PROGRAM ANNOUNCEMENT (PA): NIOSH EXPLORATORY/DEVELOPMENTAL GRANT PROGRAM (R21)

PA NUMBER: TPA-04-008

RELEASE DATE: December 2003

EXPIRATION DATE: October 2006, unless reissued.

Department Of Health And Human Services (DHHS)

PARTICIPATING ORGANIZATIONS: Centers for Disease Control and Prevention (CDC), Department of Health and Human Services

COMPONENTS OF PARTICIPATING ORGANIZATIONS: National Institute for Occupational Safety and Health (NIOSH), http://www.cdc.gov/niosh/homepage.html

CATALOG OF FEDERAL DOMESTIC ASSISTANCE NUMBER(S): CFDA 93.956

THIS PA CONTAINS THE FOLLOWING INFORMATION

o Purpose of the PA

o Research Objectives

o Mechanism of Support

o Eligible Institutions

o Individuals Eligible to Become Principal Investigators

o Special Requirements

o Where to Send Inquiries

o Submitting an Application

o Peer Review Process

o Review Criteria

o Award Criteria

o Required Federal Citations

PURPOSE OF THIS PA

This PA supersedes all previous announcements of the NIOSH Exploratory/Developmental Grants (R21) Program.

The NIOSH, CDC invite grant applications for research related to occupational safety and health. NIOSH research programs support priority areas identified in the National Occupational Research Agenda (NORA) as well as applications aimed at reducing injury and illness in construction, transportation, agriculture, mining, and health care, described in the RESEARCH OBJECTIVES section which provides an example of NORA and other occupational safety and health research program areas. Within CDC, the NIOSH is the lead Federal Institute responsible for conducting research and making recommendations for the prevention of work-related illnesses and injuries. Visit the NIOSH homepage for a full description of occupational safety and health program areas at http://www.cdc.gov/niosh/homepage.html.

The purpose of the NIOSH R21 is to encourage applications from institutions that are interested in testing innovative or conceptually creative ideas that are scientifically sound and may advance our understanding of safety and occupational health. Another objective is to encourage necessary initial development to provide a basis for important future research that can be used in preventing occupational diseases and injuries. This purpose is shared by other Centers of the Public Health Service (PHS) within the CDC.

RESEARCH OBJECTIVES

In today's society, Americans are working more hours than ever before. The workplace environment profoundly affects health; simply by going to work each day, we may face hazards that threaten our health and safety. Risking one's life or health should never be considered merely part of the job. In 1970, Congress passed the Occupational Safety and Health Act to ensure Americans the right to "safe and healthful working conditions," yet workplace hazards continue to inflict a tremendous toll in both human and economic costs. Private industry employers reported 5.3 million work injuries in 2000 and 363,000 cases of occupational illness. An average of 16 American workers die each day from injuries on the job (in 2000, there were 5915 fatal work injuries). Moreover, even the most conservative estimates find that about 137 additional workers die each day from workplace diseases. Additionally, in 1999 occupational injuries and deaths cost $123 billion in wages and lost productivity, administrative expenses, health care and other costs. This does not include the cost of occupational disease. These occupational injuries and diseases create needless human suffering, a tremendous burden upon health care resources, and an enormous drain on U.S. productivity.

NIOSH is the lead Federal Institute responsible for conducting research and making recommendations for the prevention of work related illnesses and injuries. NIOSH=s mandate includes the support of research in numerous occupational safety and health areas in addition to the topics identified in the NORA, described below. Investigators are encouraged to discuss their research topics with NIOSH program staff to determine the relevance to occupational health and safety.

Because of the diverse nature of occupational safety and health issues, many other research topics are supported by NIOSH in addition to the NORA topics. Thus, NIOSH supports research in many other areas related to occupational disease and injury including; violence, biomarkers, emergency response, mining, bioterrorism, agricultural related illnesses and injuries, and other occupational safety and health issues. Visit the NIOSH homepage for more information on NIOSH=s research program areas at http://www.cdc.gov/niosh/homepage.html.

In 1996, NIOSH and its partners in the public and private sectors developed the NORA to provide a framework to guide occupational safety and health research into the next decade. Approximately 500 organizations and individuals outside NIOSH provided input into the development of NORA. The agenda identifies 21 research priorities and reflects an attempt to consider both current and emerging needs. The priority areas are not ranked; each is considered to be of equal importance. The NORA priority research areas are grouped into three categories: Disease and Injury, Work Environment and Workforce, and Research Tools and Approaches.

NORA Priority Research Areas are:

Disease and Injury

1. Allergic and Irritant Dermatitis

2. Asthma and Chronic Obstructive Pulmonary Disease

3. Fertility and Pregnancy Abnormalities

4. Hearing Loss

5. Infectious Diseases

6. Low Back Disorders

7. Musculoskeletal Disorders of the Upper Extremities

8. Traumatic Injuries

Work Environment and Workforce

9. Emerging Technologies

10. Indoor Environment

11. Mixed Exposures

12. Organization of Work

13. Special Populations at Risk

Research Tools and Approaches

14. Cancer Research Methods

15. Control Technology and Personal Protective Equipment

16. Exposure Assessment Methods

17. Health Services Research

18. Intervention Effectiveness Research

19. Risk Assessment Methods

20. Social and Economic Consequences of Workplace Illness and Injury

21. Surveillance Research Methods

Potential applicants may obtain a copy of the publication "National Occupational Research Agenda" (HHS, CDC, NIOSH Publication No.96-115) from the NIOSH, telephone (800) 356-674 or on the internet at http://www.cdc.gov/niosh/nora.html.

Applications responding to this announcement will be reviewed for their responsiveness to program interests and their potential for developing knowledge that can be used in preventing occupational diseases and injuries. Applicants should provide a statement about which NIOSH research area is being addressed and a rationale for how the proposal will contribute to the specified priority area (this information should be placed in the "Background and Significance" section of the "Research Plan" of the application). Potential applicants with questions concerning the acceptability of their proposed work are strongly encouraged to seek assistance from the NIOSH program staff listed in this announcement under the section "Where to Send Inquiries."

The R21 mechanism is intended to encourage new exploratory and developmental research projects. For example, such projects could assess the feasibility of a novel area of investigation or a new experimental system that has the potential to enhance health-related research. Another example could include the unique and innovative use of an existing methodology to explore a new scientific area. These studies may involve considerable risk but may lead to a breakthrough in a particular area, or to the development of novel techniques, agents, methodologies, models or applications that could have major impact on occupational safety and health research.

Translational research that is focused on bringing research results to the workplace is a priority to NIOSH. Investigators are encouraged to conduct projects in this emerging area.

Applications for R21 awards should describe projects distinct from those supported through the traditional investigator initiated research project grant (R01) mechanism. For example, long-term projects, or projects designed to increase knowledge in a well-established area will not be considered for R21 awards. Applications submitted under this mechanism should be exploratory and novel. These studies should break new ground or extend previous discoveries toward new directions or applications. Projects of limited cost or scope that use widely accepted approaches and methods within well established fields are better suited for the NIOSH R03 small grant mechanism. Information on the R03 program can be found in the National Institutes of Health Guide.

MECHANISMS OF SUPPORT

This PA will use the NIOSH R21 Grant award mechanism. As an applicant, you will be solely responsible for planning, directing, and executing the proposed project. An individual may not receive more than one R21 award for this announcement.

The applicant may request a project period of up to two years with a combined budget for direct costs of up $275,000 for the two year period. Applications exceeding $275,000 for the two year period will be considered unresponsive and returned without further consideration. For example, the applicant may request $100,000 direct costs in the first year and $175,000 direct costs in the second year. The request should be tailored to the needs of the project.

Normally, no more than $200,000 may be requested in any single year.

This PA uses just-in-time concepts. It also uses the modular budgeting format. (see http://grants.nih.gov/grants/funding/modular/modular.htm). All applications submitted in response to this announcement must use the modular budget format. This program does not require cost sharing as defined in the current NIH Grants Policy Statement at

http://grants.nih.gov/grants/policy/nihgps_2001/part_i_1.htm.

Exploratory/developmental grant support is for new projects only; competing continuation applications will not be accepted. Two revisions of a previously reviewed exploratory/developmental grant application may be submitted as defined in NIH Policy at

http://grants.nih.gov/grants/policy/amendedapps.htm.

Applications submitted in response to this program announcement follow the standard receipt, review and award cycles, see http://grants.nih.gov/grants/dates.html for more information.

ELIGIBLE INSTITUTIONS

You may submit an application if your institution has any of the following characteristics:

o For-profit or non-profit organizations

o Public or private institutions, such as universities, colleges, hospitals, and laboratories

o Units of State and local governments

o Eligible agencies of the Federal government

o Domestic and foreign institutions/organizations

o Faith-based or community based organizations

o Indian Tribes, Tribal Government, College and/or Organizations.

INDIVIDUALS ELIGIBLE TO BECOME PRINCIPAL INVESTIGATORS

Any individual with the skills, knowledge, and resources necessary to carry out the proposed research is invited to work with their institution to develop an application for support. Individuals from under-represented racial and ethnic groups as well as individuals with disabilities are always encouraged to apply for NIOSH/CDC programs.

SPECIAL REQUIREMENTS

Applicants are encouraged to use the NIOSH R21 to explore the feasibility of an innovative research question or approach, which may not qualify through existing research grant programs, or may not be competitive as a standard R01.

This award is not intended to supplement ongoing or other proposed research; nor is it intended to be a mechanism for providing institutional support.

No minimum time commitment (percent effort) has been established for the R21 award, although the commitment should be appropriate to meet the goals of the proposed investigation.

WHERE TO SEND INQUIRIES

We encourage your inquiries concerning this PA 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.

o Direct your questions about scientific/research issues to:

For exposure assessment method, control technology, emerging technology, surveillance, and mixed exposure studies contact:

Susan B. Board, M.S.

Office of Extramural Programs

National Institute for Occupational Safety and Health

Centers for Disease Control and Prevention

1600 Clifton Road, N.E.

Executive Park Building 24, Room 1415, MS E-74

Atlanta, GA 30333

Telephone: (404) 498-2512

FAX: (404) 498-2517

Email:sboard@cdc.gov

For dermatitis, cancer research methods, fertility and pregnancy abnormalities, hearing loss, health services research, infectious diseases, indoor environment, organization of work, and special populations contact:

Adele Childress, Ph.D., M.S.P.H.

Office of Extramural Programs

National Institute for Occupational Safety and Health

Centers for Disease Control and Prevention

1600 Clifton Road, N.E.

Executive Park Building 24, Room 1429, MS E-74

Atlanta, GA 30333

Telephone: (404) 498-2509

FAX: (404) 498-2571

Email:achildress@cdc.gov

For asthma and COPD, social and economic consequences, intervention effectiveness, musculoskeletal disorders, risk assessment methods, and traumatic injuries and all other occupational safety and health issues contact:

Michael J. Galvin, Jr., Ph.D.

Office of Extramural Programs

National Institute for Occupational Safety and Health

Centers for Disease Control and Prevention

1600 Clifton Road, N.E.

Executive Park Building 24, Room 1536, MS E-74

Atlanta, GA 30333

Telephone: (404) 498-2524

FAX: (404) 498-2571

Email:mgalvin@cdc.gov

Direct your questions about peer review issues to:

Price Connor, Ph.D.

Office of Extramural Programs

National Institute for Occupational Safety and Health

Centers for Disease Control and Prevention

1600 Clifton Road, N.E.

Building 24, Room 1618, MS E-74

Atlanta, GA 30333

Telephone (404) 498-2511

Fax (404) 498-2571

Email: pconnor@cdc.gov

Direct your questions about financial or grants management matters to:

John Columbia, Contract Specialist

Acquisition and Assistance Field Branch

Centers for Disease Control and Prevention

626 Cochrans Mill Road

Pittsburgh, Pennsylvania 15236-0070

Telephone: (412) 386-4458

Email: JColumbia@cdc.gov

SUBMITTING AN APPLICATION

Applications must be prepared using the PHS 398 research grant application instructions and forms (rev. 5/2001). Applications must have a Dun and Bradstreet (D&B) Data Universal Numbering System (DUNS) number as the Universal Identifier when applying for Federal grants or cooperative agreements. The DUNS number can be obtained by calling (866) 705-5711 or through the web site at:

www.dunandbradstreet.com

The DUNS number should be entered on line 11 of the face page of the PHS 398 form. The PHS 398 is available at:

http://grants.nih.gov/grants/funding/phs398/phs398.html

in an interactive format. For further assistance contact GrantsInfo, Telephone (301) 435-0714, Email:

GrantsInfo@nih.gov

APPLICATION RECEIPT DATES: Applications submitted in response to this R21 program announcement will be accepted at the standard application deadlines, which are available at http://grants1.nih.gov/grants/dates.htm. Application deadlines are also indicated in the PHS 398 application kit.

SENDING AN APPLICATION TO THE NIH: Submit a signed, typewritten original of the application, including the checklist, and five signed photocopies in one package to:

Center for Scientific Review (CSR)

National Institutes of Health

6701 Rockledge Drive, Room 1040, MSC 7710

Bethesda, MD 20892-7710

Bethesda, MD 20817 (for express/courier service)

APPLICATION PROCESSING: Applications must be mailed on or before the receipt dates described at http://grants1.nih.gov/grants/funding/submissionschedule.htm. The CSR will not accept any application in response to this PA that is essentially the same as one currently pending initial review unless the applicant withdraws the pending application. The CSR 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 unfunded version 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 8 weeks.

PEER REVIEW PROCESS

Applications submitted for this PA will be assigned on the basis of established PHS referral guidelines. An appropriate scientific review group convened in accordance with the standard NIH peer review procedures www.csr.nih.gov/refrev.htm will evaluate applications for scientific and technical merit.

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

o Undergo a selection process in which only those applications deemed to have the highest scientific merit, generally the top half of applications under review, will be discussed and assigned a priority score

o Receive a written critique

o Receive a second level review by the NIOSH/CDC Secondary Review Committee.

REVIEW CRITERIA

The NIOSH R21 grant is a mechanism for supporting novel scientific ideas or new model systems, tools or technologies that have the potential to significantly advance our knowledge or the status of health-related research. Because the research plan is limited to 15 pages, an R21 application need not have extensive background material or preliminary information as one might normally expect in an R01 application. Accordingly, reviewers will focus their evaluation on the conceptual framework, the level of innovation, and the potential to significantly advance our knowledge or understanding. Reviewers will place less emphasis on methodological details and certain indicators traditionally used in evaluating the scientific merit of R01 applications including supportive preliminary data. Appropriate justification for the proposed work can be provided through literature citations, data from other sources, or, when available, from investigator-generated data. Preliminary data are not required for R21 applications.

The goals of NIOSH-supported research are to deliver on the nation=s promise: Safety and health at work for all people through research and prevention. Specific goals toward that end are enumerated by priority area listed in the Institute=s NORA. 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 research will have a substantial impact on the pursuit of these goals:

o Significance

o Approach

o Innovation

o Investigator

o Environment

The scientific review group will address and consider each of these criteria in assigning your application=s overall score, weighting them as appropriate for each application. Your application does not need to be strong in all categories to be judged likely to have major scientific impact and thus deserve a high priority score. For example, you may propose to carry out important work that by its nature is not innovative but is essential to move a field forward.

SIGNIFICANCE: Does this study address an important problem? If the aims of the application are achieved, how will scientific knowledge be advanced? What will be the effect of these studies on the concepts or methods that drive this field?

APPROACH: Are the conceptual framework, design, methods, and analyses adequately developed, well-integrated, and appropriate to the aims of the project? Does the applicant acknowledge potential problem areas and consider alternative tactics?

INNOVATION: Does the project employ novel concepts, approaches or methods? Are the aims original and innovative? Does the project challenge existing paradigms or develop new methodologies or technologies?

INVESTIGATOR: Is the investigator appropriately trained and well suited to carry out this work? Is the work proposed appropriate to the experience level of the principal investigator and other researchers (if any)?

ENVIRONMENT: Does the scientific environment in which the work will be done contribute to the probability of success? Do the proposed experiments take advantage of unique features of the scientific environment or employ useful collaborative arrangements? Is there evidence of institutional support?

ADDITIONAL REVIEW CRITERIA: In addition to the above criteria, the following items will 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 criteria included in the section on Federal Citations, below).

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 Inclusion Criteria in the sections on Federal Citations, below).

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 398 research grant application instructions (rev. 5/2001) will be assessed.

ADDITIONAL REVIEW CONSIDERATIONS

BUDGET: The reasonableness of the proposed budget and the requested period of support in relation to the proposed research.

AWARD CRITERIA

Applications submitted in response to a PA will compete for available funds with all other recommended applications. The following will be considered in making funding decisions:

o Scientific merit of the proposed project as determined by peer review

o Availability of funds

o Relevance to program priorities

REQUIRED FEDERAL CITATIONS

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://ohrp.osophs.dhhs.gov/humansubjects/guidance/45cfr46.htm

INCLUSION OF WOMEN AND MINORITIES IN CLINICAL RESEARCH: It is the policy of the NIH and CDC NIOSH that women and members of minority groups and their sub-populations must be included in all NIH-supported clinical research projects unless a clear and compelling justification is provided indicating that inclusion is inappropriate with respect to the health of the subjects or the purpose of the research. This policy results from the NIH Revitalization Act of 1993 (Section 492B of Public Law 103-43). NIOSH has adopted this policy for this announcement.

All investigators proposing clinical research should read the "NIH Guidelines for Inclusion of Women and Minorities as Subjects in Clinical Research - Amended, October, 2001," published in the NIH Guide for Grants and Contracts on October 9, 2001 (http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-001.html); a complete copy of the updated Guidelines are available at http://grants.nih.gov/grants/funding/women_min/guidelines_amended_10_2001.htm. The amended policy incorporates: the use of an NIH definition of clinical research; updated racial and ethnic categories in compliance with the new Office of Management and Budget (OMB) standards; clarification of language governing NIH-defined Phase III clinical trials consistent with the new PHS Form 398; and updated roles and responsibilities of NIH staff and the extramural community. The policy continues to require for all NIH-defined Phase III clinical trials that: a) all applications or proposals and/or protocols must provide a description of plans to conduct analyses, as appropriate, to address differences by sex/gender and/or racial/ethnic groups, including subgroups if applicable; and b) investigators must report annual accrual and progress in conducting analyses, as appropriate, by sex/gender and/or racial/ethnic group differences. NIOSH has adopted this policy for this announcement.

INCLUSION OF CHILDREN AS PARTICIPANTS IN RESEARCH INVOLVING HUMAN SUBJECTS: The NIH maintains a policy that children (i.e., individuals under the age of 21) must be included in all human subjects research, conducted or supported by the NIH, unless there are scientific and ethical reasons not to include them. This policy applies to all initial (Type 1) applications submitted for receipt dates after October 1, 1998. NIOSH has adopted this policy for this announcement.

All investigators proposing research involving human subjects should read the "NIH Policy and Guidelines" on the inclusion of children as participants in research involving human subjects that is available at .

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 proposals for research involving human subjects. You will find this policy announcement in the NIH Guide for Grants and Contracts Announcement, dated June 5, 2000, at http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html. NIOSH has adopted this policy for this announcement.

HUMAN EMBRYONIC STEM CELLS (hESC): Criteria for federal funding of research on hESCs can be found at http://grants.nih.gov/grants/stem_cells.htm and at http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-005.html. Only research using hESC lines that are registered in the NIH Human Embryonic Stem

Cell Registry will be eligible for Federal funding (see http://escr.nih.gov). It is the responsibility of the applicant to provide the official NIH identifier(s)for the hESC line(s)to be used in the proposed research. Applications that do not provide this information will be returned without review. NIOSH has adopted this policy for this announcement.

PUBLIC ACCESS TO RESEARCH DATA THROUGH THE FREEDOM OF INFORMATION ACT (FOIA): The OMB Circular A-110 has been revised to provide public access to research data through the FOIA under some circumstances. Data that are (1) first produced in a project that is supported in whole or in part with Federal funds and (2) cited publicly and officially by a Federal agency in support of an action that has the force and effect of law (i.e., a regulation) may be accessed through FOIA. It is important for applicants to understand the basic scope of this amendment. NIH has provided guidance at http://grants.nih.gov/grants/policy/a110/a110_guidance_dec1999.htm.

Applicants may wish to place data collected under this PA in a public archive, which can provide protections for the data and manage the distribution for an indefinite period of time. If so, the application should include a description of the archiving plan in the study design and include information about this in the budget justification section of the application. In addition, applicants should think about how to structure informed consent statements and other human subjects procedures given the potential for wider use of data collected under this award.

STANDARDS FOR PRIVACY OF INDIVIDUALLY IDENTIFIABLE HEALTH INFORMATION: The DHHS issued final modification to the "Standards for Privacy of Individually Identifiable Health Information", the "Privacy Rule," on August 14, 2002. The Privacy Rule is a federal regulation under Health Insurance Portability and Accountability Act (HIPPA) of 1996 that governs the protection of individually identifiable health information, and is administered and enforced by the DHHS Office for Civil Rights (OCR). Those who must comply with the Privacy Rule (classified under the Rule as "covered entities") must do so by April 14, 2003 (with the exception of small health plans which have an extra year to comply).

Decisions about applicability and implementation of the Privacy Rule reside with the researcher and his/her institution. The OCR website (http://www.hhs.gov/ocr/) provides information on the Privacy Rule, including a complete Regulation Text and a set of decision tools on "Am I a covered entity?" Information on the impact of the HIPPA Privacy Rule on NIH processes involving the review, funding, and progress monitoring of grants, cooperative agreements, and research contracts can be found at http://grants1.nih.gov/grants/guide/notice-files/NOT-OD-03-025.html.

INTERNET ADDRESS (URLs)IN NIH GRANT APPLICATIONS OR APPENDICES: All applications and proposals for NIH funding must be self-contained within specified page limitations. Unless otherwise specified in an NIH solicitation, URLs should not be used to provide information necessary to 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: CDC is committed to achieving the health promotion and disease prevention objectives of "Healthy People 2010," a national activity for reducing morbidity and mortality and improve the quality of life. This PA is related to one or more focus areas. Potential applicants may obtain a copy of "Healthy People 2010" at

http://www.healthypeople.gov/

AUTHORITY AND REGULATIONS: This program is described in the CFDA 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 Sections

301(a) [42 U.S.C. 241(a)], the Occupational Safety and Health Act of 1970, Section 20(a) [29 U.S.C. 669(a)] [number: 93.956, Agricultural Health and Safety Program of the National Institute for Occupational Safety and Health (NIOSH)], and under Federal Regulations 42 CFR 52 and 45 CFR Parts 74 and 92.

LOBBYING RESTRICTIONS: Applicants should be aware of restrictions on the use of HHS 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 PHS 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, NIOSH/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 NIOSH/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 healthful environments.

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

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.

 

 

 


CDC Home Page: http://www.cdc.gov

CDC Funding Web Page: http://www.cdc.gov/od/pgo/funding/funding.htm

CDC Forms Web Page: http://www.cdc.gov/od/pgo/forminfo.htm