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 
http://grants.nih.gov/grants/funding/phs398/phs398.html in an 
interactive format. For further assistance, contact GrantsInfo, 
Telephone 301/435-0714, 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, 
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 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.

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	Office of Extramural Research (OER)			National Institutes of Health (NIH) 9000 Rockville Pike Bethesda, Maryland 20892			Department of Health and Human Services (HHS)
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