NOTE: Foreign institutions are not eligible to apply.

1.B. Eligible Individuals

Any individual with the skills, knowledge, and resources necessary to carry out the proposed occupational safety and health training program is invited to work with their institution to develop an application for support. Individuals from underrepresented racial and ethnic groups as well as individuals with disabilities are always encouraged to apply for NIOSH programs.

2. Cost Sharing or Matching

Cost sharing is not required.

3. Other-Special Eligibility Criteria

An applicant institution may only submit one application under this announcement.

Note: Title 2 of the United States Code Section 1611 states that an organization described in Section 501(c)(4) of the Internal Revenue Code that engages in lobbying activities is not eligible to receive Federal funds constituting an award, grant, or loan.

Section IV. Application and Submission Information

1. Address to Request Application Information

The PHS 398 application instructions are available at http://grants.nih.gov/grants/funding/phs398/phs398.html in an interactive format. Applicants must use the currently approved version of the PHS 398. For further assistance contact GrantsInfo, Telephone (301) 435-0714, Email: GrantsInfo@nih.gov.

Telecommunications for the hearing impaired: TTY 301-451-0088.

2. Content and Form of Application Submission

Applications must be prepared using the most current PHS 398 research grant application instructions and forms. Applications must have a D&B Data Universal Numbering System (DUNS) number as the universal identifier when applying for Federal grants or cooperative agreements. The D&B number can be obtained by calling (866) 705-5711 or through the web site at http://www.dnb.com/us/. The D&B number should be entered on line 11 of the face page of the PHS 398 form.

The title and number of this funding opportunity must be typed on line 2 of the face page of the application form and the YES box must be checked.

The application for this program uses both the detailed budget page (form pages 4 and 5) and substitute form page 4 (“NRSA Substitute Detailed Budget for Initial Budget Period Direct Costs”) and substitute form page 5 of the 398 application. Applicants that do not submit the budget in the required format will have their applications returned as non-responsive. Limits on funding levels for each component are listed below in section IV.6.. “Other Submission Requirements.” Supplementary instructions to assist the program director with the preparation of the application is provided on the NIOSH web site at the following address: http://www.cdc.gov/niosh/oep/training.html

SUPPLEMENTAL INSTRUCTIONS

All training activities should be consistent with the goals of the TPG and should be based on well documented occupational safety and health training needs. The applicant should follow the special instructions for institutional training grants contained within the PHS 398 instructions. In addition, supplemental instructions for preparing a training program application are provided at http://www.cdc.gov/niosh/oep/training.html. The applicant should follow the page limits specified in the outline below, and ensure that each training activity is clearly described and identified. The application should be organized as indicated below:

TABLE OF CONTENTS FOR A TRAINING PROJECT GRANT APPLICATION

In order to facilitate the preparation and review of the TPG application, the following Table of Contents should be used. It is a minor modification of the PHS 398 Substitute Form Page 3 Table of Contents.

Note: Type density and size throughout the entire application must conform to the limits provided on page 14 in the PHS 398 instructions.

An appendix is permitted but should include only those materials appropriate for the proposed program.  Appendices are commonly provided with TPG applications and are encouraged, especially course descriptions, sample curricula, and course brochures. Syllabi for academic disciplinary areas and publications and manuscripts that are related to research projects may also be included. Appendix materials must be supplied in the form of a PDF file contained on a CD ROM disk. Please follow the guidelines for creating PDF files provided by the eRA Commons (see http://era.nih.gov/ElectronicReceipt/pdf_guidelines.htm). Paper copies of appendix materials will not be accepted. Otherwise, the preparation of appendices should conform to the guidelines described by the PHS 398 Instructions (see http://grants.nih.gov/grants/funding/phs398/phs398.html).

3. Submission Dates and Times

See Section IV.3.A for details.

3.A. Receipt, Review and Anticipated Start Dates

Letters of Intent Receipt Date: NA
Application Receipt Date(s): August 24, 2006; August 24, 2007
Peer Review Date(s): February/March each year
Council Review Date(s): May each year
Earliest Anticipated Start Date(s): July 1 each year

3.A.1. Letter of Intent

A letter of intent is not required for the funding opportunity.

3.B. Sending an Application to the NIOSH

Applications must be prepared using the research grant application forms found in the PHS 398 instructions for preparing a research grant application. Submit a signed, typewritten original of the application, including the checklist, and three signed photocopies in one package to:

Center for Scientific Review
National Institutes of Health
6701 Rockledge Drive, Room 1040, MSC 7710
Bethesda, MD 20892-7710 (U.S. Postal Service Express or regular mail)
Bethesda, MD 20817 (for express/courier service; non-USPS service)

At the time of submission, two additional copies of the application and five CD ROM disks containing appendix materials (if any) must be sent to:

Charles N. Rafferty, Ph.D.
Assistant Director for Review and Policy
Office of Extramural Programs
National Institute for Occupational Safety and Health, Centers for Disease Control and Prevention
1600 Clifton Road, N.E, MS E-74
Atlanta, GA 30333
Telephone: (404) 498-2582
FAX: (404) 498-2571
Email: cor9@cdc.gov

Personal deliveries of applications are no longer permitted (see http://grants.nih.gov/grants/guide/notice-files/NOT-OD-03-040.html).

3.C. Application Processing

Applications must be received on or before the application receipt/submission date(s) described above (Section IV.3.A.). If an application is received after that date, it will be returned to the applicant without review .

Upon receipt applications will be evaluated for completeness by CSR. Incomplete applications will not be reviewed.

NIOSH will not accept any application in response to this funding opportunity that is essentially the same as one currently pending initial merit review unless the applicant withdraws the pending application. NIOSH will not accept any application that is essentially the same as one already reviewed. This does not preclude the submission of a substantial revision of an application already reviewed, but such application must include an Introduction addressing the previous critique.

Although there is no immediate acknowledgement of the receipt of an application, applicants are generally notified of the review and funding assignment within eight (8) weeks.

4. Intergovernmental Review

This initiative is not subject to intergovernmental review.

5. Funding Restrictions

All CDC NIOSH awards are subject to the terms and conditions, cost principles, and other considerations described in the PHS Grants Policy Statement. Additional guidance can be found at NIH Grants Policy Statement: http://grants.nih.gov/grants/policy/policy.htm.

Indirect costs are limited to 8%. Indirect costs are not paid on equipment or tuition and fees.

6. Other Submission Requirements

Applications for this announcement will use the budget form page 4 and 5 and NRSA substitute form page 4 and 5 to display and justify the budgets. The facilities and administrative costs for this program are limited to 8% of the total direct costs, exclusive of tuition and fees, and equipment. The NIOSH web site provides an example of tables for this program. The web address is http://www.cdc.gov/niosh/oep/training.html.

Individuals may receive up to five years of support at the predoctoral level. Stipends, tuition, and fees may only be paid for two years for full time masters trainees and four years for doctoral trainees from this award. Stipends are not allowed for part-time trainees.

Funding may be requested up to the levels described below. Unless an applicant receives written permission from the NIOSH program official named below, any requests for funding above these levels will cause the application to be determined non-responsive, and the application will not be reviewed.

Trainee Stipends

Stipends are provided as a subsistence allowance to help trainees defray living expenses during the training experience. It is not provided as a condition of employment with either the Federal Government or the awardee institution. Stipends may be paid to eligible trainees. Stipend budgets must be based on the levels established for the current fiscal year of the grant. For appointments of less than a full year, the stipend will be based on a monthly or daily pro-ration. The monthly stipend amount is calculated by dividing the current annual stipend by 12. The daily stipend is calculated by dividing the current annual stipend by 365.

Tuition and Fees

The institution may request tuition and fees (including appropriate health insurance) only to the extent that the same resident or nonresident tuition and fees are charged to regular non-Federally supported students. Tuition at the postdoctoral level for Occupational Medicine Residents is limited to that required for specified courses.

Other Trainee Costs

Trainee travel, including attendance at scientific meetings that the institution determines to be necessary to the individual's training, is an allowable trainee expense.

Additional support for travel to a training experience away from the institution may be permitted. Training experiences away from the parent institution must be justified considering the type of opportunities for training available, the manner in which these opportunities differ from and compliment those offered at the parent institution, and the relationship of the proposed experience to the trainee's career stage and goals. This type of training requires prior approval from NIOSH. Letters requesting such training may be submitted to NIOSH at any time during the award period.

Trainee Related Expenses

Funds may be requested to defray the cost of other training related expenses such as staff salaries, consultant costs, equipment, supplies, and travel expense for the training faculty. Because there are core costs that are fixed, the following scale should be used to determine the training related expenses. For the core academic programs (IH,OS, OHN), training related expenses are up to $12,000 per full time trainee supported by the TPG award for the first five (5) trainees, and up to $1,000 per each additional full time/full time equivalent trainee supported by the TPG award. For the allied OSH programs, training related expenses are up to $12,000 per full time trainee supported by the TPG award for the first three (3) trainees, and up to $1,000 per each additional full time/full time equivalent trainee supported by the TPG award. For an academic OMR program training related expenses are up to $20,000 per full time resident for the first four (4) residents, and up to $5,000 per each additional full time/full time equivalent resident supported by the TPG award. However, training related expenses cannot exceed 35% of the program budget. The training programs use substitute form page 4, and in the training related expense section, the name of the students and academic status (full time (ft), half time(1/2) , one third time (1/3) are listed. Because many programs provide support for trainees from other sources, it is appropriate to list all trainees in the program. If needed, use a continuation page to list the names of the trainees. For programs that have vacant positions that will be filled during the year, enter TBN for each position requested.

Diversity Recruitment Plan (REQUIRED)

Up to $2,000 in direct costs may be requested per year. Include in the overall budget page under “Trainee Related Expenses”, and label it Diversity. A detailed budget for this activity is not required, however in the budget justification; the program director should describe the use of these funds.

Appendix material must be supplied as a PDF file on a CD ROM disk. Please follow the guidelines for creating PDF files provided by the eRA Commons (see http://era.nih.gov/ElectronicReceipt/pdf_guidelines.htm). Paper copies of appendix materials will not be accepted. Otherwise, the preparation of appendices should conform to the guidelines described by the PHS 398 Instructions (see http://grants.nih.gov/grants/funding/phs398/phs398.html).

Plan for Sharing Research Data

Not Applicable.

Sharing Research Resources

Not Applicable.

Section V. Application Review Information

1. Criteria

Only the review criteria described below will be considered in the review process.

2. Review and Selection Process

Applications that are complete will be evaluated for scientific and technical merit by an appropriate review group convened by NIOSH in accordance with the review criteria stated below.

As part of the initial merit review, all applications will:

• Receive a written critique
• Receive a second level of review by the NIOSH Secondary Review Committee

The following will be considered in making funding decisions:

• Scientific merit of the proposed project as determined by peer review
• Availability of funds
• Relevance of program priorities
• Balance among the academic disciplines for all training programs
• Institutional support for the program
• Amount of peer reviewed support of faculty that is related to OSH

The NIOSH objectives include the support of education programs that train personnel to address occupational safety and health issues. In the written comments, reviewers will be asked to discuss the following aspects of the application in order to judge the likelihood that the proposed training program will have a substantial impact on the pursuit of these objectives. The scientific review group will address and consider each of these criteria in assigning the application's overall score, weighting them as appropriate for each application.

SITE VISITS

Site visits are not part of the review plan for this program, and will only be used in rare circumstances.

A site visit to the applicant institutions may be made (but such site visits are not assured) to evaluate the overall merit of the application. The site visit team includes members of the Special Emphasis Panel who have expertise in major academic training, continuing education, facilities, outreach, and other activities of the proposed Center, the NIOSH Scientific Review Administrator, and NIOSH staff observer(s).

A site visit is not a prerequisite and is not assured for consideration of an application by NIOSH. Therefore, the application is considered a complete document for review purposes. Furthermore, the applicant should not use the site visit as an occasion for adding programs or personnel, for making major changes, or for delivering another exposition of the application. Rather, it should be used by the program director and associates to elaborate on the program and core units, cost effectiveness and quality control features of the core units, and on other activities for which funding is requested, as well as to answer reviewers' questions. The site visit team will not consider any area that is presented for evaluation at the site visit which has not been included in the application. Budgetary changes also will not be considered at the time of a site visit. The findings of the site visit team are reported and discussed by the members of the SEP, which makes the final peer review recommendations and assigns the priority score.

REVIEW CRITERIA TRAINING PROGRAMS

Core and other OSH Academic Training Programs

• SIGNIFICANCE: The potential impact of the program in meeting the regional and national needs for occupational safety and health training.

• PAST PERFORMANCE: The adequacy of the record of the program in training and the success of graduates as documented in part by the required table that includes numbers of trainees, length of training, employment history, placement, and location and type of placement; and further documented through progress in their careers after graduation. Evidence of career development can include receipt of fellowships, career awards, further training appointments, a record of successful competition for grants, receipt of special honors or awards, a record of publications, receipt of patents, promotion to scientific positions, and any other measures of success consistent with the nature and duration of the training received.

• APPROACH: The adequacy of the curriculum content and design, the formal training objectives, and the plans to meet the professional needs. Is the course content adequate to achieve the proposed degree? Are the courses, course sequence, time devoted to lecture, laboratory, and field experience, and the nature of specific field and clinical experiences including their relationships with didactic programs consistent with a high quality, innovative program? Is there adequate consideration of requirements for information dissemination and special industrial, labor or community training needs that may be peculiar to the region? Is it likely that the academic training program can achieve the targeted enrollment? How adequate is the plan for tracking the careers of trainees? Is there an adequate plan for an advisory committee that includes members from industry and labor?

• INNOVATION: The degree of innovation of the program. Does the academic program involve new and innovative approaches to training and education relevant to the occupational safety and health field?

• ENVIRONMENT: Quality, sufficiency, and multidisciplinary character of the training and research environment. Is the level of institutional commitment, quality of available facilities, courses, research and research training support suitable?  Is the proposed program to be an integral component of the applicant institution’s overall research program/mission?  Is there a record of success in obtaining outside support to supplement the academic program such as other federal grants, support from states and other public agencies, and support from the private sector?

• TRAINING STAFF: The qualifications of the Program Director and faculty in delivering academic training in the proposed field. Does the Program Director have the scientific background, expertise, and experience appropriate to direct, manage, coordinate, and administer the proposed research training program?  Does the Program Director plan to commit adequate time to the program? For doctoral and post-doctoral training programs, do the teaching staff and mentors have experience as research investigators in occupational safety and health as evidenced by peer-reviewed publications and research grant support? Are there sufficient numbers of experienced mentors to support the number and levels of trainees proposed in the application?

• CANDIDATES: The quality of the recruitment pool, the adequacy of plans for recruiting trainees from this pool in the proposed academic area, and the adequacy of plans for recruiting candidates from underrepresented groups.

2.A. Additional Review Criteria:

In addition to the above criteria, the following items will continue to be considered in the determination of scientific merit and the priority score:

Protection of Human Subjects from Research Risk: The involvement of human subjects and protections from research risk relating to their participation in the proposed research will be assessed (see the Research Plan, Section E on Human Subjects in the PHS Form 398).

Inclusion of Women, Minorities and Children in Research: The adequacy of plans to include subjects from both genders, all racial and ethnic groups (and subgroups), and children as appropriate for the scientific goals of the research will be assessed. Plans for the recruitment and retention of subjects will also be evaluated (see the Research Plan, Section E on Human Subjects in the PHS Form 398).

Care and Use of Vertebrate Animals in Research: If vertebrate animals are to be used in the project, the five items described under Section F of the PHS Form 398 research grant application instructions will be assessed.

Biohazards: If materials or procedures are proposed that are potentially hazardous to research personnel and/or the environment, determine if the proposed protection is adequate.

2.B. Additional Review Considerations

Minority Recruitment and Retention Plan: NIOSH remains committed to increasing the participation of individuals from underrepresented minority groups in biomedical and behavioral research. All competing applications for institutional training grants must include a specific plan to recruit and retain underrepresented groups in the training program. In addition, all competing continuation applications must include a report on the recruitment and retention of underrepresented groups during the previous award period. If an application is received without a plan or without a report on the previous award period, the application will be considered incomplete and will be returned to the applicant without review. NIOSH follows the NIH requirements which were published in the NIH Guide for Grants and Contracts, Volume 22, Number 25, July 16, 1993 (see http://grants.nih.gov/grants/guide/notice-files/not93-188.html).

Competing continuation applications must include a detailed account of experiences in recruiting individuals from underrepresented groups during the previous funding period. Information must be included on successful and unsuccessful recruitment strategies. The report should provide information on the racial/ethnic distribution of:

The success of efforts to recruit and retain minority trainees is a factor in the assessment of the quality of the trainee pool and thus will be included within the priority score. In addition, peer reviewers will separately evaluate the minority recruitment plan and report (for competing renewals) after the overall score has been determined. Reviewers will examine the strategies to be used in the recruitment of minorities and whether the experience in recruitment during the previous award period has been incorporated into the formulation of the plan for the next award period. The review panel's evaluation will be included in an administrative note in the summary statement. If the plan or the record of minority recruitment and retention is judged to be unacceptable, funding will be withheld until a revised plan (and report) that addresses the deficiencies is received. Staff within the NIOSH, with guidance from the NIOSH Secondary Review Committee, will determine whether amended plans and reports submitted after the initial review are acceptable.

Training in the Responsible Conduct of Research: Every Doctoral and Masters [research] trainee supported by an institutional training grant must receive instruction in the responsible conduct of research. (NIOSH follows the NIH policies for this requirement, see the NIH Guide for Grants and Contracts, Volume 21, Number 43, November 27, 1992, see http://grants.nih.gov/grants/guide/notice-files/not92-236.html.)

Applications must include a description of a program to provide formal or informal instruction in scientific integrity or the responsible conduct of research. Applications without plans for instruction in the responsible conduct of research will be considered incomplete and will be returned to the applicant without review.

Although the NIH and NIOSH do not establish specific curricula or formal requirements, all programs are encouraged to consider instruction in the following areas: conflict of interest, responsible authorship, policies for handling misconduct, data management, data sharing, and policies regarding the use of human and animal subjects. Within the context of training in scientific integrity, it is also beneficial to discuss the relationship and the specific responsibilities of the institution and the graduate students appointed to the program.

Plans must address the subject matter of the instruction, the format of the instruction, the degree of faculty participation, trainee attendance, and the frequency of instruction. The rationale for the proposed plan of instruction must be provided.

Program reports on the type of instruction provided, topics covered, and other relevant information, such as attendance by trainees and faculty participation, must be included in future competing continuation and non-competing applications. The NIOSH encourages institutions to provide instruction in the responsible conduct of research to all graduate students, and research staff regardless of their source of support.

NIOSH initial review group will assess the applicant's plans on the basis of the appropriateness of topics, format, amount and nature of faculty participation, and the frequency and duration of instruction. The plan will be discussed after the overall determination of merit, so that the review panel's evaluation of the plan will not be a factor in the determination of the priority score. Plans will be judged as acceptable or unacceptable. The acceptability of the plan will be described in an administrative note on the summary statement. Regardless of the priority score, applications with unacceptable plans will not be funded until the applicant provides a revised, acceptable plan. NIOSH Staff will judge the acceptability of the revised plan.

Following initial review, the NIOSH Secondary Review Committee will consider the assessment of the scientific and educational merit of the research training grant application as well as the initial review group's comments on the recruitment of individuals from underrepresented groups and the plan for instruction in the responsible conduct of research.

Budget: The reasonableness of the proposed budget and the requested period of support in relation to the proposed research. The priority score should not be affected by the evaluation of the budget.

2.C. Sharing Research Data

Not applicable.

2.D. Sharing Research Resources

Not applicable.

3. Anticipated Announcement and Award Dates

Not applicable.

Section VI. Award Administration Information

1. Award Notices

After the peer review of the application is completed, the Program Director will receive a written critique called a Summary Statement.

If the application is under consideration for funding, NIOSH may request "just-in-time" information from the applicant. For details, applicants may refer to the NIH Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards, Subpart A: General (http://grants.nih.gov/grants/policy/nihgps_2003/NIHGPS_part4.htm).

If the application is selected for funding, a formal notification in the form of a Notice of Award (NoA) will be provided to the applicant organization. The NoA signed by the grants management officer is the authorizing document. Once all administrative and programmatic issues have been resolved, the NoA will be generated via email notification from the awarding component to the grantee business official (designated in item 12 on the Application Face Page) and Program Director. If a grantee is not email enabled, a hard copy of the NoA will be mailed to the business official.

Selection of an application for award is not an authorization to begin performance. Any costs incurred before receipt of the NoA are at the recipient's risk. These costs may be reimbursed only to the extent considered allowable pre-award costs. See Also Section IV.5. Funding Restrictions.

2. Administrative and National Policy Requirements

All NIH grant and cooperative agreement awards include the NIH Grants Policy Statement as part of the NoA. For these terms of award, see the NIH Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards, Subpart A: General (http://grants.nih.gov/grants/policy/nihgps_2003/NIHGPS_Part4.htm) and Part II Terms and Conditions of NIH Grant Awards, Subpart B: Terms and Conditions for Specific Types of Grants, Grantees, and Activities (http://grants.nih.gov/grants/policy/nihgps_2003/NIHGPS_part9.htm).

3. Reporting

Awardees will be required to submit the PHS Non-Competing Grant Progress Report, Form 2590 annually (http://grants.nih.gov/grants/funding/2590/2590.htm) and financial statements as required in the NIH Grants Policy Statement.

Section VII. Agency Contacts

We encourage your inquiries concerning this funding opportunity and welcome the opportunity to answer questions from potential applicants. Inquiries may fall into three areas: scientific/research, peer review, and financial or grants management issues:

1. Scientific/Research Contacts:

John T. Talty, MS, P.E.
Office of Extramural Programs
National Institute for Occupational Safety and Health
4676 Columbia Parkway, Mail stop C- 7
Cincinnati, OH 45226-1998
Telephone: (513) 533-8241
FAX: (513) 533-8564
Email: jtt2@cdc.gov

2. Peer Review Contacts:

Charles N. Rafferty, Ph.D.
Assistant Director for Review and Policy
Office of Extramural Programs
National Institute for Occupational Safety and Health/CDC
1600 Clifton Road, N.E.
Building 24, Room 1536, MS E-74
Atlanta, GA 30333
Telephone: (404) 498-2582
FAX: (404) 498-2571
Email: cor9@cdc.gov

3. Financial/Grants Management Contacts:

Peter Grandillo
Grants Management Branch, Procurement and Grants Office
Centers for Disease Control and Prevention
626 Cochrans Mill Road
Pittsburgh, Pennsylvania 15236-0070
Telephone: (412) 386-6834
FAX: (412) 386-6459
Email: png2@cdc.gov

Section VIII. Other Information

Required Federal Citations

Use of Animals in Research:
Recipients of PHS support for activities involving live, vertebrate animals must comply with PHS Policy on Humane Care and Use of Laboratory Animals (http://grants.nih.gov/grants/olaw/references/PHSPolicyLabAnimals.pdf) as mandated by the Health Research Extension Act of 1985 (http://grants.nih.gov/grants/olaw/references/hrea1985.htm), and the USDA Animal Welfare Regulations (http://www.nal.usda.gov/awic/legislat/usdaleg1.htm) as applicable.

Human Subjects Protection:
Federal regulations (45CFR46) require that applications and proposals involving human subjects must be evaluated with reference to the risks to the subjects, the adequacy of protection against these risks, the potential benefits of the research to the subjects and others, and the importance of the knowledge gained or to be gained (http://www.hhs.gov/ohrp/humansubjects/guidance/45cfr46.htm).

Required Education on the Protection of Human Subject Participants:
NIH policy requires education on the protection of human subject participants for all investigators submitting NIH applications for research involving human subjects and individuals designated as key personnel. The policy is available at http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html.

URLs in NIH Grant Applications or Appendices:
All applications and proposals for NIH funding must be self-contained within specified page limitations. For publications listed in the appendix and/or Progress report, internet addresses (URLs) must be used for publicly accessible on-line journal articles.  Unless otherwise specified in this solicitation, Internet addresses (URLs) should not be used to provide any other information necessary for the review because reviewers are under no obligation to view the Internet sites. Furthermore, we caution reviewers that their anonymity may be compromised when they directly access an Internet site.

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 PA is related to Healthy People 2010 focus area 20: Occupational Safety and Health. Potential applicants may obtain a copy of "Healthy People 2010" at http://www.health.gov/healthypeople.

Authority and Regulations:
This program is described in the Catalog of Federal Domestic Assistance at http://www.cfda.gov/ and is not subject to the intergovernmental review requirements of Executive Order 12372 or Health Systems Agency review. Awards are made under the authorization of Section 670 (a) of the Occupational Safety and Health Act [29 U.S.C. 670(a)] and under Federal Regulations 42 CFR 52 and 45 CFR Parts 74 and 92. All awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement. The NIH Grants Policy Statement can be found at http://grants.nih.gov/grants/policy/policy.htm.

The PHS strongly encourages all grant recipients to provide a smoke-free workplace and discourage the 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.

Lobbying Restrictions:
Applicants should be aware of restrictions on the use of Health and Human Services (DHHS) funds for lobbying of Federal or State legislative bodies. Under the provisions of 31 U.S.C. Section 1352,

recipients (and their subtier contractors) are prohibited from using appropriated Federal funds (other than profits from a Federal contract) for lobbying congress or any Federal agency in connection with the award of a particular contract, grant, cooperative agreement, or loan. This includes grants/cooperative agreements that, in whole or in part, involve conferences for which Federal funds cannot be used directly or indirectly to encourage participants to lobby or to instruct participants on how to lobby.

In addition, no part of the Center for Disease Control and Prevention (CDC) appropriated funds shall be used, other than for normal and recognized executive-legislative relationships, for publicity or propaganda purposes, for the preparation, distribution, or use of any kit, pamphlet, booklet, publication, radio, television, or video presentation designed to support or defeat legislation pending before the Congress or any State or local legislature, except in presentation to the Congress or any State or local legislature itself. No part of the appropriated funds shall be used to pay the salary or expenses of any grant or contract recipient, or agent acting for such recipient, related to any activity designed to influence legislation or appropriations pending before the Congress or any State or local legislature.

Any activity designed to influence action in regard to a particular piece of pending legislation would be considered “lobbying.” That is lobbying for or against pending legislation, as well as indirect or “grass roots: lobbying efforts by award recipients that are directed at inducing members of the public to contact their elected representatives at the Federal or State levels to urge support of, or opposition to, pending legislative proposals is prohibited. As a matter of policy, CDC extends the prohibitions to lobbying

with respect to local legislation and local legislative bodies.

The provisions are not intended to prohibit all interaction with the legislative branch, or to prohibit educational efforts pertaining to public health. Clearly there are circumstances when it is advisable and permissible to provide information to the legislative branch in order to foster implementation of prevention strategies to promote public health. However, it would not be permissible to influence, directly or indirectly, a specific piece of pending legislation.

It remains permissible to use CDC funds to engage in activity to enhance prevention; collect and analyze data; publish and disseminate results of research and surveillance data; implement prevention strategies; conduct community outreach services; provide leadership and training; and foster safe and healthy environments.

Recipients of CDC grants and cooperative agreements need to be careful to prevent CDC funds from being used to influence or promote pending legislation. With respect to conferences, public events, publication, and “grassroots” activities that relate to specific legislation, recipients of CDC funds should give attention to isolating and separating the appropriate use of CDC funds from non-CDC funds. CDC also cautions recipients of CDC funds to be careful not to give the appearance that CDC funds are being used to carry out activities in a manner that is prohibited under Federal law.

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Weekly TOC for this Announcement
NIH Funding Opportunities and Notices

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	Office of Extramural Research (OER)			National Institutes of Health (NIH) 9000 Rockville Pike Bethesda, Maryland 20892			Department of Health and Human Services (HHS)
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