Release Date:  December 14, 2000

RFA:  OH-01-003

National Institute for Occupational Safety and Health

Letter of Intent Receipt Date:  January 12, 2001
Application Receipt Date:       February 22, 2001

NOTE:  Current FACE awardees should follow the instructions in the 
application kit for competing renewal applications (PHS 398, page 16, item C. 
Preliminary Studies/Progress Report).

The Centers for Disease Control and Prevention (CDC) announces the 
availability of fiscal year (FY) 2001 funds for cooperative agreements to 
build State capacity for conducting traumatic occupational fatality 
surveillance, investigation and intervention activities using a fatality 
assessment and control evaluation (FACE) model.  The objectives of this 
State- based program are to identify work environments that place workers at 
a high risk for fatal injury; identify the risk factors for these fatal 
injuries; and develop, disseminate and evaluate prevention strategies.  The 
ultimate goal of this FACE program is to reduce the national burden for 
traumatic occupational fatalities through the development of effective 
prevention measures at the State and national level.  Applications are sought 
that demonstrate a high potential for achieving these objectives.

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 information on the 
conference copy of Healthy People 2010, visit the internet site:


Applications may be submitted by State health and labor departments or by 
other State or territorial health agencies that have occupational safety and 
health responsibilities.  This eligibility includes health departments or 
other official organizational authority (agency or instrumentality) of the 
District of Columbia, the Commonwealth of Puerto Rico, any territory or 
possession of the United States, and federally recognized Indian tribal 
governments, Indian tribes, or Indian tribal organizations.  Applicants other 
than health or labor departments must apply in collaboration with and through 
their State and territorial health department.  Awards will be limited to 
those organizations that can exercise public health authority for 
intervention into occupational safety and health problems. Program 
activities, however, may not be carried out by departmental divisions that 
are responsible for enforcement of occupational and health standards.  Only 
one application per State will be accepted under this announcement.


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.  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.  Details of the responsibilities, relationships 
and governance of the study to be funded under cooperative agreement(s) are 
discussed later in this document under the section Terms and Conditions of 

The total project period for an application submitted in response to this 
present RFA may not exceed five (5) years.  The anticipated award date is 
September 1, 2001.  The award and level of support depends on 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.


Approximately $600,000 is available in FY 2001 to make 4 - 6 awards under 
this RFA.  For each award, the range of total costs (direct plus facilities 
and administration) per year is anticipated to be between $75,000 and 
$150,000 (maximum).

Awards will be made for a 12-month budget period within a project period up 
to 5 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 allocate funds for travel to attend meetings as indicated 
in the section FACE Consortium and Coordination Committee (CC) Meetings.


Applicants are invited by NIOSH to participate in a preapplication technical 
assistance telephone conference call on January 22, 2001 at 1:00 PM (Eastern 
time) to discuss:  programmatic issues regarding this program,  how to apply, 
and questions regarding the content of the RFA.  The conference name is 
Fatality Assessment and Control Evaluation (FACE) program.  The telephone 
bridge number is 404-639-3277.  Interested parties will need the conference 
code (679146) to participate.



Traumatic occupational fatalities represent a public health problem of 
significant proportion.  Based on data from the National Traumatic 
Occupational Fatalities (NTOF) surveillance system, there were over 94,000 
occupational injury deaths in the United States for the period 1980-1995 
[CDC, 1999].  Recent data from the Bureau of Labor Statistics documented 
6,023 work- related injury deaths in 1999 [BLS, 2000].  Surveillance data 
such as NTOF and those from the Bureau of Labor Statistics are useful for 
setting research and prevention priorities as they identify common causes of 
death and worker groups experiencing large numbers and/or rates of 
occupational injury death.  However, more in-depth information is frequently 
required to understand the circumstances and contributors to fatal injuries 
in order to develop effective preventive measures.    
The state-based FACE program began in 1983 within NIOSH to provide in-depth 
causal information on targeted types of work injury deaths.  FACE was 
expanded in 1989 to multiple States to provide more timely and in-depth 
information than was available from existing surveillance systems with the 
goal of taking advantage of the individual State data to make national 
recommendations.  State-based FACE programs permit the States to develop a 
network of organizations which voluntarily report occupational fatalities and 
link these surveillance activities to appropriate field investigations and to 
the development and dissemination of prevention strategies to those who could 
intervene in the workplaces within the State.  In-depth, on-site 
investigations have been conducted on fatalities resulting from targeted 
causes of death that have included confined spaces, electrocutions, machine- 
related falls from elevation and logging.  Numerous articles, monographs, 
hazard identifications  and alerts have been written that detail findings on 
these targeted causes of death.  In 1999, the in-depth on-site investigation 
targets were reassessed and revised to include deaths associated with 
machinery, deaths of youths under 18 years of age, and street/highway 
construction work zone fatalities. 


NIOSH seeks to build upon the past experience in state-based fatality 
surveillance to increase the base of knowledge to prevent work-related injury 
deaths nationwide in the currently identified priority areas as well as other 
occupations that may be identified as a result of data analysis or new 
prevention opportunities.  Through an in depth analysis of data on 
interactions of the worker, the work environment, and work processes, 
prevention/intervention strategies aimed at reducing fatal injuries in the 
workplace can be developed.

An integral part of this initiative is the establishment of a Fatality 
Assessment and Control Evaluation (FACE) Consortium.  For this program, it is 
important that data elements which will be shared between awardees are 
managed in a uniform and compatible format.  Because much of the shared data 
elements are centered on job tasks and workers, a critical role of the FACE 
Consortium will be to assure that the fatality data are uniform and 
comprehensive in order to achieve across state assessments.  In addition, for 
the detailed investigations, the methods and data should have sufficient 
commonality to allow for analyses across the States as well as development of 
prevention recommendations.  The FACE Consortium will establish a 
Coordination Committee (CC), comprised of one voting representative from each 
member of the consortium, to serve as the main governing board for the 
conduct of this research program.  The CC will serve as an advisory body for 
the common or shared protocols to be used in the studies.  NIOSH staff will 
serve as non- voting members of the CC.

A Data Center may be established for this program through a competitive, 
peer- reviewed process. If established, each recipient will be responsible 
for providing data to the Data Center in a uniform fashion that is determined 
by the CC. This center will serve as the data resource for the analysis by 
the consortium investigators of the pooled data from all work sites in 
collaboration with the FACE Consortium.  This Data Center will serve as a 
common repository for data, and these combined data will be available for all 
members of the FACE Consortium.   

Through the FACE Consortium, it is anticipated that critical risk factors for 
fatal traumatic occupational injuries will be better defined at both the 
State and national level, so that prevention and intervention strategies can 
be developed.  It is anticipated that practitioners in occupational safety 
and health will be able to use the results from this project to more quickly 
and reliably discriminate job tasks that elevate risks for fatal traumatic 
injuries.  With such knowledge, effective job design changes or interventions 
can be developed that reduce occupational traumatic fatalities.  The FACE 
Consortium will combine the expertise and resources of NIOSH research staff 
with those of external collaborators.  Individual investigators are 
encouraged to analyze and publish data on their respective work sites as soon 
as feasible.


The ultimate goal of the FACE project is to reduce traumatic occupational 
fatalities within the States and throughout the nation.  NIOSH seeks project 
applications that assist in building State capacity for conducting 
occupational fatality surveillance, on-site investigations, and for 
developing and disseminating hazard prevention strategies.  The objectives of 
the State- based FACE project are to (1) identify work environments that 
place workers at high risk for fatal injury, (2) identify potential risk 
factors, and (3) formulate and disseminate prevention strategies to those who 
can intervene in the workplace.  Applications are sought that demonstrate a 
high potential for implementing a balanced program that includes occupational 
fatality surveillance, field investigation of priority category fatalities, 
and development and dissemination of preventive strategies. 

Thus, applications which are responsive to the goals of this RFA should 
include detailed study plans for the following three areas.  

o A surveillance system to be used at the State level.  This surveillance 
system should enable the State to identify all traumatic occupational 
fatalities occurring within the State in a timely fashion to allow 
investigation of targeted fatalities.  The investigator should include plans 
for data management and quality control.  

o  A plan for the conduct of on-site investigations on specific traumatic 
occupational fatalities.  Investigators should include the rationale and 
criteria to be used for the selection of on-site investigations.  
Investigators are encouraged to consider the NIOSH FACE investigative model 
cited in the useful references section for guidance on the development of a 
traumatic occupational fatality protocol.

o   Development and evaluation of prevention strategies for reducing the 
incidence of traumatic occupational injuries and fatalities at the State 


National Institute for Occupational Safety and Health.  National Occupational 
Research Agenda. 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.96-115 ( 

Morbidity and Mortality Weekly Report (MMWR). A Framework for Assessing the 
Effectiveness of Disease and Injury prevention. March 27, 1992/Vol.41/Jn.  
The MMWR can be accessed through the world-wide Web at:

NIOSH FACE Program: National Institute for Occupational Safety and Health 
website at:

Applicants should include in their budget support for the PI and one other 
person from their institution integrally involved in the project to attend an 
annual program meeting of the FACE Consortium.  The meeting will be of two or 
three days duration and will be held at a site mutually acceptable to study 
collaborators.  The initial meeting will be in Morgantown, WV.

The applicant should also budget for attendance by the PI at two CC meetings 
during the first year and two in each subsequent year.  For budget 
preparation and project planning purposes, it should be assumed that these 
meetings will be held in Morgantown, WV.  However, the CC will determine 
later where and when recurring CC meetings will be held.  The CC chair will 
coordinate the meetings to review and assess overall progress and provide the 
opportunity for investigators to exchange information and discuss research 


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 Grants Policy Statement.

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 and at the other sites that may 
be supported by sub-contractors to this award.  The applicant will have 
primary authority and responsibility to define objectives and approaches;  to 
plan, conduct, and analyze data; and to publish results, interpretations, and 
conclusions of studies conducted under the terms and conditions of the 
cooperative agreement award.  In addition, the applicant is responsible for 
coordination of the individual study with the CC.  Recipient will:

a.  identify and follow-up on occupational fatalities;

b.  use mechanisms to ensure that data collection and management procedures 
have necessary quality control and assure confidentiality of data;

c.  serve as a permanent member of the CC;

d.  submit semi-annual progress reports;

e.  collaborate in the scientific reporting of findings; 

f.  provide program management oversight for the project; and

g.  Coordinate human subject clearances through external IRBs.

2.  NIOSH Responsibilities

NIOSH anticipates having substantial scientific programmatic involvement 
during conduct of this activity, through technical assistance, advice, and 
coordination.  NIOSH will:

a.  serve as a scientific liaison between the awardee and other program staff 
at NIOSH with expertise in fatality assessment;

b.  provide advice on formats for data reporting and coding, computer 
software, and electronic storage of FACE surveillance and investigative data;

c.  provide expert consultation in the area of occupational fatality 
surveillance, epidemiology, on-site fatality investigation procedures, hazard 
identification, prevention strategies, and dissemination methods, if 

d.  provide technical assistance in identifying sentinel events resulting 
from industrial applications of new and emerging technologies, if requested;

e.  facilitate collaborative efforts to compile and disseminate program 
results through presentations and publications; and

f.  assist in the development of human subjects protocols for the CDC 
Institutional Review Board (if required) and in the preparation of OMB (and 
other) clearances that may be required during the conduct of the study.

3.  Collaborative Responsibilities

The CC will serve as the main governing board for the cooperative agreements 
making up the FACE Consortium.  The principal investigator at the recipient 
organizations will have membership on the CC.  NIOSH will have non-voting 
representation on the CC.

Critical roles of the CC include ensuring that the study designs and data 
collection protocols are uniform and compatible across the FACE Consortium 
and developing broad-based measures and products to prevent fatal work 

The CC may, when it deems necessary, invite additional, non-voting scientific 
advisors to the meetings at which research priorities and opportunities are 
discussed.  A critical role of the CC will be the identification of sentinel 
events that should be investigated.

It is anticipated that there will be two CC meetings during the first year 
and two in each subsequent year,  but the actual number and locations of the 
meetings will be determined by the CC itself.  The initial planning meeting 
will be organized by NIOSH and held in Morgantown, WV soon after the award, 
but subsequent meetings will be organized by the CC.  The committee chair 
will schedule the meetings and will be responsible for developing the meeting 
agenda, chairing the meetings, and producing CC reports.

At the Planning Meeting, the CC may:
o  discuss approaches for identifying fatal work injuries in a timely manner;
o  discuss and set initial targeted events to be investigated by the FACE 
o identify potential end-users of investigation data and identify future 
products to be developed; and
o  establish data sharing mechanisms.

At the second and subsequent meetings, the CC may: (1) make recommendations 
on the study protocols and data collection approaches, (2) discuss the 
targeted events that have been or will be investigated, (3) identify and 
recommend solutions to unexpected study problems and (4) discuss ways to 
efficiently coordinate and combine investigation data.


If a project involves research on human subjects, assurance (in accordance 
with Department of Health and Human Services Regulations, 45 CFR Part 46) of 
the protection of human subjects is required.  In addition to other 
applicable committees, Indian Health Service (IHS) institutional review 
committees also must 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 that portion of the 
project applicable to it.  Unless the grantee holds a Multiple Project 
Assurance, a Single Project Assurance is required, as well as an assurance 
for each subcontractor or cooperating institution that has immediate 
responsibility for human subjects.  The Office of  Human Research Protections 
(OHRP) negotiates assurances for all activities involving human subjects that 
are supported by the Department of Health and Human Services (Additional 
information is available at


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 
UPDATED "NIH Guidelines for Inclusion of Women and Minorities as Subjects in 
Clinical Research," published in the NIH Guide for Grants and Contracts on 
August 2, 2000 
a complete copy of the updated Guidelines are available at  The 
revisions relate to NIH defined Phase III clinical trials and require: a) all 
applications or proposals and/or protocols to provide a description of plans 
to conduct analyses, as appropriate, to address differences by sex/gender 
and/or racial/ethnic groups, including subgroups if applicable; and b) all 
investigators to report accrual, and to conduct and report analyses, as 
appropriate, by sex/gender and/or racial/ethnic group differences.


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 comprised when they directly access an Internet site.


Prospective applicants are asked to submit by January 12, 2001, a letter of 
intent that includes a descriptive title of the proposed research, name, 
address, and telephone number of the Principal Investigator, identities of 
other key personnel and participating institutions, and number and title of 
the RFA in response to which the application may be submitted.

Although a letter of intent is not required, is not binding, and does not 
enter into the review of subsequent applications, the information allows 
NIOSH staff to estimate the potential review workload and to avoid conflict 
of interest in the review.

The letter of intent is to 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


Applicants must use Form PHS 398 (rev. 4/98).  Application kits are available 
at most institutional offices of sponsored research and may be obtained from 
the Division of Extramural Outreach and Information Resources, National 
Institutes of Health, 6701 Rockledge Drive, MSC 7910, Bethesda, MD 20892-
7910, telephone 301/710-0267,  Email:  Application kits 
are also available at:

The RFA label available in the PHS 398 (rev. 4/98) application form must be 
affixed to the bottom of the face page of the application.  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 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

Applications must be received by February 22, 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 


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. Those applications that are complete and responsive, will 
undergo further scientific merit review in accordance with the criteria 
stated below for scientific/technical merit by an appropriate peer 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 

Following the scientific review, competitive applications will be reviewed 
for programmatic importance by a NIOSH Secondary Review Committee.

Scientific Review Criteria

The review group will assess the scientific merit of the protocols and 
related factors as follows:

Significance:  Is the application relevant to the objectives outlined in the 
RFA?  Has the applicant described the scope and nature of occupational 
fatalities in the applicant’s State?

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?

Approach:  Does the application provide a plan and a proposed schedule for 
accomplishing each of the activities to be carried out in this project 
including the implementation of surveillance, on-site field investigations, 
dissemination and prevention components and a method for evaluating the 
accomplishments?  Does the plan include a description of the methods the 
State will use to gain access to work sites for onsite investigations and 
secure or review pertinent information, as well as methods to facilitate 
collaboration with other State agencies involved in the investigation?  Is 
there a plan for internal review of investigative reports and any other 
documents produced as a result of the program?  Is there a plan to produce 
and disseminate fatality narrative reports, data, and other information that 
promotes the goals of increasing prevention activities?  Is there an 
evaluation plan to assess the impact of the project on reducing targeted 
types of fatalities?  Are the proposed schedule and personnel adequate for 
accomplishing the proposed activities?  Does the applicant acknowledge 
potential problem areas and consider alternative approaches?  Is the time 
line proposed for the project suitable?

Investigators: Is the principal investigator and her/his collaborators 
appropriately trained and well suited to carry out this work?  Do they have 
adequate experience and competence in surveillance activities? Do they have  
experience in conducting occupational traumatic injury investigations? 
Environment:  Are the applicant’s facilities, equipment, and other resources 
adequate for the performance of this project?  Is there evidence of 
institutional support generally, or specific agency commitment to development 
of occupational fatality surveillance, investigation, and dissemination 
activities?  Are there letters of support or other documentation that 
demonstrates the applicant’s ability to work with diverse groups, establish 
linkages, and facilitate worker safety awareness information?  Is there a 
commitment to share surveillance data with other States in the program so as 
to contribute to the goal of reducing fatalities across the nation?

In addition to the above criteria, all applications will also be reviewed 
with respect to the following:

o  The reasonableness of the proposed budget and duration in relation to the 
proposed research.

o  The adequacy of plans to include both genders, minorities and their 
subgroups, for the scientific goals of the research.

o  The adequacy of the proposed protection for humans, animals or the 
environment, to the extent they may be adversely affected by the project 
proposed in the application.

Programmatic Review Criteria:

o  Magnitude of the problem in terms of numbers of workers affected.

o  Likelihood of developing technical knowledge for the prevention of 
occupational safety hazards on a national, regional, or State basis.


Applications will be considered for award based upon (a) scientific merit, 
(b) program importance, (c) program balance, and (d) availability of funds.


Letter of Intent Receipt Date:  January 12, 2001
Application Receipt Date:       February 22, 2001
Anticipated Award Date:         September 1, 2001


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 ( 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 ( under Extramural Programs, Current Funding 

Direct inquiries regarding programmatic issues to:

Roy M. Fleming, Ph.D. 
Research Grants Program
National Institute for Occupational Safety and Health
Centers for Disease Control and Prevention
1600 Clifton Road, N.E.
Building 1, Room 3053, MS D-30
Atlanta, GA  30333
Telephone: 404/639-3343
FAX: 404/639-4616

Direct inquiries regarding grants management to:

Sheryl L. Heard, Grants Management Specialist
Grants Management Branch, Procurement and Grants Office
Centers for Disease Control and Prevention (CDC)
2920 Brandywine Road, Room 3000
Atlanta, Georgia 30341
Telephone: (770) 488-2723
Email address:


Projects that involve the collection of information from 10 or more 
individuals and funded by cooperative agreement will be subject to review by 
the Office of Management and Budget (OMB) under the Paperwork Reduction Act.


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)], 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 subject to the intergovernmental review 
requirements of Executive Order 12372.


Applicants should be aware of restrictions on the use of HHS funds for 
lobbying of Federal or State legislative bodies. Under the provisions of 31 
U.S.C. Section 1352, recipients (and their sub-tier 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 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.


The CDC strongly encourages all grant and contract recipients to provide a 
smoke-free workplace and promote the non-use of all tobacco products.  In 
addition, Public Law 103-227, the Pro-Children Act of 1994, prohibits smoking 
in certain facilities (or in some cases, any portion of a facility) in which 
regular or routine education, library, day care, health care, or early 
childhood development services are provided to children.  This is consistent 
with the PHS mission to protect and advance the physical and mental health of 
the American people.

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