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:  [email protected] 

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:  [email protected].

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:  [email protected]

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:  [email protected]

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:  [email protected]

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."

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