03
 
ANIMAL FACILITY IMPROVEMENTS FOR SMALL RESEARCH PROGRAMS
 
P.T. 34; K.W. 1002002
 
An Administrative Document Issued By:
 
Animal Resources Program
National Center for Research Resources
National Institutes of Health
Department of Health and Human Services
 
August 1990
 
INTRODUCTION
 
The Animal Resources Program (ARP) of the National Center for
Research Resources (NCRR), National Institutes of Health (NIH),
assists institutions in developing and improving animal
resources for biomedical research and research training through
the award of research and resource grants.  For the purpose of
this program, animal resources are defined as all animals,
their associated facilities, and staff which support biomedical
research activities.  The ARP supports various activities which
assist in meeting the animal resource needs of investigators
and the public demand and legal requirements for proper care of
laboratory animals.  This document relates to institutional
animal resource improvement projects which will be supported
with funds anticipated to be made available to the Department
of Health and Human Services (DHHS) in Fiscal Year 1991 for
this activity.
 
PROGRAM GOALS AND SCOPE
 
Animal resource improvement grants are awarded to assist
biomedical research and educational institutions in upgrading
their animal facilities and in developing centralized programs
of animal care.  Another major objective is to enable
institutions to comply with the USDA Animal Welfare Act and
DHHS policies related to the care and use of laboratory
animals.  Allowable requests include alterations and
renovations (A&R) to improve existing laboratory animal
facilities; major resource equipment related to the
improvement, such as animal cage systems and cage washers; and
large items of basic equipment for centralized surgeries or
diagnostic laboratories.  This improvement grant is not
intended to provide operational support for the resource (e.g.,
funding for personnel, consumable supplies for routine animal
care, or small equipment items costing less than $1,000 per
manufacturer's unit).  Equipment to monitor/provide animal
facility security is also not provided under this grant.  To
gain approval and support, both the need for resource
improvements and a sound plan to bring the entire animal
resource to required standards (or to maintain the entire
animal resource at required standards) must be well-described
in the context of the biomedical research programs of the
institution.
 
It is expected that the institution will assume complete
financial responsibility for its basic animal resources after
its facility improvement program is completed.
 
ELIGIBILITY AND SUPPORT
 
Any domestic public or private institution, organization, or
association with one or more research projects supported by an
agency of the Public Health Service (PHS) and which involve the
use of laboratory animals is eligible to apply.  However, the
total amount of PHS support during the institution's current
fiscal year for research projects using animals must be less
than $500,000 (direct costs).  An institution that applies to
this program may not, within the same Federal fiscal year of
PHS funding, also apply for support under the previously issued
Request for Applications, RFA-RR-90-02, entitled "Developing
and Improving Institutional Animal Resources."  The applicant
institution is strongly encouraged to develop a single proposal
for a campus-wide program with a single, centralized animal
care program whenever possible.
 
The total cost of the proposed project may be any amount.
However, for the purposes of this application, the request to
PHS is limited to $150,000 for equipment and $100,000 for A&R.
Matching funds are not required.  Support for new construction,
including completion of shell space, is not authorized.
Following the actual award, funds for A&R will not be released
until final architectural drawings, specifications, and updated
cost estimates are received and approved by NCRR.  Awards will
be made for a period of one year and are not renewable.
However, this does not preclude the submission of applications
for additional improvements or support for other types of
animal resource activities in subsequent fiscal years if an RFA
is issued for these activities.
 
The NCRR anticipates that approximately $1.5 million may be
available to support these animal resource improvement grants
in Fiscal Year 1991.  It is anticipated that approximately 15
awards may be made.  The number and specific amounts of these
awards will depend on the merit and scope of the applications
received and the availability of funds.  All policies and
requirements which govern PHS grant programs will apply.  If
this program is successful, it may be expanded further in
future years.
 
REVIEW PROCEDURES AND CRITERIA
 
Applications will be received by the Division of Research
Grants (DRG).  Applicants must use Form PHS 398 (Rev. 10/88),
"Application for Public Health Service Grant."  There will be a
single receipt date of December 3, 1990.  Applications received
after this date will be returned without further processing.
All applications will be reviewed by a Special Review
Committee(s) managed by NCRR for scientific merit and by the
National Advisory Research Resources Council for program
considerations.
 
Review of animal resource improvement projects will be based on
the request itself as well as on the entire animal resource
program to which the specific improvement request relates.
Factors entering into the appraisal of an animal resource
improvement project include:
 
A.  The Improvement Request
 
1  Need - The extent to which the project will fill a need of
the research and educational community to be served by the
resource will be an important part of the evaluation.  Evidence
of the necessity of resource grant support for improvements
which will enable the institution to meet the standards of the
Animal Welfare Act and DHHS policies on the care and use of
animals should be demonstrated.  The amount(s) and source(s) of
funding for animal-related biomedical research utilizing the
resource will also be evaluated.
 
2  Procedural Plans - Evidence of campus-wide planning to
assure a comprehensive and acceptable research animal program
will be evaluated.  The specific methods proposed will be
judged for scientific and technical soundness and their ability
to meet the applicable standards.
 
3  Budget - The budget will be evaluated in relation to the
program scope, institutional commitment, and justification
provided for the requested items.
 
4  Animal Welfare - The extent to which the project will
enhance the welfare of animals maintained in the facility to be
served by the resource will be an important part of the
evaluation.  An assessment of 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, should be described.  Increases
above the minimum space recommendations for laboratory animals,
as set forth in the "Guide for the Care and Use of Laboratory
Animals" (Guide), HHS, NIH Publication No. 86-23, Revised 1985
edition or succeeding revised editions may be requested by the
applicant from the ARP, NCRR office noted later in this
document.  The overall application will be evaluated for its
scientific merit, technical soundness, and cost effectiveness.
 
B.  The Animal Resources Program
 
The scope of coverage of the animal resources program to be
enhanced by this facility improvement request should be
carefully defined.  Normally, it should cover the entire
applicant institution.
 
1  Animal Care - The quality of the proposed animal husbandry
program will be considered, including training of the animal
technical staff, housing, caging, feeding, record keeping,
sanitation, and other animal care practices.  Consideration of
the animal health program will include clinical services,
laboratory support, preventive medicine programs, and any
relevant specialized procedures.
 
2  Personnel - The adequacy of the staff will be evaluated.
There should be a sufficient number of professional staff with
appropriate qualifications to operate the animal resource in a
competent manner.  Provisions should be made for an adequate
number of appropriately trained non-professional staff and
supporting services.  An appropriate preventive health program
should be in place.
 
3  Administrative Arrangements - An evaluation will be made of
the administrative arrangements for planning and day-by-day
management of the animal resource.  There should be a sound
plan for financial support of the resource, e.g., through a
recharge system.  Previous expenditures by the institution for
capital improvements of the animal resource program should be
described.
 
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.  The adequacy of the physical
environment, buildings, and equipment for the animal resource
will be evaluated.
 
APPLICATION PROCEDURES
 
There will be a single receipt date of December 3, 1990.
Applications received after this date will be returned to the
applicant.  Applications must be submitted on Form PHS 398
(Rev. 10/88), the application form used for research grants.
Application kits can be obtained from most institutional
business offices, or from the Division of Research Grants, NIH,
(see address at end of this document).  The RFA label included
in Application Form PHS 398 must be affixed to the bottom of
the face page.  Failure to use this label could result in
delayed processing of the application such that it may not
reach the review committee in time for review.  The format and
details applicable to regular research grant applications
should be followed, except for the following:
 
SECTION 1
 
A.  Face Page of the Application  - Item 2 - Check the box
marked "Yes" and type in the number and title of this RFA (RFA
#RR-90-03, "Animal Facility Improvements for Small Research
Programs").
 
Item 5 - Check the box marked "No" at Item 5a.  Item 5b - Not
applicable.
 
B.  Key Personnel - Application Page 2 - All key personnel
should be listed here with the percent effort to be devoted to
the animal resource even though salary support is not
requested.  This must include the chief or consulting
veterinarian.  It may also include the principal investigator,
director of the animal facility, or chief animal technician, as
appropriate.  Biographical sketches must be provided for all
personnel listed.
 
C.  Table of Contents - Indicate page numbers for all major
headings outlined under Section 1 and Section 2, Research Plan.
This is very helpful to the reviewers of the application.
 
D.  Detailed Budget - Application Page 4 - The total request
for PHS support may not exceed $250,000.  Of this total, the
A&R request may not exceed $100,000 and the Equipment request
may not exceed $150,000.  No matching funds are required.
 
Personnel Category - List only those individuals who will
devote time/effort to the execution of the facility improvement
project and the time/effort required.  Salary support should
not be requested.
 
The requested budget should be limited to items of major
equipment for animal care or other aspects of the facility's
functions, and A&R.  Equipment should be classified as movable
or fixed, using the institution's own classification guidelines
as provided by its Business Office.  Fixed equipment is
considered as part of the A&R request.  Small equipment items
costing less that $1,000 per manufacturer's unit should not be
requested.  This includes multiple polycarbonate rodent cages
for replacement or change-out purposes.  However, as an
exception to this, microisolator cages are acceptable if an
appropriate change station is also purchased or is already
available.  To avoid deletion, requests for items that may
require the purchase of small component parts, i.e., a rack and
cages, should be priced as a single item, but a description of
the individual components must be provided (see below).
 
Large items of basic surgical equipment, such as tables,
lights, and gas anesthesia machines may be requested if the
operating room is an integral part of the animal facility and
is available to all investigators.  Such a request must be
justified by listing the number of investigators, case load,
and types of surgeries involved.  Similarly, basic diagnostic
equipment to be used in support of the animal facility, but not
for research, will be allowed if adequate justification is
given.  Office equipment (including data processing items) and
research equipment should not be requested.  Physical facility
security systems are not allowable, but systems for
environmental monitoring are acceptable.
 
Each major equipment item must be fully described.  The
manufacturer, model number, size, capacity, design criteria,
total unit cost, and facility where it will be used should be
included.  This information should be provided on a separate
page immediately following the budget section and should not be
in an appendix.
 
On the budget page, the total cost of the equipment and A&R
needed for the project described should be entered in the
rectangular space under the appropriate headings on the left.
The right hand column should reflect only the amount being
requested from the PHS.  The Total Direct Costs (bottom right
hand column total) should be the total application request to
the PHS, not including funds from other sources.  These data
should be summarized in tabular form.  (Contact the Animal
Resources Program at address below for suggested format.)
 
E.  Budget for Entire Proposed Project Period - Application,
Page 5 - Not applicable.
 
F.  Justification - Application, Page 5 - Justification should
be provided for all equipment items requested in terms of the
proposed improvement program.  Failure to adequately justify
each requested item will likely result in its deletion from the
recommended budget.  In this section, justification may be
relatively brief, e.g., "The cage washer is needed to wash
cages in the Life Sciences Center because the current unit
frequently breaks down and replacement parts are no longer
available."   More extensive justification may be provided in
the body of the narrative (SECTION 2, D.2.f.).  As part of the
justification, additional information, such as, the species,
number of animals, cages, tests, or surgeries involved, should
be provided as appropriate.  The location and use of each item
of equipment should be clearly described.  The lack of adequate
justification for requested items has been a major weakness of
applications in the past.
 
G.  Summary Sheets - These sheets have been developed to assist
applicants in preparing the application as well as to assist the
reviewers in reviewing the application.  The summary sheets
should be filled out as appropriate and placed between the
Budget Justification and the Biographical Sketches section of
the application.  (Contact the Animal Resources Program at the
address below for samples of these sheets.)
 
SECTION 2 - Research Plan
 
The points identified under REVIEW PROCEDURES AND CRITERIA, should be
carefully considered when this section is prepared.  Please
note the instructions on Page 20 of Form PHS 398 concerning the
limitation of 20 pages for Sections A-D of the Research Plan.
 
A.  Specific Aims - (Limit to 1 page)
 
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.
 
B.  Background and Significance - (Limit to 2-3 pages)
 
This section should demonstrate the institution's overall
involvement in animal related research.  In addition, the
following information for the last fiscal year should be
provided as shown on the sample Data Sheet (contact the Animal
Resources Program at address below for sample data sheet):  1)
the institution's total annual research budget that involves
the use of animals (institution's current fiscal year should be
used); 2) the annual dollar level from PHS vs. non-PHS sources
that make up this budget; and 3) the institution's total number
of projects using laboratory animals.  Failure to provide this
data will weaken the application.
 
This section should also be used to relate the significance of
the proposed resource improvement project to the institution's
overall biomedical research programs, as well as to the
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 on an annual basis (institution's
current fiscal year) for each, must be indicated.  At least one
currently active, PHS-supported research project that involves
the use of animals in the facility to be supported, must be
identified in order to be eligible for consideration.
 
C.  Progress Report/Preliminary Studies - Not applicable.
 
D.  Experimental Design and Methods - This section should
provide a clear and concise overall description of the
institution's animal care and use program.  It should also
demonstrate how the facility improvement program will enhance
the resource and how it fits into the institution's overall
plan to meet or maintain PHS standards for animal care and use.
The equipment items requested should be justified as part of
this narrative.  The A&R request should be described/justified
as indicated in Paragraph 2.g. below.
 
1  Introduction - Provide relevant background information and a
description of the current status of the institution's animal
resource facilities and program as they relate to biomedical
research and research training.  Include relevant information
regarding deficiencies in the animal care program which has
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.  This information is an important
method of documenting the need for facility improvement
support.
 
2  Project Plan - This section should describe how the
requested improvements will accomplish the Specific Aims
presented in Item A.  It is important to show how the requested
improvements will correct the deficiencies and problems
documented above.  This part should also include a description
of the following aspects of the animal resource and an
explanation of how they will be affected by the project plan:
 
a.  Administrative arrangements and structure of the animal
resource.  The lines of authority and responsibility for
administering the institution's program for the care and use of
animals 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.  The campus-
wide planning process, which resulted in this proposal, should be
described.
 
b.  Animal care procedures and the animal health program.  This
section should include information on veterinary oversight,
vendor surveillance, conditioning programs, colony and
environmental monitoring, and diagnostic capabilities in
anatomic pathology, clinical chemistry, hematology, and
microbiology.  The general description of the animal care
program should be supported by data which characterizes various
activities, such as numbers of laboratory procedures for
monitoring and disease diagnosis, veterinary inspections for
animal health, etc.  If specialized equipment, such as
microisolators, is requested, it should be part of an overall
system, and the husbandry program to utilize this equipment
should be carefully outlined.  Failure to carefully describe
the basic program of animal care, including veterinary care,
has been a major weakness of many applications.
 
c.  Outline the total staff and functional organization of the
animal resource, both current and planned following the
requested improvements.  Outline the qualifications of the
animal care staff and the training opportunities available to
them.
 
d.  List all current financial support for the animal resource,
including sources and amounts (e.g., recharge, core funding
from the institution, etc.) and the operating budget (listed by
major categories).  Provide a copy of per diem and service
charge schedules and indicate their method of determination.
The latter information may be included in an Appendix.
 
e.  Expenditures for capital improvements (facilities and
equipment) during the past five years and future plans for such
needs should be described.  Any previous support for
improvement of the institution's animal facilities from the
Animal Resources Program, NCRR, NIH, should be noted.  How this
support was utilized and its effect on the animal care program
should be briefly described.
 
f.  Provide a brief description of all on- and off-campus
animal facilities, including sites where experimental surgery
is performed.  Indicate who is responsible for the direction
and day-to-day management of each animal facility.  This
section should justify the need for specific items of
equipment, in relationship to the various facilities where they
will be located (See D.2.g. below for A&R).  The reason for the
need, the facility that will be affected, and the ultimate
improvement of the overall animal care program should be
clearly described.  As shown on the sample Data Sheet (contact
the Animal Resources Program at address below for sample data
sheet), indicate the number of animals (by species) used or
produced per year, and the average daily census for each major
component of the animal resource.  If equipment is requested
for surgical or diagnostic facilities, the case load, species,
and types and numbers of surgeries or diagnostic tests must be
documented on the Data Sheet.  These data are critical to the
evaluation of the application, as well as for the justification
of need.
 
g.  For any proposed A&R, a narrative summary (as outlined
below), line drawings, and cost estimates must be supplied.
(See sample formats for cost estimates.)  The total PHS support
for the A&R category is limited to $100,000.  If the total cost
exceeds this amount, the source(s) of additional funds must be
provided.  If multiple sites are involved, the A&R, including
the cost estimate proposed for each site, should be described
separately.  The following narrative format should be followed:
 
Narrative Summary
 
(1) Relate the proposed renovations to projected animal
populations by species and research projects that will utilize
the facility.  Daily and annual census data (by species) must
be provided.  The animal care and use program for the animal
facility which is to be renovated must be well described in
D.2.b., Animal care procedures and the animal health plan,
above.
 
(2) List the functional components, with 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 requested for the renovated area.
 
(6) List all movable equipment requested for the renovated
area.
 
Line Drawings (On 8-1/2" x 11" paper only, DO NOT SUBMIT
BLUEPRINTS) - These drawings will not be counted within the 20
page limit for Section 2.
 
All floor plans must be legible, with the scale clearly
indicated.
 
(1) The plot plan should indicate the location of the proposed
renovation area in the building.
 
(2) Include the as-built drawings of the proposed renovation
area and indicate any demolition.
 
(3) Provide the architectural plan(s) of the proposed
renovation at a scale adequate to explain the project.  The
plans 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.
 
(4) Changes or additions to existing mechanical and electrical
systems should be clearly explained in notes made directly on
the plan or attached to the plan.
 
(5) A Finish Schedule, indicating the type(s) of new finishes
to be applied to room surfaces, should be included in the plan.
 
SECTION 3  Appendix Material
 
All information critical for the review must be included in
Sections 1 and 2 of the application.  Be very selective and
include only relevant supplementary information in the
appendix.  Do not include standard references or other
generally available information.  Six collated sets of the
appendix material should be included in the application
package.  All appendix material must be identified with the
name of the Principal Investigator and the institution.  Do not
mail this appendix material separately, but include it with the
original grant application.
 
APPLICATION PROCEDURE
 
1  The completed original application and four copies should
be mailed or delivered to:
 
Division of Research Grants
National Institutes of Health
Westwood Building, Room 240
Bethesda, Maryland  20892**
 
2  An additional two copies of the application should be mailed
to:
 
Executive Secretary
Animal Resources Review Committee
National Center for Research Resources
Westwood Building, Room 10A16
National Institutes of Health
5333 Westbard Avenue
Bethesda, Maryland  20892
 
To ensure their timely review, applications must be received by
the close of business December 3, 1990.  Applications received
after this date will be returned without further processing.
This one-time request for applications is based on the Fiscal
Year 1991 President's budget.
 
INQUIRIES ABOUT APPLICATION AND OTHER ASPECTS OF THE PROGRAM
SHOULD BE DIRECTED TO:
 
Animal Resources Program
National Center for Research Resources
Westwood Building, Room 857
National Institutes of Health
5333 Westbard Avenue
Bethesda, Maryland  20892
Telephone:  (301) 496-5175
 
APPLICATION FORMS (PHS 398) MAY BE OBTAINED FROM:
 
Office of Grants Inquiries
National Institutes of Health
Westwood Building, Room 449
5333 Westbard Avenue
Bethesda, Maryland  20892
Telephone:  (301) 496-7441