Applicant Help Questions and Answers

Last updated April 29, 2009

For both RFA-RR-09-007 and RFA-RR-09-008, applying institutions must be aware that the primary purpose of the American Recovery and Reinvestment Act is to stimulate the creation of jobs. As such, once a project has been put out to bid, it is assumed that the institution has the funds available to complete the project. NCRR will not accept applications for projects that are underway or projects for which bids have already been accepted.

The following questions were received both during and after a March 23, 2009, videocast about the application process for core facilities improvement projects (RFA-RR-09-007) and construction, renovation and repair improvement projects (RFA-RR-09-008).

Eligibility and Use of Funds

1. We are currently in the early construction phase of a new research building. Due to budget concerns the portions of the building will be built as shell space with plans for future completion as funding is available. Could we apply for funds under the C06 RFA to complete shell space that is not yet constructed? Could we apply for funds under the C06 RFA to finish out the building and not include shell space?

Completion of shell space is clearly within scope of the C06 program. Completion of a building in progress might be possible as long as federal dollars are not simply replacing other funds (state or private) that have already been committed to the project.

2. May applicants request funds to renovate multiple separate facilities all at the same institution in the same application?

No. Multiple small projects that are unrelated to each other cannot be bundled together to defeat the minimum budget caps for the G20 and C06 program. There is some flexibility in the rare case where facilities for a particular project are in different buildings (for example requesting funds to improve an animal care facility and also requesting funds to improve a laboratory where the animal tissues will be analyzed that is in a different building.)

3. A planned new facility will have space for multiple science departments. Twenty percent of the space will be devoted to biomedical/behavioral research. Can applicants request support for 20% of the building's total cost?

Yes, as long as specific laboratories are being devoted to biomedical and behavioral research. The application should include information about the entire new structure, but should focus on the specific laboratories that are going to be used for biomedical and behavioral research. The 20% total cost may include 20% of the cost of elevators, heating, ventilation, air conditioning, etc.

4. Are facilities for training eligible for funding?

General classroom facilities are not eligible for funding. Laboratories or facilities that are used for biomedical/behavioral research training are eligible.

5. What are the budget limitations for these programs?

The C06 program is restricted to projects between $2M and $15M. The G20 program is restricted to projects between $1M and $10M. Projects outside of these ranges will be returned as non-responsive. Please remember that there are three receipt dates for the C06 and that projects must use the correct receipt date depending on their budget.

• $2M to $5M: May 6, 2009
• $10M to $15M: June 17, 2009
• $5M to $10M: July 17 2009

6. Can multiple instruments be purchased?

Each piece of movable equipment in the G20 program must cost less than $100K. Multiple pieces of movable equipment can be requested, and the sum of these pieces of equipment can exceed $100K. Applications where the funds requested for equipment are a significant fraction of the overall budget are not likely to be viewed positively by the reviewers or by program staff. The purpose of the G20 program is the renovation and repair of biomedical and behavioral research facilities.

7. We want to renovate shell space to relocate a central core facility. Would it be best to apply under the C06 or G20 program?

Renovation of shell space is only permitted under the C06 program. If this request is to renovate existing laboratory space, either program could be used. In the later case, the number of other C06 and G20 applications from the university, the need for movable equipment, and the overall cost of the project should factor into your decision about which program to use.

8. Will funding be available to support the construction of office space and interview rooms, since those can be the primary research spaces for behavioral research?

Yes.

9. What is fixed equipment?

In addition to attachments to the building, such as wiring and electrical services and fixtures, central air-conditioning and ventilating system, heating system, plumbing, fire protection system, and environmental monitoring system, fixed equipment includes furniture and equipment connected to the building which serves the research program. Some additional examples are: built-in benches, fume hoods, cabinets, counters, tables, lockers, movable partitions, animal cages/racks, cage and bottle washers, distilled water systems, gaseous piping systems, chemical waste disposal systems, refrigeration machinery and equipment, cold environmental room, dish washers, dental chairs and dental treatment units, operating room lights, lights, laboratory benches, sinks/ faucets, emergency eyewash/showers, fume hoods, Bio-safety cabinets, ventilated racks, autoclaves, sterilizers, emergency power generators, and cage washers.

10. Does a -80° freezer count as fixed equipment?

No.

11. If a new animal facility building has been erected but requires support to purchase and install fixed equipment to outfit the facility which is currently on hold due to the economy, can a C06 application be submitted solely to support the outfitting of the facility?

Yes.

12. Will the total funds available in each category of the C06 ($2M-$5M, $10M-$15M and $5M-$10M) be the same?

No. The level of funds in each of the three categories will be determined by the number of applications submitted for each category.

13. Does the G20 include renovations of space to allow a new core facility to be set up, or is it restricted only to renovations and expansions of existing core facilities?

Funding associated with RFA-RR-09-007 can be used to support both core consolidation and the renovation, repair, or improvement of core facilities. Either new or existing core facilities could apply for funds.

14. Can undergraduate institutions or non-profit institutions apply to either RFA-RR-09-007 or RFA-RR-09-008?

Answer: Yes. Eligible organizations are listed in section III part 1.A of each announcement. The principal objective of these programs is to facilitate and enhance the conduct of U.S. Public Health Service-supported biomedical and behavioral research.

15. How should the number of jobs created be estimated and where should that information be included in the application?

The estimate of the number of jobs created or maintained should be uploaded in a separate "Other Attachment". See section IV, part 6 for detailed instructions. The method of estimating the number of jobs created for the application is up to the proposer. Peer reviewers have not been asked to include this estimate in their evaluation of the application. Program staff may use this information when making funding decisions.

The following questions were added to this section on April 8, 2009.

16. Do State Public Health Department laboratories qualify as eligible institutions since they could be considered to be a Regional Organization?

No. Regional organizations do not include state governments.

17. Will applications for construction that is focused on clinical research facilities have a competitive disadvantage?

No. Recently NCRR released a Notice of Clarification concerning our ARRA supported construction programs. That Notice is available at grants.nih.gov/grants/guide/notice-files/NOT-RR-09-011.html. The key sentences in the Notice that address this question are, "Potential applicants are reminded that the major objective of these FOAs is to facilitate and enhance the conduct of biomedical and behavioral research. Applications that are focused in other areas such as health care delivery, health care education, or clinical practice are not responsive to these FOAs." Clinical research is clearly part of "biomedical and behavioral research."

18. Can funding be requested to support a space where research will be conducted 25% of the time with the balance of the time used for clinical practice?

No. Renovated or new space must be devoted to biomedical and behavioral research. Not all parts of a proposed facility need to be used for research, but parts of the project must be devoted exclusively to research. In a mixed use facility, the part of the project devoted to research must be clearly defined.

Design Considerations

1. Please define movable equipment.

The G20 announcement allows both fixed equipment (such as dishwashers, autoclave, fume hood, Biosafety Cabinets, cagewasher, ventilated racks, or animal racks which can be moved in theory but are usually effectively fixed, or other large equipment that is connected to building services) as well as general movable equipment that supports the core facility (such as water purification systems, spectrophotometers, bio safety cabinets, computer servers, centrifuges, electronic testing equipment, pH meters, spectrophotometers, low temperature freezers or specialized equipment needed for a specific community of researchers). Movable equipment may not cost more than $100K in the G20. Any application that requests a single piece of equipment that costs more than $100K will be returned as non-responsive. In the C06 program, movable equipment is not permitted.

2. What is the definition of new construction?

New construction is the erection of a building, structure, or facility which provides space that was not previously available. Examples of new construction include freestanding structures and additional wings or floors. Temporary facilities are not new construction.

3. Are aggressive "design and build" strategies permitted under the C06 and G20 programs?

Both Design-Build and Design-Bid-Build delivery methods are acceptable for NCRR construction projects. Grantees may submit multiple stages of the design process (Schematic Design, Design Development, and Construction Documents) together at their own risk. Funds for construction, renovation, repair, or any other improvements will not be released until final Construction Documents have been approved by NCRR.)

4. Is there a LEED certification minimum for the C06 or G20 programs?

No.

5. Are pre-constructed buildings such as BSL-3 labs allowed either as a separate proposal or as part of a larger proposal?

If these type of laboratories are to be considered, they MUST meet ALL the requirements (without exception), outlined in the NIH DRM (Design Requirement Manual). DRM can be downloaded from the URL indicated in RFA (at the end of section II of RFA)."

6. Does the $100K limit apply to instruments like air conditioner systems or cage washers.

No. Fixed components or subsystems of buildings are not limited to the $100K limit.

7. How can applicants submit vendor quotes at this time for a C06 application that is in the design phase?

Vendor quotes must be included in the application at the time of submission to grants.gov.

8. Are costs for making a biomedical/behavior research facility ADA-compliant/accessible allowable?

Yes. Such costs are allowable in the context of the G20 or C06 programs. However, an application that only requested funds for this purpose would probably not fare well during the peer review process.

9. Would animal caging and runs that are to be fixed to the building for housing "large" animals be allowed in the CO6?

Yes.

10. Is the "Construction Manager at Risk" an acceptable delivery method for these projects?

Yes.

11. Are Metric Standards required for all projects?

Per the NIH Design Requirement Manual," all final drawings and specifications for new construction shall be expressed exclusively in metric units. All facility renovation and addition design projects shall be based on the measurement for which it was originally designed or constructed. If the facility was designed in English, all renovations and additions shall be in English units. Metric units shall be used for buildings renovations and additions originally designed and constructed in metric units."

The following questions were added to this section on April 8, 2009.

12. For a simulation center that will train researchers we will need special infrastructure such as fiber-optic cables and special hard-wiring for cameras and mannequins etc. Are costs for the special infrastructure covered under the C06?

Yes.

13. Is it possible to include modular casework under the CO6 program?

Yes.

Application Review

1. How will projects concerning social and behavioral science research facilities be evaluated?

The review criteria for both the G20 and the C06 program ask reviewers to evaluate "to what extent will the proposed change in the research environment facilitate the applicant institution's ability to conduct, expand, improve, or maintain biomedical or behavioral research." Behavioral research facilities will be given the same consideration as biomedical research facilities.

2. Can an institution have the same PI for both a C06 and a G20?

Both program announcements require that the PI be a highly placed institutional individual who has responsibility for the allocation of space for biomedical or behavioral research. The same individual can be the PI on multiple applications from the same institution.

3. How many pages can the application be?

The entire project narrative can be no more than 20 pages. This includes all sections. The Significance and Need section as well as the Project Management section ARE included in the 20 page limit. The tables and line drawings do not count toward the 20 page limit.

4. Our project cost estimate is made up of individual vendor/subcontractor quotes and is nearly 100 pages long. Is it acceptable to just summarize the quotes or should we attach all of the quotes to the application?

All of the quotes should be uploaded in the other attachments section. A summary of the quotes may also be helpful to reviewers.

5. In a design-build scenario, how does the review process differ from a design-bid-build scenario relative to the review document submittals?

There is no difference in the type of documents that need to be submitted or the level of detail in those documents for these two different scenarios.

6. Can an institution submit more than one application in a specific funding bucket, ie 2 applications in the $10-15M range?

Yes, but remember that there is an overall limitation on the number of applications that can be submitted from each institution.

The following question was added to this section on April 8, 2009.

Can applicants submit two interlinked proposals?

All applications need to be complete and independent. Applications that are not distinct may be returned as non-responsive. Even if related applications are not returned prior to review, an application that refers to a second application is not likely to fare well during peer review.

Grant Management Considerations

1. Can a waiver to the certification requirements under LEED or Green Globes be requested?

Any project that will have a total project cost of more than $10M and/or will impact more than 40% of the overall floor area must obtain certification from the US Green Building Council's Leadership in Energy and Environmental Design or the Green Building Initiative's Green Globes System Certification rating system. The G20 program announcement mentions that a variance to this requirement can be requested, while the C06 does not. Since environmental impact is a key component of the ARRA, NCRR does not anticipate granting waivers to these requirements. Projects should be designed to obtain the appropriate certification.

2. We have been planning a new building, and the construction documents are complete, but the project has not been put out to bid. Can we be reimbursed for the design costs that have already been incurred?

No. Design costs incurred prior to application submission are not allowable.

3. Are multiple similar grant applications permitted to fund the same project that will cost more than $15M?

No. NIH does not accept multiple applications with the same specific aims to compete for funding simultaneously. However, in some cases where there are distinct functional differences, it is possible to submit separate applications. For example, a three-floor building will cost $45M dollars. If all three floors are going to be devoted to space for biochemistry laboratories, it would be necessary to submit one application for $15M and find the additional funds from other sources. However, if the first floor of the building was devoted to biochemistry laboratories, the second floor to animal facilities, and the third floor to magnetic resonance imaging laboratories, it would be possible to submit three $15M applications each of which focused on a different research need.

4. Are projects eligible to apply if construction is already underway but not yet completed?

No. A major purpose of ARRA is to stimulate the creation or maintenance of jobs. No jobs would be created by substituting federal government funding for funding from other sources in the case where a project is already underway or a bid for a project has been accepted.

5. If an institution has completed the construction documents but has not put the project out to bid, can the institution apply under the C06 or G20 program?

Yes.

6. Must an institution have PHS-funded biomedical/behavioral research to be eligible for the C06 or G20 programs?

No.

7. Can funds be requested for renovation to support biomedical or behavioral research in a leased building.

This is allowable as long as the institution maintains a commitment to the renovated space for 10 years from the complete occupancy date.

8. Can funds be requested for temporary swing space to allow a facility to continue to operate during a renovation?

No.

9. We are planning on renovating shell space and then moving laboratories from old existing space that will require substantial renovation. Are there any restrictions on the use of the older space?

No. If a separate application is made to renovate the existing old space, and if that application is funded, the institution must agree to the 10-year use post-occupancy of that space for biomedical/behavioral research.

10. Can the C06 program be used to purchase land or a building?

No.

11. My state does not appear on the State Point of Contact list referred to in the C06 RFA. Can my institution still apply for a C06?

Yes. Not all states participate in this program. Only the states that participate have contacts listed on the Web site.

12. We are currently considering two alternatives: (1) new construction + renovations of existing Lab space which would be under a long-term lease of 15 years or more or (2) purchasing under a condominium arrangement, which would involve "fit out" of the building shell of a former laboratory. Do both of these alternatives qualify under G20 or C06?

Alternative number 1 qualifies for the C06 RFA only. Alternative number 2 qualifies for both the G20 and C06 RFAs.

13. Are you eligible to apply if the direct cost will be less than $2 million in the C06 program or less than $1M in the G20 program?

No.

14. Can two institutions which are close together submit an application together for a coordinated project that will require construction on both campuses?

No.

15. Is the cost of hazardous waste removal an allowable cost on the C06 grant?

Yes.

The following question was added to this section on April 8, 2009.

We are thinking of combining two $7M-$8M proposals, but if we do so we are afraid that we will run into problems with LEED certification. Should we combine the proposals or not?

Although LEED certification is only required when the total project cost is equal to or greater than $10M and/or impacts 40% or more of the overall floor area, that is not the only issue involving the environment in RFA-RR-09-007 and RFA-RR-09-008. Applicants are reminded that "priorities specified in the Recovery Act such as energy efficient building and job creation" will be considered when making funding decisions.