PROGRAM FOR THE INITIATION AND DEVELOPMENT OF STATE-BASED
SURVEILLANCE CAPACITY IN OCCUPATIONAL SAFETY AND HEALTH
RELEASE DATE: March 21, 2002
RFA: OH-02-007
Centers for Disease Control and Prevention (CDC) National
Institute for Occupational Safety and Health (NIOSH),
(http://www.cdc.gov/niosh/homepage.html)
LETTER OF INTENT RECEIPT DATE: May 3, 2002
APPLICATION RECEIPT DATE: June 11, 2002
THIS RFA CONTAINS THE FOLLOWING INFORMATION
o Purpose of the RFA
o Research Objectives
o Mechanism(s)of Support
o Funds Available
o Eligible Institutions
o Individuals Eligible to Become Principal Investigations
o Special Requirements
o Where to Send Inquiries
o Letter of Intent
o Submitting an Application
o Peer Review Process
o Review Criteria
o Receipt and Review Schedule
o Award Criteria
o Required Federal Citations
PURPOSE OF THIS RFA
The National Institute for Occupational Health and Safety (NIOSH),
Centers for Disease Control and Prevention (CDC) announces the
availability of funds for fiscal year (FY) 2002 for cooperative
agreement (U01) applications to support the initiation/development
of new state-based occupational surveillance programs. The purpose
of this RFA is to establish occupational safety and health
surveillance and associated activities in states without a current
occupational surveillance program. This RFA is consistent with
Goal #2 of the NIOSH Surveillance Strategic Plan (to strengthen
the capacity of state health departments and other state agencies
to conduct occupational surveillance).
PROGRAM OBJECTIVES
Background
A comprehensive approach to surveillance has long been recognized
as fundamental to the prevention of occupational diseases,
injuries, and hazards. Through an ongoing, systematic collection,
analysis, interpretation, and dissemination of relevant health and
hazard occupational data, public health and research priorities
may be established. More importantly, by linking the results from
such analysis to intervention and prevention activities,
significant improvements in occupational safety and health can be
achieved. Due to the myriad of occupations and diverse employment
profiles across states, an integrated program at the state level
is a critical component of a comprehensive approach to
occupational surveillance. However, only a few states have an
integrated occupational surveillance program, and there is a need
to develop surveillance capacity in more states. This RFA is
focused on achieving this goal.
NIOSH began developing a program of national occupational health
surveillance activities in the early 1970s. These initial efforts
involved hazard surveillance and health effects surveillance. Over
the past quarter century, NIOSH has played a key role in the
surveillance of occupational diseases, injuries, and hazards. The
NIOSH program complements the important surveillance activities
carried out by many states and several other Federal agencies,
including the Bureau of Labor Statistics (BLS), the Occupational
Safety and Health Administration (OSHA), the Mine Safety and
Health Administration (MSHA), and the National Center for Health
Statistics (NCHS).
Collaboration between NIOSH and states related to occupational
safety and health surveillance began with the Surveillance
Cooperative Agreements between NIOSH and States (SCANS) in the
1980"s. This program was developed to increase State health
department capacities in the area of occupational safety and
health. Subsequent to this initial support for capacity building,
NIOSH has supported a variety of state-based surveillance awards
that have focused on specific disease or injury outcomes. In
addition to the Sentinel Event Notification Systems for
Occupational Risks (SENSOR) Program operating in 13 states and the
Fatality Assessment and Control Evaluation (FACE) Program
operating in 15 states, current major collaborative surveillance-
related activities between NIOSH and states include the Adult
Blood Lead Epidemiology and Surveillance (ABLES) Program, a
program that has grown from 4 states in 1987 to 34 states in 2001.
Although NIOSH has provided support for condition specific and
multiple condition surveillance programs, many states have yet to
develop the critical infrastructure needed to support fundamental
occupational health and safety surveillance. Thus, the need still
exists to provide resources to support initiation/development of
state-based efforts to build occupational surveillance capacity.
In 1995, the Council of State and Territorial Epidemiologists
(CSTE), working in collaboration with the Association of State and
Territorial Health Officials (ASTHO) and NIOSH, published
guidelines regarding state-based capacity in occupational safety
and health. These guidelines outlined core and comprehensive
activities in occupational health and safety surveillance along
with associated activities in policy development, intervention,
and infrastructure. The goal of this announcement is to provide
support for new states to initiate and/or develop these
activities.
Objectives
Objectives for the initiation/development phase for state-based
occupational surveillance programs may include but are not limited
to the following:
(1) Establish an occupational safety and health surveillance
program with coordination among local public health agencies and
other state partners, (2) Establish an occupational safety and
health advisory committee within the State to identify and address
issues relevant to injury, disease, and hazard surveillance and
prevention in the state, (3) Conduct a review and analysis of
existing available surveillance data within the state, (4) Develop
and implement comprehensive surveillance activities and associated
policy, intervention, and infrastructure activities within the
state as outlined in the Minimum and Comprehensive Criteria for
State-based Occupational Surveillance. As states consider the
framework for surveillance activities within their states, they
are encouraged to consult/collaborate with states that have
current NIOSH supported surveillance programs. Since this program
is intended to build state infrastructure, 25% of the funds
awarded must be retained and used by the state.
USEFUL REFERENCE
Stanbury M. Rosenman K., and Anderson H. Guidelines: Minimum and
Comprehensive State-based Activities in Occupational Safety and
Health. Occupational and Environmental Health Committee. Council
of State and Territorial Epidemiologists. Association of State and
Territorial Health Officials. Cincinnati, OH: U.S. Department of
Health and Human Services, Public Health Service, Centers for
Disease Control and Prevention, National Institute for
Occupational Safety and Health, DHHS (NIOSH) Publication No. 95-
107. (For additional information about this publication, call 1-
800-35-NIOSH.)
MECHANISM OF SUPPORT
The administrative and funding instrument to be used for this
program will be a cooperative agreement (U01), an assistance
mechanism in which substantial NIOSH scientific and/or
programmatic involvement with the awardee is anticipated during
performance of the activity. As an applicant, you will be solely
responsible for planning, directing, and executing the proposed
project. This RFA is a one-time solicitation. The total requested
project period for an application submitted in response to this
RFA may not exceed three (3) years. The award and level of support
depend on the receipt of applications of high scientific merit.
Although this program is provided for in the financial plans of
NIOSH, the award, pursuant to this RFA, is contingent upon the
availability of funds for this purpose.
This RFA uses just-in-time concepts. This RFA uses the detailing
budget format rather than the modular budget format.
Under the cooperative agreement award mechanism, the Principal
Investigator retains the primary responsibility and dominant role
for planning, directing and executing the proposed project with
NIOSH staff being substantially involved as a partner with the
Principal Investigator, as described under the section,
Cooperative Agreement Terms and Conditions of Award.
FUNDS AVAILABLE
Approximately $500,000 is available in FY 2002 to fund three to
four cooperative agreement awards for a three (3) year period. The
maximum amount that may be requested is $100,000 in direct costs
per year. Awards are expected to begin September 30, 2002. The
amount of funding available may vary and is subject to change.
Awards will be made for a 12-month budget period within a project
period up to three (3) years. Continuation awards within the
project period will be made on the basis of satisfactory progress
and availability of funds in future years. A minimum of 25 percent
of the funds must be retained and used by the State.
Use of Funds
Applicants should include in their budgets funds for one trip per
year for an annual meeting of grantees to provide an opportunity
for the exchange of program and scientific information, to be held
in Washington, D.C.
ELIGIBLE INSTITUTIONS
You may submit an application if your institution has the
following characteristic:
o unit of state government that directs or has responsibility for
occupational health issues and that has not received a NIOSH award
(other than ABLES) in the past three years.
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 programs.
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.
SPECIAL REQUIREMENTS
Cooperative Agreement Terms and Conditions of Award
The Terms and Conditions of Award, below, will be incorporated in
all awards issued as a result of this RFA. It is critical that
each applicant include specific plans for responding to these
terms. These special Terms of Award are in addition to and not in
lieu of otherwise applicable OMB administrative guidelines, HHS
Grant Administration Regulations at 45 CFR Parts 74 and 92, and
PHS Grant Administration policy statements. Under the cooperative
agreement, the NIOSH purpose is to support and/or stimulate the
recipient"s activity, by involvement in and otherwise working
jointly with the award recipient in a partner role, but it is not
to assume direction, prime responsibility, or a dominant role in
the activity. Consistent with this concept, the dominant role and
prime responsibility for the activity resides with the awardee(s)
for the project as a whole, although specific tasks and activities
in carrying out the studies will be shared among the awardees and
the NIOSH collaborators where appropriate, including the
following:
1. Recipient Responsibilities
The recipient will coordinate project activities, scientifically
and administratively, at the awardee institution (state office
that administers the award) and at the other sites that may be
supported by sub-contractors to this award. The applicant will
have primary authority and responsibility to do the following:
o establish and maintain a scientific advisory committee to
identify relevant state-specific issues and priorities for
occupational surveillance,
o define objectives and approaches for establishing and enhancing
a state-based occupational surveillance program,
o establish and maintain contacts with appropriate organizations,
groups and individuals who may provide or use appropriate
surveillance data,
o conduct a review and analysis of existing surveillance data,
o develop any surveillance capacity using automated information
technology tools and systems so that this capacity is in
compliance with National Electronic Disease Surveillance System
(NEDSS) architecture http://www.cdc.gov/nedss to enhance the
opportunity for interoperability and to promote the use of
standards across public health, and
o publish surveillance results, interpretations, and conclusions
under the terms and conditions of the cooperative agreement award.
2. NIOSH Responsibilities
NIOSH anticipates having substantial scientific programmatic
involvement during conduct of this activity. However the NIOSH
role is limited to technical assistance, advice, and coordination.
NIOSH will do the following:
o serve as a scientific liaison between the awardee and other
program staff at NIOSH with experience in the occupational health
issues of State surveillance programs,
o provide expert consultation in the area of surveillance and
occupational epidemiology, if requested by the awardee,
o provide technical advice on data collection, developing
operating guidelines, quality control procedures, and developing
policies/protocols for dealing with recurrent situations, if
requested by the awardee, and
o facilitate collaborative efforts to compile and disseminate
program results through presentations and publications.
WHERE TO SEND INQUIRIES
We encourage inquiries concerning this RFA 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. This RFA and
other CDC Announcements can be found on the CDC Homepage
(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
(www.cdc.gov/niosh) under Extramural Programs, Current Funding
Opportunities.
Preapplication Conference Call
Applicants are invited by NIOSH to attend a pre-application
technical assistance conference on April 17 at 2:00 PM (Eastern
time) to discuss: programmatic issues regarding this program, how
to apply, and questions regarding the content of this RFA.
Applicants may participate by telephone. The conference name is A
NIOSH Surveillance and the telephone bridge number is 800-311-
3437. Interested parties will need the conference code, 815726,
to participate.
Direct inquiries regarding programmatic issues to:
Lee M. Sanderson, 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 1429, MS E-74
Atlanta, GA 30333
Telephone: 404/498-2546
FAX: 404/498-2571
Email: lsanderson@cdc.gov
Direct inquiries regarding grants management business matters to:
Joe Gilchrist
Contracts Management Branch
Centers for Disease Control and Prevention
626 Cochrans Mill Road
Pittsburgh, Pennsylvania 15236-0070
CDC Announcement Number 02065
Telephone: 412/386-6428
FAX: 412/386-6459
Email: jgilchrist@cdc.gov
LETTER OF INTENT
Prospective applicants are asked to submit a letter of intent by
May 3, 2002, that includes the following information:
o Descriptive title of the proposed research
o Name, address, and telephone number of the Principal
Investigator
o Names of other key personnel
o Participating institutions
o Number and title of this RFA
Although a letter of intent is not required, is not binding, and
does not enter into 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 should be sent to:
Gwendolyn Cattledge, Ph.D., M.S.E.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 1423, MS E-74
Atlanta, GA 30333
Telephone: 404/498-2508
FAX: 404/498-2571
Email: gcattledge@cdc.gov
SUBMITTING AN APPLICATION
Applications must be prepared using the PHS 398 research grant
application instructions and forms (rev. 5/2001). The PHS 398 is
available at
https://grants.nih.gov/grants/funding/phs398/phs398.html in an
interactive format. For further assistance, contact GrantsInfo,
Telephone 301/710-0267, Email: GrantsInfo@nih.gov. Information to
prepare a detailed budget is provided in the instructions. If the
proposed project involves organizations or persons other than
those affiliated with the applicant organization, letters of
support and/or cooperation must be included.
Special Instructions
Special instructions for defining proposed project plans are
included in the public health service grant guidelines (PHS 398,
page 15) and should address the following questions: (1) What do
you intend to do, (2) Why is the work important, (3) What has
already been done, and (4) How are you going to do the work. Items
a-d below should be organized to address these questions in
detail.
a. Specific Aims. Identify the broad, long-term objectives of the
proposed project and expected accomplishments.
b. Background and Significance. Briefly provide relevant
background information related to this project, include a critique
of existing knowledge on the subject and identify information gaps
that the proposed project will address. Described the scope and
the nature of target condition in the applicants State.
Specifically address how this project is important and relevant to
public health by relating the specific aims to the broad, long-
term objectives.
c. Preliminary Studies/Progress Report. Pertinent preliminary
studies/activities conducted by the principal investigator/program
director should be included to establish past experience and
competence in the project area. Include a list of references to
appropriate publications and manuscripts.
d. Project Design and Methods. Describe in detail the project
design and methods that will be used to achieve the specific aims
of the project. Specifically describe how the project design and
methodology will conduct timely surveillance. Discuss potential
limitations and anticipated difficulties of the proposed project
and provide alternative approaches to be used to achieve the
defined aims. Include a tentative timetable for the project.
SENDING AN APPLICATION TO THE NIOSH: Submit a signed, typewritten
original of the application, including the Checklist, and three
signed photocopies, in one package to:
Joe Gilchrist
CDC Announcement Number: 02064
Contracts Management Branch
Centers for Disease Control and Prevention
626 Cochrans Mill Road
Pittsburgh, Pennsylvania 15236-0070
Telephone: 412/386-6428
FAX: 412/386-6459
Email: jgilchrist@cdc.gov
At the time of submission, two additional copies of the
application must also be sent to:
Gwendolyn Cattledge, Ph.D., M.S.E.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 1423, MS E-74
Atlanta, GA 30333
Telephone: 404/498-2508
FAX: 404/498-2571
Email: gcattledge@cdc.gov
APPLICATION PROCESSING: Applications must be received by June 11,
2002. If an application is received after that date, it will be
returned to the applicant without review.
The CDC 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. CDC 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 include
an introduction addressing the previous critique.
PEER REVIEW PROCESS
Upon receipt, applications will be reviewed for completeness by
CDC and responsiveness by NIOSH. Incomplete applications will be
returned to the applicant without further consideration. If the
application is not responsive to the RFA, CDC staff may contact
the applicant to determine whether to return the application to
the applicant or submit it for review in competition with
unsolicited application at the next appropriate NIH review cycle.
Applications that are complete and responsive to the RFA will be
evaluated for scientific and technical merit by a scientific
review group convened by NIOSH in accordance with the review
criteria stated below. As part of the initial merit review, all
applications will:
o Receive a written critique,
o Undergo a process in which only those applicants deemed to have
the highest scientific or technical merit, generally the top half
of the applications under review, will be discussed and assigned a
priority score, and
o Receive a second level of review by the NIOSH Secondary Review
Committee.
REVIEW CRITERIA
The criteria that NIOSH will use to review applications for
scientific merit and for meeting program objectives are provided
below. In the written comments, reviewers will be asked to
discuss the following aspects of your 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
essential to move a field forward.
(1) Significance: Is the application relevant to the objectives
outlined in the RFA? Does the application describe the importance
of the proposed surveillance and associated activities in
evaluating and reducing occupational injuries, illnesses or
hazards? Is the need to link surveillance and prevention
activities and the need to integrate occupational health and
safety surveillance within existing public health activities well-
described? If the aims of the application are achieved, how will
state-based occupational safety and health capacity be advanced?
Has the applicant described a plan to utilize the surveillance
information obtained?
(2) Approach: Are the conceptual framework and methods for
surveillance and associated activities adequately developed and
appropriate to the aims of the project? Are coordination and
collaboration with relevant local and state agencies described
adequately? Does the applicant provide details about the methods
for obtaining and analyzing surveillance data? Does the applicant
provide detailed information about the conditions to be included
in the surveillance program? Does the applicant acknowledge
potential problem areas and consider alternative approaches? Is
the time line proposed for the project suitable and realistic?
(3) Innovation: Does the project employ innovative concepts,
approaches, or objectives for surveillance and associated
activities? How does the project expand existing state capacity
with new activities or methodologies?
(4) Investigators: Are the principal investigator and
collaborators appropriately trained and well-suited to carry out
this work? Is the surveillance work proposed appropriate to the
experience level of the principal investigator and other
collaborators?
(5) Environment: Are the applicants facilities, equipment, and
other resources adequate for the performance of this project? Is
there evidence of agency support generally, or specific agency
commitment to the development of occupational surveillance and
associated activities? Is there documentation of cooperation from
relevant local agencies, state agencies, or other participants in
the project, where applicable?
(6) Other: Reasonableness of the proposed budget and duration in
relation to the proposed project. Adequacy of plans to include
both genders, minorities and their subgroups, and children as
appropriate for the surveillance goals of the project. The
adequacy of the proposed protection of humans to the extent that
they may be adversely affected by the project proposed in the
application.
Programmatic Review Criteria
(1) Magnitude and severity of the problem in the worker
population.
(2) Likelihood of developing applied technical knowledge for the
prevention of occupational safety and health hazards on a state-
wide basis.
RECEIPT AND REVIEW SCHEDULE
Letter of Intent Receipt Date: May 3, 2002
Application Receipt Date: June 11, 2002
Anticipated Award Date: September 30, 2002
AWARD CRITERIA
Award criteria that will be used to make award decisions include:
o Scientific merit
o Availability of funds
o Programmatic priorities
REQUIRED FEDERAL CITATIONS
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.
All investigators proposing research involving human subjects
should read the NIH Guidelines For Inclusion of Women and
Minorities as Subjects in Clinical Research-Amended, October 9,
2001, published in the NIH Guide for Grants and Contracts on
October 9, 2001,
https://grants.nih.gov/grants/funding/women_min/women_min.htm, a
complete copy of the updated Guidelines are available at
https://grants.nih.gov/grants/funding/women_min/guidelines_amended_
10_2001.htm.
INCLUSION OF CHILDREN AS PARTICIPANTS IN RESEARCH INVOLVING HUMAN
SUBJECTS: It is the policy of 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
is available at
https://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.
REQUIRED EDUCATION ON THE PROTECTION OF HUMAN SUBJECT
PARTICIPANTS: 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.
Note: Investigators in states with existing statutes covering
guidance for the protection of humans, will be asked to submit
documentation detailing fully the state authority. If a state
does not have statutory authority for all the human subjects
activities proposed in the application, the awardee must obtain
human subject clearances as described above. The project plan in
the application must fully describe the involvement of human
subjects and protections. This information should be included in
the Human Subjects Research Section of PHS 398.
PUBLIC ACCESS TO RESEARCH DATA THROUGH THE FREEDOM OF INFORMATION
ACT: The Office of Management and Budget (OMB) Circular A-110 has
been revised to provide public access to research data through the
Freedom of Information Act (FOIA-45 CFR 74.36) 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. Guidance is
provided at:
https://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.
URLS IN NIOSH GRANT APPLICATIONS OR APPENDICES: All applications
and proposals 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.
LOBBYING RESTRICTIONS: Applicants should be aware of restrictions
on the use of Health and Human Services (DHHS) funds for lobbying
of Federal or State legislative bodies. Under the provisions of
31 U.S.C. Section 1352, recipients (and their subtier contractors)
are prohibited from using appropriated Federal funds (other than
profits from a Federal contract) for lobbying congress or any
Federal agency in connection with the award of a particular
contract, grant, cooperative agreement, or loan. This includes
grants/cooperative agreements that, in whole or in part, involve
conferences for which Federal funds cannot be used directly or
indirectly to encourage participants to lobby or to instruct
participants on how to lobby.
In addition, no part of the Center for Disease Control and
Prevention (CDC) appropriated funds shall be used, other than for
normal and recognized executive-legislative relationships, for
publicity or propaganda purposes, for the preparation,
distribution, or use of any kit, pamphlet, booklet, publication,
radio, television, or video presentation designed to support or
defeat legislation pending before the Congress or any State or
local legislature, except in presentation to the Congress or any
State or local legislature itself. No part of the appropriated
funds shall be used to pay the salary or expenses of any grant or
contract recipient, or agent acting for such recipient, related to
any activity designed to influence legislation or appropriations
pending before the Congress or any State or local legislature.
Any activity designed to influence action in regard to a
particular piece of pending legislation would be considered
lobbying. That is lobbying for or against pending legislation, as
well as indirect or grass roots lobbying efforts by award
recipients that are directed at inducing members of the public to
contact their elected representatives at the Federal or State
levels to urge support of, or opposition to, pending legislative
proposals is prohibited. As a matter of policy, CDC extends the
prohibitions to lobbying with respect to local legislation and
local legislative bodies.
The provisions are not intended to prohibit all interaction with
the legislative branch, or to prohibit educational efforts
pertaining to public health. Clearly, there are circumstances
when it is advisable and permissible to provide information to the
legislative branch in order to foster implementation of prevention
strategies to promote public health. However, it would not be
permissible to influence, directly or indirectly, a specific piece
of pending legislation.
It remains permissible to use CDC funds to engage in activity to
enhance prevention, collect and analyze data, publish and
disseminate results of research and surveillance data, implement
prevention strategies, conduct community outreach services,
provide leadership and training, and foster safe and 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 they 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.
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. For a copy of Healthy People 2010,
visit the internet site:
http://www.health.gov/healthypeople/default.htm.
AUTHORITY AND REGULATIONS: This program is described in the
Catalog of Federal Domestic Assistance Number 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)], and the Occupational
Safety and Health Act of 1970, Section 20(a) [29 U.S.C. 669(a)].
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.