MINING OCCUPATIONAL SAFETY AND HEALTH RESEARCH GRANTS
Release Date: October 22, 2001
RFA: RFA-OH-02-005
National Institute for Occupational Safety and Health, (NIOSH)
Letter of Intent Receipt Date: November 7, 2001
Application Receipt Date: December 27, 2001
THIS RFA USES "MODULAR GRANT" AND "JUST-IN-TIME" CONCEPTS.
MODULAR INSTRUCTIONS MUST BE USED FOR RESEARCH GRANT APPLICATIONS
REQUESTING LESS THAN $250,000 PER YEAR IN ALL YEARS. MODULAR
BUDGET INSTRUCTIONS ARE PROVIDED IN SECTION C OF THE PHS 398
(REVISION 5/2001) AVAILABLE AT
http://grants.nih.gov/grants/funding/phs398/phs398.html.
PURPOSE
The Centers for Disease Control and Prevention (CDC) announces the
availability of fiscal year (FY) 2002 funds for research grant
applications on mining occupational safety and health.
Applications are sought that investigate the broad issues of
mining safety and health through population-based or laboratory
research focused on mining safety related to: (1) hearing loss (2)
particulate dust exposure, (3) ground failure, (4) large equipment
operation (5) diesel exhaust exposure and (6) chemical hazards in mines.
The research needs identified in this announcement are consistent
with the National Occupational Research Agenda (NORA) developed by
NIOSH and partners in the public and private sectors to provide a
framework to guide occupational safety and health research in the
new millennium towards topics which are most pressing and most
likely to yield gains to the worker and the nation. The agenda
identifies 21 research priorities. NORA priorities with specific
relevance to this announcement are: hearing loss, traumatic
injuries, intervention effectiveness, and control technology and
personal protective equipment. Information about NORA is
available through the NIOSH Home Page,
http://www.cdc.gov/niosh/norhmpg.html. You may also refer to
http://www.cdc.gov/funding.htm.
In addition, the focus areas for mining research in this
announcement were developed through analysis of surveillance data
and input from stakeholders and federal partners.
HEALTHY PEOPLE 2010
CDC is committed to achieving the health promotion and disease
prevention objectives of Healthy People 2010, a national activity
to reduce morbidity and mortality and improve the quality of life.
This announcement is related to the focus area of Occupational
Safety and Health. For a copy of Healthy People 2010" (Full
Report: Stock No. 017-001-00547-9), write or call: Superintendent
of Documents, Government Printing Office, Washington D.C. 20402-
9325, telephone (202) 512-1800 or visit the internet site:
http://www.health.gov/healthypeople/.
ELIGIBILITY REQUIREMENTS
Applications may be submitted by domestic and foreign, public and
private nonprofit and for-profit organizations and by governments
and their agencies, that is, universities, colleges, research
institutions, hospitals, other public and private nonprofit and
for-profit organizations, State and local governments or their
bona fide agents, including the District of Columbia, the
Commonwealth of Puerto Rico, the Virgin Islands, the Commonwealth
of the Northern Mariana Islands, American Samoa, Guam, the
Federated States of Micronesia, the Republic of the Marshall
Islands, and the Republic of Palau, federally recognized Indian
tribal governments, Indian tribes, or Indian tribal organizations,
and small, minority, and women-owned businesses that meet the
above criteria. Racial/ethnic minority individuals, women, and
persons with disabilities are encouraged to apply as Principal
Investigators.
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.
MECHANISM OF SUPPORT
The mechanism of support will be the individual research project
grant (R01). Responsibility for the planning, direction, and
execution of the proposed project will be solely that of the
applicant. The total requested project period for an application
submitted in response to this RFA may not exceed four (4) years.
Note: Foreign grants are limited to 3 years. Funding estimates may
change. This RFA is a one-time solicitation.
FUNDS AVAILABLE
Approximately $900,000 is available in FY 2002 to fund 5-7
awards under this RFA. The maximum amount that may be requested is
$150,000 direct cost per year. Awards are expected to begin May
1, 2002.
Awards will be made for a 12-month budget period within a project
period up to four (4) years. Continuation awards within the
project period will be made on the basis of satisfactory progress
and availability of funds in future years.
Use of Funds
Applicants should include in their budgets funds for one trip per
year for an annual meeting of grantees to be held in Washington,
D.C. The purpose of this meeting is to provide an opportunity for
the exchange and dissemination of scientific information.
RESEARCH OBJECTIVES
Background
Despite many technological and work environment advances, mining
remains one of the most dangerous occupations in the United
States. The fatality rate in mining is six times higher than the
national average for other industries. Additionally, the severity
of injuries for mining exceeds all other industries with the
highest percentage of lost work days per incident. Between 1987
and 1996, black lung disease caused the deaths of over 18,000 U.S.
coal miners. In addition, more than 65 percent of miners
experience occupational hearing loss by the time they retire.
With the increased demand for coal to meet the nation’s energy
needs, many of the health and safety problems associated with
mining will be increased such as noise levels, methane gas levels,
respirable dust levels etc. As a result, mining research
interests span a wide range of disciplines, and as such
researchers with different health focus, may have expertise and
interest appropriate for this RFA. However, the objective of any
study must explicitly address a mining issue and not be a study
that would only contribute to mining safety and health as a
secondary outcome.
Types of research applications that are appropriate for this topic
include but are not limited to the following areas:
1. Hearing loss prevention in miners. Noise-induced hearing loss
is more prevalent in the mining industry than other industries
with 65 percent of the mining workforce experiencing hearing
damage by the time they retire. The confined nature of the
environment coupled with the size and power of the mechanized
mining equipment are thought to be significant noise factors that
contribute to the serious loss of hearing experienced by career
miners. Areas of interest include:
o characterization of noise exposures around point sources,
o characterization of exposure-response relationships,
o control technologies (engineering controls and quiet-by-design
approaches).
2. Exposure to high concentrations of dusts, particularly silica
dust. Miners overexposed to dust concentrations continues to be a
significant health risk in the mining industry. Studies have
shown that more than 20% of long-wall dust samples are above the
compliance level and more than 25% of continuous mining machines
and roof bolter samples exceed the silica compliance standards.
Coal dust and/or silica dust over exposures in the mining industry
are considered a contributing factor for lung diseases which
result in more than 1,100 miner deaths per year. The significant
increases in mining production over the last 15 years (most
notably in underground coal mining)has resulted in greater amounts
of coal dust generation. As a result, dust over exposures have
increased and are issues in virtually all segments of the mining
industry including surface and underground and coal and
metal/nonmetal. Areas of interest include:
o engineering controls for reducing dust levels,
o new instrumentation for near real-time measurements of dust
concentrations, o intervention strategies (engineering controls,
ventilation, operational designs) for reducing silica dust levels.
3. Fatalities and severe injuries resulting from ground failures.
The fatality rate in mining is six times higher than the national
average for other industries. Additionally, the severity of
injuries for mining exceeds all other industries. Historically,
30% to 50% of fatalities in underground mines and 15% to 20% of
injuries are the result of ground failures. Slope failures on
surface mines have resulted in 33 fatalities during the period
1995 to 2000. High stresses, unfavorable geologic conditions,
inability to model and understand rock mass behavior and
incomplete knowledge of primary and secondary structural support
performance all contribute to ground failure occurrences. Areas
of interest include:
o design methodologies (structural designs, primary and secondary
support systems) for minimizing or eliminating stress
concentrations,
o development of fundamental understanding of ground deformations
and rock performance for both underground and surface mining
operations,
o blasting practices for surface and underground mines to improve
ground control in weak rock,
o development of improved characterization methods and support
guidelines for weak rock,
o development of improved analysis methods for rock and rock
support interaction that lead to improved rock support design
methods.
4. Fatalities and severe injuries resulting from the operation of
large equipment. In the underground workplace, the operation of
large equipment is responsible for about 30% of the fatalities and
about 24% of the lost-time injuries. Fatalities and lost-time
injuries at surface mining operations resulting from equipment use
and powered-haulage are 59% and 21%, respectively. The limited
visibility around the large machinery and the confined nature of
the underground workplace contributes to the hazards of safely
operating the equipment. Areas of interest include:
o technologies and intervention strategies for reducing injuries
from powered-haulage equipment,
o intervention approaches and systems for improving operational
safety.
5. Exposure of mine workers to diesel exhaust. Diesel
particulate matter (DPM) has been declared a probable carcinogen
by a number of State, Federal and private health-watch
organizations. Recently one non-governmental body responsible for
recommending occupational exposure guidelines recommended a DPM
concentration limit of 50 micrograms/cubic meter. DPM levels in
U.S. mines expose about 30,000 workers to concentrations that
approach 20 times this limit. Additionally, the use of diesel-
powered equipment in underground mines is increasing as eastern
coal mines are beginning to replace battery-powered equipment with
diesel-powered. Areas of interest include:
o technologies for controlling diesel particulate matter,
o surveillance studies detailing exposure levels of mine workers.
6. Exposure of mine workers to chemical hazards. There are a
significant number of chemical agents at mining operations ranging
from naturally occurring liquid hydrocarbons to metals and other
hazardous compounds used in milling and refinery facilities. The
metal mining industry has almost 50% of metal fume samples above
the permissible exposure level (PEL) and almost 38% of those
samples are more than double the PEL for silver fumes. Other over
exposures in metal mines include 6% for chromic acid/chromate, 5%
for copper, 12% for mercury, and 3% for copper. Areas of interest
include:
o well designed epidemiological studies for exposure to specific
chemical/metal (e.g., silver),
o characterization of exposures to milling reagents and organic
chemicals currently in use,
o approaches for eliminating or reducing worker exposure to
chemical hazards in mining and milling.
INCLUSION OF WOMEN AND MINORITIES IN RESEARCH INVOLVING HUMAN SUBJECTS
It is the policy of the CDC to ensure that individuals of both
sexes and the various racial and ethnic groups will be included in
CDC-supported research projects involving human subjects, whenever
feasible and appropriate. Racial and ethnic groups are those
defined in OMB Directive No. 15 and include American Indian or
Alaska Native, Asian, Black or African American, Hispanic or
Latino, Native Hawaiian or other Pacific Islander. Applicants
shall ensure that women, racial and ethnic minority populations
are appropriately represented in applications for research
involving human subjects. Where clear and compelling rationale
exist that inclusion is inappropriate or not feasible, this
situation must be explained as part of the application. This
policy does not apply to research studies when the investigator
cannot control the race, ethnicity, and/or sex of subjects.
Further guidance to this policy is contained in the Federal
Register, Vol. 60, No. 179, pages 47947-47951, and dated Friday,
September 15, 1995.
INCLUSION OF CHILDREN AS PARTICIPANTS IN RESEARCH INVOLVING HUMAN SUBJECTS
It is the policy of CDC and NIH 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. This policy will be followed by
NIOSH 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 was published in the NIH Guide for Grants and Contracts,
March 6, 1998, and is available at the following URL address:
http://grants.nih.gov/grants/funding/children/children.htm.
Investigators also may obtain copies of these policies from the
program staff listed under INQUIRIES. Program staff may also
provide additional relevant information concerning the policy.
HUMAN SUBJECTS REQUIREMENTS
If the proposed project involves research on human subjects, the
applicant must comply with the Department of Health and Human
Services (DHHS) Regulations (Title 45 Code of Federal Regulations
Part 46) regarding the protection of human research subjects. All
awardees of CDC grants and cooperative agreements and their
performances sites engaged in human subjects research must file an
assurance of compliance with the regulations and have continuing
reviews of the research protocol by appropriate institutional
review boards.
In order to obtain a federal-wide Assurance (FWA) of Protection
for Human Subjects, the applicant must complete an on-line
application at the Office for Human Research Protections (OHRP)
website or write to the OHRP for an application. OHRP will verify
that the signatory official and the Human Subjects Protections
Administrator have completed the OHRP Assurance Training/Education
Module before approving the FWA. Existing Multiple Project
Assurances (MPAs), Cooperative Project Assurances (CPAs), and
Single Project Assurances (SPAs) remain in full effect until they
expire or until December 31, 2003, whichever comes first.
To obtain a FWA contact the OHRP at:
http://www.hhs.gov/ohrp/assurances/assurances_index.html or write to:
Office for Human Research Protections (OHRP)
Department of Health and Human Services
6100 Executive Boulevard, Suite 3B01, MSC 7501
Rockville, Maryland 20892-7507
(Note: For Express or Hand Delivered Mail, Use Zip Code 20852)
Note: In addition to other applicable committees, Indian Health
Service (IHS) institutional review committees must also review the
project if any component of IHS will be involved with or will
support the research. If any American Indian community is
involved, its tribal government must also approve the applicable
portion of that project.
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. This policy announcement is
found in the NIH Guide for Grants and Contracts Announcement dated
June 5, 2000, at the following website:
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html.
ANIMAL SUBJECTS REQUIREMENTS
If the proposed project involves research on animal subjects,
compliance with the PHS Policy on Humane Care and Use of
Laboratory Animals by Awardee Institutions is required. An
applicant (as well as each subcontractor or cooperating
institution that has immediate responsibility for animal subjects)
proposing to use vertebrate animals in CDC-supported activities
must file (or have on file) the Animal Welfare Assurance with the
Office of Laboratory Animal Welfare (OLAW) at the National
Institutes of Health. The applicant must provide in the
application the assurance of compliance number and evidence of
review and approval (including the date of the most recent
approval) by the Institutional Care and Use Committee (IACUC). Web
page http://grants.nih.gov/grants/olaw/references/phspol.htm.
URLS IN NIOSH GRANT APPLICATIONS OR APPENDICES
All applications must be self-contained within specified page
limitations. Unless otherwise specified, internet addresses
(URLs) should not be used to provide information necessary to the
review because reviewers are under no obligation to view the
internet sites. Reviewers are cautioned that their anonymity may
be compromised when they directly access an internet site.
PUBLIC ACCESS TO RESEARCH DATA THROUGH THE FREEDOM OF INFORMATION ACT
By regulation (45 CFR 74.36), grantees that are institutions of
higher education, hospitals, or non-profit organizations are
required to provide public access to research data through the
Freedom of Information Act (FOIA) under some circumstances (OMB
Circular A-110). 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. For further
information on this policy refer to page 52 in the PHS 398 grant
application or access the NIH Guide for Grants and Contracts
Announcement at:
http://grants.nih.gov/grants/policy/a110/a110_guidance_dec1999.htm.
Applicants may wish to place data collected under this RFA 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.
LETTER OF INTENT
Prospective applicants are asked to submit, by November 7, 2001, a
letter of intent that includes the number and title of the RFA,
the research area, a descriptive title of the proposed research,
the name, address, and telephone number of the Principal
Investigator, and the identities of other key personnel and
participating institutions. Although a letter of intent is not
required, is not binding, and is not used in the review of an
application, the information that it contains is used to estimate
the potential review workload and plan the review.
The letter of intent is to be submitted to:
Gwendolyn Cattledge, Ph.D., M.S.E.H.
National Institute for Occupational Safety and Health
Centers for Disease Control and Prevention (CDC)
1600 Clifton Road, N.E.
Building 1, Room 3056, MS D-28
Atlanta, GA 30333
Telephone: 404-639-2378
Fax: 404-639-4175
Email: gcattledge@cdc.gov
APPLICATION PROCEDURES
The PHS 398 research grant application instructions and forms
(rev. 5/2001) at
http://grants.nih.gov/grants/funding/phs398/phs398.pdf must be
used in applying for these grants. This version of PHS 398 is
available in an interactive, searchable format. Although
applicants are strongly encouraged to begin using the 5/2001
revision of the PHS 398 as soon as possible, the NIOSH will
continue to accept applications prepared using the 4/1998 revision
until January 9, 2002. Beginning January 10, 2002, however, the
NIOSH will return applications that are not submitted on the
5/2001 version. For further assistance contact GrantsInfo,
Telephone 301/710-0267, Email: GrantsInfo@nih.gov.
SPECIFIC INSTRUCTIONS FOR MODULAR GRANT APPLICATIONS
The modular grant concept establishes specific modules in which
direct costs may be requested as well as a maximum level for
requested budgets. Only limited budgetary information is required
under this approach. The just-in-time concept allows applicants
to submit certain information only when there is a possibility for
an award. It is anticipated that these changes will reduce the
administrative burden for the applicants, reviewers and NIH staff.
The research grant application form PHS 398 (rev. 5/2001) at
http://grants.nih.gov/grants/funding/phs398/phs398.html is to be
used in applying for these grants, with modular budget
instructions provided in Section C of the application
instructions. Applicants are permitted, however, to use the
4/1998 revision of the PHS 398 for scheduled application receipt
dates until January 9, 2002. If you are preparing an application
using the 4/1998 version, please refer to the step-by-step
instructions for Modular Grants available at
http://grants.nih.gov/grants/funding/modular/modular.htm.
Additional information about Modular Grants is also available on
this site.
The RFA label available in the PHS 398 (rev. 5/2001) application
form (http://grants.nih.gov/grants/funding/phs398/labels.pdf) must
be affixed to the bottom of the face page of the application.
Type the RFA number on the label. Failure to use this label could
result in delayed processing of the application such that it may
not reach the review committee in time for review. In addition,
the RFA title and number must be typed on line 2 of the face page
of the application form and the YES box must be marked.
Submit a signed, typewritten original of the application,
including the Checklist, and three 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)
At the time of submission, two additional copies of the
application must also be sent to:
Gwendolyn Cattledge, Ph.D., M.S.E.H.
National Institute for Occupational Safety and Health
Centers for Disease Control and Prevention (CDC)
1600 Clifton Road, N.E.
Building 1, Room 3056, MS D-28
Atlanta, GA 30333
Telephone: 404-639-2378
Fax: 404-639-4175
Email: gcattledge@cdc.gov
Applications must be received by December 27, 2001. If an
application is received after that date, it will be returned to
the applicant without review. CSR and NIOSH will not accept any
application in response to this RFA that is essentially the same
as one currently pending initial review, unless the applicant
withdraws the pending application. CSR and 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 an
application must follow the guidance in the PHS Form 398
application instructions for the preparation of revised
applications, including an introduction addressing the previous critique.
REVIEW CONSIDERATIONS
Upon receipt, applications will be reviewed for completeness by
CSR and responsiveness by NIOSH. Applications determined to be
incomplete or unresponsive to this RFA will be returned to the
applicant without further consideration. Applications that are
complete and responsive to the RFA will be reviewed for technical
merit by a scientific review group convened by NIOSH.
All applications will be judged on the basis of the scientific
merit of the proposed project and the documented ability of the
investigators to meet the RESEARCH OBJECTIVES of the RFA. As part
of the scientific merit review, all applications will receive a
written critique and undergo a 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.
Following the scientific merit review, applications will then be
reviewed by NIOSH according to the programmatic review criteria below.
Scientific Review Criteria
o Significance - Does this study address an important problem
related to the topical research issues outlined in this
announcement? 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?
o Approach - Are the conceptual framework, design (including
composition of study population), 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?
o 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?
o 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?
o 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 documentation of cooperation from
industry, unions, communities, or other participants in the
project, where applicable? Is there evidence of institutional
support and availability of resources necessary to perform the project?
o Adequacy of plans to include both genders, minorities and their
subgroups, and children as appropriate for the scientific goals of
the research. Plans for the recruitment and retention of subjects
will also be evaluated.
o The adequacy of the proposed protection of humans, animals, or
the environment, to the extent that they may be adversely affected
by the project proposed in the application.
o Availability of special opportunities for furthering research
programs through the use of unusual talent resources, populations,
or environmental conditions in other countries which are not
readily available in the United States or which provide
augmentation of existing U.S. resources.
Programmatic Review Criteria
o Magnitude of the problem in terms of numbers of workers affected.
o Severity of the disease or injury in the worker population.
o Likelihood of developing applied technical knowledge for the
prevention of occupational safety and health hazards on a national
or regional basis.
SCHEDULE
Letter of Intent Receipt Date: November 7, 2001
Application Receipt Date: December 27, 2001
Anticipated Award Date: May 1, 2002
AWARD CONSIDERATIONS
Applications will be considered for award based upon (a)
scientific merit, (b) program importance, (c) program balance in
research areas, and (d) availability of funds.
A priority for funding under this RFA are Schools or Departments
of Mining Engineering.
INQUIRIES
Inquiries concerning this RFA are encouraged. The opportunity to
clarify any issues or questions from potential applicants is
welcome. This RFA and other CDC Announcements can be found on the
CDC HomePage (http://www.cdc.gov) under the Funding section (see
Grants and Cooperative Agreements scroll down to Occupational
Safety and Health ). This RFA can also be found on the NIOSH
HomePage (http://www.cdc.gov/niosh) under Extramural Programs , Current
Funding Opportunities .
Direct inquiries regarding programmatic issues to:
Michael Galvin, 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 1, Room 3065, MS D-28
Atlanta, GA 30333
Telephone: 404/639-1533
FAX: 404/639-0035
Email: mgalvin@cdc.gov
Direct inquiries regarding grants management business matters to:
Joanne Wojcik
Grants Management Branch
Procurement and Grants Office
CDC Announcement Number CDC 02016
Centers for Disease Control and Prevention
2920 Brandywine Road, Suite 3000
Atlanta, GA 30341-4146
Telephone: 770/488-2717
Email: jcw6@cdc.gov
AUTHORITY AND REGULATIONS
The Catalog of Federal Domestic Assistance number is: 93.262 for
the National Institute for Occupational Safety and Health (NIOSH).
This program is authorized under the Public Health Service Act, as
amended, Section 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)],
and the Mine Safety and Health Act (1977), Section 30 USC 951-961
[30 CFR Part 44). The applicable program regulation is 42 CFR
Part 52. This program is not subject to the intergovernmental
review requirements of executive order 12372 or Health Systems
Agency Review.
LOBBYING RESTRICTIONS
Applicants should be aware of restrictions on the use of Health
and Human Services (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 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 healthful
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.
SMOKE-FREE WORKPLACE
CDC strongly encourages all grant recipients to provide a
smoke-free workplace and promote the non-use of all tobacco
products, and Public Law 103-227, the Pro-Children Act of 1994,
prohibits smoking in certain facilities that receive Federal funds
in which education, library, day care, health care, and early
childhood development services are provided to children.
SMALL, MINORITY, AND WOMEN-OWNED BUSINESS
It is a national policy to place a fair share of purchases with
small, minority and women-owned business firms. The Department of
Health and Human Services is strongly committed to the objective
of this policy and encourages all recipients of its grants and
cooperative agreements to take affirmative steps to ensure such
fairness. In particular, recipients should:
1. Place small, minority, women-owned business firms on bidders
mailing lists.
2. Solicit these firms whenever there are potential sources of
supplies, equipment, construction, or services.
3. Where feasible, divide total requirements into smaller needs,
and set delivery schedules that will encourage participation by
these firms.
4. Use the assistance of the Minority Business Development Agency
of the Department of Commerce, the Office of Small and
Disadvantaged Business Utilization, DHHS, and similar state and
local offices.
RESEARCH INTEGRITY
The signature of the institution official on the face page of the
application submitted under this Program Announcement is
certifying compliance with the Department of Health and Human
Services (DHHS) regulations in Title 42 Part 50, Subpart A,
entitled "Responsibility of PHS Awardee and Applicant Institutions
for Dealing with and Reporting Possible Misconduct in Science."
The regulation places several requirements on institutions
receiving or applying for funds under the PHS Act that are
monitored by the DHHS Office of Research Integrity"s (ORI)
Assurance Program.
For examples:
Section 50.103(a) of the regulation states: "Each institution that
applies for or receives assistance under the Act for any project
or program which involves the conduct of biomedical or behavioral
research must have an assurance satisfactory to the Secretary
(DHHS) that the applicant: (1) Has established an administrative
process, that meets the requirements of this subpart, for
reviewing, investigating, and reporting allegations of misconduct
in science in connection with PHS-sponsored biomedical and
behavioral research conducted at the applicant institution or
sponsored by the applicant, and (2) Will comply with its own
administrative process and the requirements of this Subpart."
Section 50.103(b) of the regulation states that: "an applicant or
recipient institution shall make an annual submission to the [ORI]
as follows: (1) The institution"s assurance shall be submitted to
the [ORI], on a form prescribed by the Secretary,...and updated
annually thereafter...(2) An institution shall submit, along with
its annual assurance, such aggregate information on allegations,
inquiries, and investigations as the Secretary may prescribe."
Weekly TOC for this Announcement
NIH Funding Opportunities and Notices
|
|
|
|
Department of Health and Human Services (HHS)
|
|
|
|
NIH... Turning Discovery Into Health®
|