Notice of Legislative Mandates in Effect for FY2011

Notice Number: NOT-OD-11-072

Update: The following update relating to this announcement has been issued:

Related Notice: May 4, 2011 - See Notice NOT-OD-11-073. The intent of this Notice is to provide information on the statutory provisions that limit the use of funds on National Institutes of Health (NIH) grant, cooperative agreement, and contract awards for FY2011.

Key Dates
Release Date: May 4, 2011

Issued by
National Institutes of Health (NIH)

The Department of Defense and Full-Year Continuing Appropriations Act of 2011 (P.L. 112-10) provides funding to NIH for the fiscal year ending September 30, 2011. The intent of this Notice is to provide information on the following statutory provisions that limit the use of funds on NIH grant, cooperative agreement, and contract awards for FY2011.  P.L. 112-10 continues all legislative mandates in effect for FY2010.  The Notice of Legislative Mandates for FY2010 was published on January 6, 2010, NIH Guide Notice NOT-OD-10-040 .

FY 2010 Legislative Mandates that remain in effect are as follows:

(1) Dissemination of False or Misleading Scientific Information [Section (517b)]
(2) Continued Salary Limitation (Section 203)
(3) Anti-Lobbying (Section 503)
(4) Restriction on Distribution of Sterile Needles (Section 505)
(5) Acknowledgment of Federal Funding (Section 506)
(6) Restriction on Abortions (Section 507)
(7) Exceptions to Restriction on Abortions (Section 508)
(8) Ban on Funding Human Embryo Research (Section 509)
(9) Limitation on Use of Funds for Promotion of Legalization of Controlled Substances (Section 510)
(10) Certification of Filing and Payment of Taxes (Section 527)

(1) Dissemination of False or Deliberately Misleading Scientific Information (Section 517b).
“None of the funds made available in this Act may be used to disseminate scientific information that is deliberately false or misleading.”

(2) Continued Salary Limitation (Section 203)
"None of the funds appropriated in this Act for the National Institutes of Health, the Agency for Healthcare Research and Quality, and the Substance Abuse and Mental Health Services Administration shall be used to pay the salary of an individual, through a grant or other extramural mechanism, at a rate in excess of Executive Level I." Executive Level I of the Federal Executive Pay Scale effective January 1 through December 31, 2009 was $196,700.  Effective January 1, 2010, this amount increased to $199,700.  However there has been no increase in 2011; consequently the salary cap continues in FY2011 at the same level. Further information on the NIH Salary Limitation can be found in NIH Guide Notice NOT-OD-11-073 published on May ?, 2011.

(3) Anti-Lobbying (Section 503)
"(a) No part of any appropriation contained in this Act 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 legislature, except in presentation to the Congress or any State legislature itself. (b) No part of any appropriation contained in this Act 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 legislature. "

(4) Restriction on Distribution of Sterile Needles (Section 505)
" None of the funds contained in this Act may be used to distribute any needle or syringe for the purpose of preventing the spread of blood borne pathogens in any location that has been determined by the local public health or local law enforcement authorities to be inappropriate for such distribution.”

(5) Acknowledgment of Federal Funding (Section 506)
"When issuing statements, press releases, requests for proposals, bid solicitations and other documents describing projects or programs funded in whole or in part with Federal money, all grantees receiving Federal funds included in this Act, including but not limited to State and local governments and recipients of Federal research grants, shall clearly state: (1) the percentage of the total costs of the program or project which will be financed with Federal money; (2) the dollar amount of Federal funds for the project or program; and (3) percentage and dollar amount of the total costs of the project or program that will be financed by non-governmental sources."

(6) Restriction on Abortions (Section 507)
“(a) None of the funds appropriated under this Act, and none of the funds in any trust fund to which funds are appropriated in this Act, shall be expended for any abortion.  (b) None of the funds appropriated in this Act, and none of the funds in any trust fund to which funds are appropriated in this Act, shall be expended for health benefits coverage that includes coverage of abortion. (c) The term ‘‘health benefits coverage’’ means the package of services covered by a managed care provider or organization pursuant to a contract or other arrangement. “

(7) Exceptions to Restriction on Abortions (Section 508)
“(a) The limitations established in the preceding section shall not apply to an abortion— (1) if the pregnancy is the result of an act of rape or incest; or (2) in the case where a woman suffers from a physical disorder, physical injury, or physical illness, including a life endangering physical condition caused by or arising from the pregnancy itself, that would, as certified by a physician, place the woman in danger of death unless an abortion is performed.  (b) Nothing in the preceding section shall be construed as prohibiting the expenditure by a State, locality, entity, or private person of State, local, or private funds (other than a State’s or locality’s contribution of Medicaid matching funds). (c) Nothing in the preceding section shall be construed as restricting the ability of any managed care provider from offering abortion coverage or the ability of a State or locality to contract separately with such a provider for such coverage with State funds (other than a State’s or locality’s contribution of Medicaid matching funds).  (d)(1) None of the funds made available in this Act may be made available to a Federal agency or program, or to a State or local government, if such agency, program, or government subjects any institutional or individual health care entity to discrimination on the basis that the health care entity does not provide, pay for, provide coverage of, or refer for abortions.  (2) In this subsection, the term ‘‘health care entity’’ includes an individual physician or other health care professional, a hospital, a provider-sponsored organization, a health maintenance organization, a health insurance plan, or any other kind of health care facility, organization, or plan.

(8) Ban on Funding of Human Embryo Research (Section 509)
“(a) None of the funds made available in this Act may be used for: (1) the creation of a human embryo or embryos for research purposes; or (2) research in which a human embryo or embryos are destroyed, discarded, or knowingly subjected to risk of injury or death greater than that allowed for research on fetuses in utero under 45 CFR 46.204(b) and section 498(b) of the Public Health Service Act (42 U.S.C. 289g(b)). (b) For purposes of this section, the term “human embryo or embryos” includes any organism, not protected as a human subject under 45 CFR 46 as of the date of the enactment of this Act, that is derived by fertilization, parthenogenesis, cloning, or any other means from one or more human gametes or human diploid cells. “

(9) Limitation on Use of Funds for Promotion of Legalization of Controlled Substances (Section 510)
"(a) None of the funds made available in this Act may be used for any activity that promotes the legalization of any drug or other substance included in schedule I of the schedules of controlled substances established under section 202 of the Controlled Substances Act except for normal and recognized executive-congressional communications. (b)The limitation in subsection (a) shall not apply when there is significant medical evidence of a therapeutic advantage to the use of such drug or other substance or that federally sponsored clinical trials are being conducted to determine therapeutic advantage."

(10) Certification of Filing and Payment of Taxes (Section 521)
“None of the funds appropriated or otherwise made available by this act may be used to enter into a contract in an amount greater than $5,000,000 or to award a grant in excess of such amount unless the prospective contractor or grantee certifies in writing to the agency awarding the contract or grant that, to the best of it’s knowledge and belief, the contractor or grantee has filed all Federal tax returns required during the three years preceding the certification, has not been convicted of a criminal offense under the Internal Revenue Code of 1986, and has not, more than 90 days prior to certification, been notified of any unpaid Federal tax assessment for which the liability remains unsatisfied, unless the assessment is the subject of an installment agreement or offer in compromise that has been approved by the Internal Revenue Service and is not in default, or the assessment is the subject of a non-frivolous administrative or judicial proceeding.”

Inquiries

For more information on grants policy, please visit: http://grants.nih.gov/grants/policy/policy.htm. For more information on contracts policy, please visit: http://oamp.od.nih.gov/.

If additional questions remain, after visiting the posted websites, please contact the awarding grants or contracts management office in the appropriate NIH Institutes and Centers.


Weekly TOC for this Announcement
NIH Funding Opportunities and Notices


Office of Extramural Research (OER) - Home Page Office of Extramural
Research (OER)
  National Institutes of Health (NIH) - Home Page National Institutes of Health (NIH)
9000 Rockville Pike
Bethesda, Maryland 20892
  Department of Health and Human Services (HHS) - Home Page Department of Health
and Human Services (HHS)
  USA.gov - Government Made Easy


Note: For help accessing PDF, RTF, MS Word, Excel, PowerPoint, Audio or Video files, see Help Downloading Files.