CONTINUATION SUPPORT FOR STATE-BASED SENSOR PROGRAMS

RELEASE DATE:  March 21, 2002

RFA: OH-02-013

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 Safety and Health (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 continuation of the 
Sentinel Event Notification Systems for Occupational Risks 
(SENSOR), a state-based occupational surveillance program.  The 
purpose of this announcement is to provide support for SENSOR 
programs for a condition(s) that is a high priority in the 
respective state and for which the state has developed a SENSOR 
model(s) through SENSOR funding. 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 is vital to the 
prevention of occupational diseases, injuries, and hazards. 
Occupational safety and health surveillance entails the ongoing, 
systematic collection, analysis, interpretation, and dissemination 
of relevant health and hazard data. For surveillance to be 
effective, it must be actively linked to intervention and 
prevention activities. 

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). 

In 1987 NIOSH, in conjunction with state health departments, 
initiated the SENSOR program to develop model surveillance systems 
based upon identification and follow-up of sentinel occupational 
disease and injury cases.  During the first five-year funding 
period (1987 - 1992), 10 states received SENSOR funding for 
experimental case-based target conditions which included elevated 
blood lead, carpal tunnel syndrome, pesticide poisoning, 
occupational lung diseases (silicosis, work-related asthma and 
hypersensitivity pneumonitis), and work-related burns. SENSOR 
initially utilized a surveillance approach relying primarily on 
health provider reporting for case ascertainment and involving 
direct intervention at workplaces of reported cases.  

The second five-year funding period (1992-1997) resulted in 12 
states receiving SENSOR awards for field testing model 
surveillance systems for specific conditions (silicosis, work-
related burns, and work-related asthma) and developing new model 
surveillance systems for specific conditions (amputations, cadmium 
poisoning, carbon monoxide poisoning, carpal tunnel syndrome, 
dermatitis, noise-induced hearing loss, pesticide health effects, 
tuberculosis, and youth injury). The SENSOR model evolved over 
this period to include the utilization of existing data sources 
for case ascertainment and the implementation of alternative 
intervention approaches (information dissemination and 
consultation).

The third five-year funding period (1997-2002) resulted in 13 
states receiving SENSOR awards for field testing model systems 
(acute pesticide exposures (including EPA supplemental awards), 
burns, silicosis, and work-related asthma) and further development 
of experimental (new) models (amputations, carpal tunnel syndrome, 
dermatitis, noise-induced hearing loss, and youth injury).  Many 
alternative data sources have been shown to be useful for case 
ascertainment. In addition to intervention activities at a 
particular work site, alternative intervention activities 
(information dissemination, education, consultation, enforcement, 
and research) have been shown to be feasible and effective.  
Evolution of the program has shown that SENSOR is not a single 
surveillance system and that it is far more than just surveillance 
with direct incorporation of active interventions.  No single 
approach to case ascertainment or intervention is appropriate for 
all target conditions or for all state health departments.

With the development of effective and integrated surveillance 
models for single and multiple conditions within states, support 
to sustain these surveillance models is needed.  This RFA is 
intended to provide funds to sustain effective SENSOR programs in 
states, which have received or are currently receiving SENSOR 
awards.

Objectives

The objective of this announcement is to provide support to 
selected state agencies for sustaining SENSOR program activities 
for a condition(s) that is a high priority in their state and for 
which the state has developed a successful SENSOR model(s) through 
prior SENSOR funding.  

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 detailed 
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

NIOSH intends to commit approximately $1,000,000 in FY 2002 to 
fund five to eight cooperative agreement awards (U01). The maximum 
amount that may be requested is $150,000 in total costs (direct 
plus facilities).  If a state has received or is currently 
receiving support for more than one condition, up to $250,000 in 
total costs in the first year may be requested.  Awards will be 
made for a 12-month budget period within a project period up to 
three (3) years.  A minimum of 25% 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, which has received or is currently 
receiving support from SENSOR awards for condition-specific 
surveillance. You may only apply for the same condition that has 
previously been funded, and the expansion (adding new conditions) 
of existing SENSOR programs through this program is not allowed.  

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 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 define SENSOR model program objectives and approaches,
o use mechanisms to ensure that data collection and management 
procedures have necessary quality control and assure 
confidentiality of data,
o identify and implement appropriate intervention activities,
o collaborate with NIOSH, other states and state organizations 
about methods and findings, 
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,  
o analyze data for case-based surveillance, and  
o publish results, interpretations, and conclusions pertaining to 
the SENSOR model program. 

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 
(http://www.cdc.gov/niosh/homepage.html) under Extramural 
Programs, Current Funding Opportunities.

Preapplication Conference Call

Applicants are invited by NIOSH to attend a pre-application 
technical assistance conference on April 18 at 1:30 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 
NIOSH SENSOR and the telephone bridge number is 800-311-3437.  
Interested parties will need the conference code, 440353, 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: [email protected]

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 02064
Telephone: 412/386-6428
FAX: 412/386-6459
Email: [email protected]

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: [email protected]

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 
http://grants.nih.gov/grants/funding/phs398/phs398.html in an 
interactive format. For further assistance contact GrantsInfo, 
Telephone 301/710-0267, Email: [email protected].  
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 applicant"s 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.  Include a progress 
report providing a summary of the SENSOR project"s specific aims 
and the importance of the findings. Provide a statement of 
published and unpublished results and achievements, include a list 
of titles and references for all 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 of the target 
condition, identify cases for in-depth investigation, and pursue 
prevention activities at the state level, include new 
methodologies and expected advantages. 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: 02065
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: [email protected]

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: [email protected]

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: Did the applicant communicate the public health 
importance of the selected condition in the state?  Is the 
application relevant to the objectives outlined in the RFA?  Have 
the broad, long-term objectives of the project and expected 
accomplishments been defined?  Are the need and approaches to link 
surveillance and prevention activities well-described?
Does the application describe the importance of the proposed 
surveillance and associated activities in evaluating and reducing 
occupational injuries, illnesses or hazards? If the aims of the 
application are achieved, how will state-based occupational safety 
and health capacity be advanced? 

(2) Approach: Does the application provide a summary report of the 
previously funded SENSOR program, including a synopsis of past 
related surveillance and intervention activities and 
accomplishments, including a list of reports, presentations, and 
education materials? Does the applicant communicate an approach 
for a SENSOR program that is comprehensive, including intervention 
activities linked to surveillance activities? Are the purpose and 
operation of the SENSOR program adequately described? Does the 
application provide a detailed plan (project design and methods) 
and a realistic schedule for accomplishing each of the activities 
to be carried out in this program? Are the conceptual framework 
and methods adequately developed and appropriate to the aims of 
the project? Are the resources used to operate the surveillance 
system and intervention activity identified?  Are coordination and 
collaboration with relevant local and state agencies described 
adequately?  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 concepts, approaches, or 
objectives for surveillance, intervention, dissemination and other 
associated activities that lead to enhanced efficiencies or cost-
effectiveness?  Does the project propose any relevant new 
activities or methodologies to enhance the developed SENSOR 
program?

(4) Investigators: Are the principal investigator and 
collaborators appropriately trained and well-suited to carry out 
this work? Is the surveillance and intervention work proposed 
appropriate to the experience level of the principal investigator 
and other researchers?

(5) Environment: Are the applicant"s facilities, equipment, and 
other resources adequate for the performance of this project?  Is 
there evidence of agency support generally, or specific agency 
commitment to support 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: Adequacy of plans to include both genders, minorities 
and their subgroups, and children as appropriate for the 
scientific 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.  Does the 
applicant fully describe the involvement of human subjects and 
protections?  

PROGRAMMATIC REVIEW CRITERIA

(1) Magnitude and severity of the condition (problem) in the 
worker population.

(2) The potential to fill gaps in nationwide occupational injury 
and illness surveillance.
 
(3) The potential impact of the surveillance program on the 
prevention of occupational safety and health hazards on a state-
wide basis.

(4) The commitment of the state to supporting an occupational 
safety and health surveillance program.

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, 
http://grants.nih.gov/grants/funding/women_min/women_min.htm., a 
complete copy of the updated Guidelines are available at 
http://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 
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.  

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: 
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. 

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 subject 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.

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			Department of Health and Human Services (HHS)
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