MINING OCCUPATIONAL SAFETY AND HEALTH RESEARCH GRANTS Release Date: October 22, 2001 RFA: RFA-OH-02-005 National Institute for Occupational Safety and Health, (NIOSH) Letter of Intent Receipt Date: November 7, 2001 Application Receipt Date: December 27, 2001 THIS RFA USES "MODULAR GRANT" AND "JUST-IN-TIME" CONCEPTS. MODULAR INSTRUCTIONS MUST BE USED FOR RESEARCH GRANT APPLICATIONS REQUESTING LESS THAN $250,000 PER YEAR IN ALL YEARS. MODULAR BUDGET INSTRUCTIONS ARE PROVIDED IN SECTION C OF THE PHS 398 (REVISION 5/2001) AVAILABLE AT http://grants.nih.gov/grants/funding/phs398/phs398.html. PURPOSE The Centers for Disease Control and Prevention (CDC) announces the availability of fiscal year (FY) 2002 funds for research grant applications on mining occupational safety and health. Applications are sought that investigate the broad issues of mining safety and health through population-based or laboratory research focused on mining safety related to: (1) hearing loss (2) particulate dust exposure, (3) ground failure, (4) large equipment operation (5) diesel exhaust exposure and (6) chemical hazards in mines. The research needs identified in this announcement are consistent with the National Occupational Research Agenda (NORA) developed by NIOSH and partners in the public and private sectors to provide a framework to guide occupational safety and health research in the new millennium towards topics which are most pressing and most likely to yield gains to the worker and the nation. The agenda identifies 21 research priorities. NORA priorities with specific relevance to this announcement are: hearing loss, traumatic injuries, intervention effectiveness, and control technology and personal protective equipment. Information about NORA is available through the NIOSH Home Page, http://www.cdc.gov/niosh/norhmpg.html. You may also refer to http://www.cdc.gov/funding.htm. In addition, the focus areas for mining research in this announcement were developed through analysis of surveillance data and input from stakeholders and federal partners. HEALTHY PEOPLE 2010 CDC is committed to achieving the health promotion and disease prevention objectives of Healthy People 2010, a national activity to reduce morbidity and mortality and improve the quality of life. This announcement is related to the focus area of Occupational Safety and Health. For a copy of Healthy People 2010" (Full Report: Stock No. 017-001-00547-9), write or call: Superintendent of Documents, Government Printing Office, Washington D.C. 20402- 9325, telephone (202) 512-1800 or visit the internet site: http://www.health.gov/healthypeople/. ELIGIBILITY REQUIREMENTS Applications may be submitted by domestic and foreign, public and private nonprofit and for-profit organizations and by governments and their agencies, that is, universities, colleges, research institutions, hospitals, other public and private nonprofit and for-profit organizations, State and local governments or their bona fide agents, including the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, the Commonwealth of the Northern Mariana Islands, American Samoa, Guam, the Federated States of Micronesia, the Republic of the Marshall Islands, and the Republic of Palau, federally recognized Indian tribal governments, Indian tribes, or Indian tribal organizations, and small, minority, and women-owned businesses that meet the above criteria. Racial/ethnic minority individuals, women, and persons with disabilities are encouraged to apply as Principal Investigators. Note: Title 2 of the United States Code section 1611 states that an organization described in section 501(c)(4) of the Internal Revenue Code that engages in lobbying activities is not eligible to receive Federal funds constituting an award, grant, or loan. MECHANISM OF SUPPORT The mechanism of support will be the individual research project grant (R01). Responsibility for the planning, direction, and execution of the proposed project will be solely that of the applicant. The total requested project period for an application submitted in response to this RFA may not exceed four (4) years. Note: Foreign grants are limited to 3 years. Funding estimates may change. This RFA is a one-time solicitation. FUNDS AVAILABLE Approximately $900,000 is available in FY 2002 to fund 5-7 awards under this RFA. The maximum amount that may be requested is $150,000 direct cost per year. Awards are expected to begin May 1, 2002. Awards will be made for a 12-month budget period within a project period up to four (4) years. Continuation awards within the project period will be made on the basis of satisfactory progress and availability of funds in future years. Use of Funds Applicants should include in their budgets funds for one trip per year for an annual meeting of grantees to be held in Washington, D.C. The purpose of this meeting is to provide an opportunity for the exchange and dissemination of scientific information. RESEARCH OBJECTIVES Background Despite many technological and work environment advances, mining remains one of the most dangerous occupations in the United States. The fatality rate in mining is six times higher than the national average for other industries. Additionally, the severity of injuries for mining exceeds all other industries with the highest percentage of lost work days per incident. Between 1987 and 1996, black lung disease caused the deaths of over 18,000 U.S. coal miners. In addition, more than 65 percent of miners experience occupational hearing loss by the time they retire. With the increased demand for coal to meet the nation’s energy needs, many of the health and safety problems associated with mining will be increased such as noise levels, methane gas levels, respirable dust levels etc. As a result, mining research interests span a wide range of disciplines, and as such researchers with different health focus, may have expertise and interest appropriate for this RFA. However, the objective of any study must explicitly address a mining issue and not be a study that would only contribute to mining safety and health as a secondary outcome. Types of research applications that are appropriate for this topic include but are not limited to the following areas: 1. Hearing loss prevention in miners. Noise-induced hearing loss is more prevalent in the mining industry than other industries with 65 percent of the mining workforce experiencing hearing damage by the time they retire. The confined nature of the environment coupled with the size and power of the mechanized mining equipment are thought to be significant noise factors that contribute to the serious loss of hearing experienced by career miners. Areas of interest include: o characterization of noise exposures around point sources, o characterization of exposure-response relationships, o control technologies (engineering controls and quiet-by-design approaches). 2. Exposure to high concentrations of dusts, particularly silica dust. Miners overexposed to dust concentrations continues to be a significant health risk in the mining industry. Studies have shown that more than 20% of long-wall dust samples are above the compliance level and more than 25% of continuous mining machines and roof bolter samples exceed the silica compliance standards. Coal dust and/or silica dust over exposures in the mining industry are considered a contributing factor for lung diseases which result in more than 1,100 miner deaths per year. The significant increases in mining production over the last 15 years (most notably in underground coal mining)has resulted in greater amounts of coal dust generation. As a result, dust over exposures have increased and are issues in virtually all segments of the mining industry including surface and underground and coal and metal/nonmetal. Areas of interest include: o engineering controls for reducing dust levels, o new instrumentation for near real-time measurements of dust concentrations, o intervention strategies (engineering controls, ventilation, operational designs) for reducing silica dust levels. 3. Fatalities and severe injuries resulting from ground failures. The fatality rate in mining is six times higher than the national average for other industries. Additionally, the severity of injuries for mining exceeds all other industries. Historically, 30% to 50% of fatalities in underground mines and 15% to 20% of injuries are the result of ground failures. Slope failures on surface mines have resulted in 33 fatalities during the period 1995 to 2000. High stresses, unfavorable geologic conditions, inability to model and understand rock mass behavior and incomplete knowledge of primary and secondary structural support performance all contribute to ground failure occurrences. Areas of interest include: o design methodologies (structural designs, primary and secondary support systems) for minimizing or eliminating stress concentrations, o development of fundamental understanding of ground deformations and rock performance for both underground and surface mining operations, o blasting practices for surface and underground mines to improve ground control in weak rock, o development of improved characterization methods and support guidelines for weak rock, o development of improved analysis methods for rock and rock support interaction that lead to improved rock support design methods. 4. Fatalities and severe injuries resulting from the operation of large equipment. In the underground workplace, the operation of large equipment is responsible for about 30% of the fatalities and about 24% of the lost-time injuries. Fatalities and lost-time injuries at surface mining operations resulting from equipment use and powered-haulage are 59% and 21%, respectively. The limited visibility around the large machinery and the confined nature of the underground workplace contributes to the hazards of safely operating the equipment. Areas of interest include: o technologies and intervention strategies for reducing injuries from powered-haulage equipment, o intervention approaches and systems for improving operational safety. 5. Exposure of mine workers to diesel exhaust. Diesel particulate matter (DPM) has been declared a probable carcinogen by a number of State, Federal and private health-watch organizations. Recently one non-governmental body responsible for recommending occupational exposure guidelines recommended a DPM concentration limit of 50 micrograms/cubic meter. DPM levels in U.S. mines expose about 30,000 workers to concentrations that approach 20 times this limit. Additionally, the use of diesel- powered equipment in underground mines is increasing as eastern coal mines are beginning to replace battery-powered equipment with diesel-powered. Areas of interest include: o technologies for controlling diesel particulate matter, o surveillance studies detailing exposure levels of mine workers. 6. Exposure of mine workers to chemical hazards. There are a significant number of chemical agents at mining operations ranging from naturally occurring liquid hydrocarbons to metals and other hazardous compounds used in milling and refinery facilities. The metal mining industry has almost 50% of metal fume samples above the permissible exposure level (PEL) and almost 38% of those samples are more than double the PEL for silver fumes. Other over exposures in metal mines include 6% for chromic acid/chromate, 5% for copper, 12% for mercury, and 3% for copper. Areas of interest include: o well designed epidemiological studies for exposure to specific chemical/metal (e.g., silver), o characterization of exposures to milling reagents and organic chemicals currently in use, o approaches for eliminating or reducing worker exposure to chemical hazards in mining and milling. INCLUSION OF WOMEN AND MINORITIES IN RESEARCH INVOLVING HUMAN SUBJECTS It is the policy of the CDC to ensure that individuals of both sexes and the various racial and ethnic groups will be included in CDC-supported research projects involving human subjects, whenever feasible and appropriate. Racial and ethnic groups are those defined in OMB Directive No. 15 and include American Indian or Alaska Native, Asian, Black or African American, Hispanic or Latino, Native Hawaiian or other Pacific Islander. Applicants shall ensure that women, racial and ethnic minority populations are appropriately represented in applications for research involving human subjects. Where clear and compelling rationale exist that inclusion is inappropriate or not feasible, this situation must be explained as part of the application. This policy does not apply to research studies when the investigator cannot control the race, ethnicity, and/or sex of subjects. Further guidance to this policy is contained in the Federal Register, Vol. 60, No. 179, pages 47947-47951, and dated Friday, September 15, 1995. INCLUSION OF CHILDREN AS PARTICIPANTS IN RESEARCH INVOLVING HUMAN SUBJECTS It is the policy of CDC and NIH that children (i.e., individuals under the age of 21) must be included in all human subjects research, conducted or supported by the NIH, unless there are scientific and ethical reasons not to include them. This policy applies to all initial (Type 1) applications submitted for receipt dates after October 1, 1998. This policy will be followed by NIOSH for this announcement. All investigators proposing research involving human subjects should read the "NIH Policy and Guidelines on the Inclusion of Children as Participants in Research Involving Human Subjects" that was published in the NIH Guide for Grants and Contracts, March 6, 1998, and is available at the following URL address: http://grants.nih.gov/grants/funding/children/children.htm. Investigators also may obtain copies of these policies from the program staff listed under INQUIRIES. Program staff may also provide additional relevant information concerning the policy. HUMAN SUBJECTS REQUIREMENTS If the proposed project involves research on human subjects, the applicant must comply with the Department of Health and Human Services (DHHS) Regulations (Title 45 Code of Federal Regulations Part 46) regarding the protection of human research subjects. All awardees of CDC grants and cooperative agreements and their performances sites engaged in human subjects research must file an assurance of compliance with the regulations and have continuing reviews of the research protocol by appropriate institutional review boards. In order to obtain a federal-wide Assurance (FWA) of Protection for Human Subjects, the applicant must complete an on-line application at the Office for Human Research Protections (OHRP) website or write to the OHRP for an application. OHRP will verify that the signatory official and the Human Subjects Protections Administrator have completed the OHRP Assurance Training/Education Module before approving the FWA. Existing Multiple Project Assurances (MPAs), Cooperative Project Assurances (CPAs), and Single Project Assurances (SPAs) remain in full effect until they expire or until December 31, 2003, whichever comes first. To obtain a FWA contact the OHRP at: http://www.hhs.gov/ohrp/assurances/assurances_index.html or write to: Office for Human Research Protections (OHRP) Department of Health and Human Services 6100 Executive Boulevard, Suite 3B01, MSC 7501 Rockville, Maryland 20892-7507 (Note: For Express or Hand Delivered Mail, Use Zip Code 20852) Note: In addition to other applicable committees, Indian Health Service (IHS) institutional review committees must also review the project if any component of IHS will be involved with or will support the research. If any American Indian community is involved, its tribal government must also approve the applicable portion of that project. REQUIRED EDUCATION ON THE PROTECTION OF HUMAN SUBJECT PARTICIPANTS NIH policy requires education on the protection of human subject participants for all investigators submitting NIH proposals for research involving human subjects. This policy announcement is found in the NIH Guide for Grants and Contracts Announcement dated June 5, 2000, at the following website: http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html. ANIMAL SUBJECTS REQUIREMENTS If the proposed project involves research on animal subjects, compliance with the PHS Policy on Humane Care and Use of Laboratory Animals by Awardee Institutions is required. An applicant (as well as each subcontractor or cooperating institution that has immediate responsibility for animal subjects) proposing to use vertebrate animals in CDC-supported activities must file (or have on file) the Animal Welfare Assurance with the Office of Laboratory Animal Welfare (OLAW) at the National Institutes of Health. The applicant must provide in the application the assurance of compliance number and evidence of review and approval (including the date of the most recent approval) by the Institutional Care and Use Committee (IACUC). Web page http://grants.nih.gov/grants/olaw/references/phspol.htm. URLS IN NIOSH GRANT APPLICATIONS OR APPENDICES All applications must be self-contained within specified page limitations. Unless otherwise specified, internet addresses (URLs) should not be used to provide information necessary to the review because reviewers are under no obligation to view the internet sites. Reviewers are cautioned that their anonymity may be compromised when they directly access an internet site. PUBLIC ACCESS TO RESEARCH DATA THROUGH THE FREEDOM OF INFORMATION ACT By regulation (45 CFR 74.36), grantees that are institutions of higher education, hospitals, or non-profit organizations are required to provide public access to research data through the Freedom of Information Act (FOIA) under some circumstances (OMB Circular A-110). Data that are (1) first produced in a project that is supported in whole or in part with Federal funds and (2) cited publicly and officially by a Federal agency in support of an action that has the force and effect of law (i.e., a regulation) may be accessed through FOIA. It is important for applicants to understand the basic scope of this amendment. For further information on this policy refer to page 52 in the PHS 398 grant application or access the NIH Guide for Grants and Contracts Announcement at: http://grants.nih.gov/grants/policy/a110/a110_guidance_dec1999.htm. Applicants may wish to place data collected under this RFA in a public archive, which can provide protections for the data and manage the distribution for an indefinite period of time. If so, the application should include a description of the archiving plan in the study design and include information about this in the budget justification section of the application. In addition, applicants should think about how to structure informed consent statements and other human subjects procedures given the potential for wider use of data collected under this award. LETTER OF INTENT Prospective applicants are asked to submit, by November 7, 2001, a letter of intent that includes the number and title of the RFA, the research area, a descriptive title of the proposed research, the name, address, and telephone number of the Principal Investigator, and the identities of other key personnel and participating institutions. Although a letter of intent is not required, is not binding, and is not used in the review of an application, the information that it contains is used to estimate the potential review workload and plan the review. The letter of intent is to be submitted to: Gwendolyn Cattledge, Ph.D., M.S.E.H. National Institute for Occupational Safety and Health Centers for Disease Control and Prevention (CDC) 1600 Clifton Road, N.E. Building 1, Room 3056, MS D-28 Atlanta, GA 30333 Telephone: 404-639-2378 Fax: 404-639-4175 Email: gcattledge@cdc.gov APPLICATION PROCEDURES The PHS 398 research grant application instructions and forms (rev. 5/2001) at http://grants.nih.gov/grants/funding/phs398/phs398.pdf must be used in applying for these grants. This version of PHS 398 is available in an interactive, searchable format. Although applicants are strongly encouraged to begin using the 5/2001 revision of the PHS 398 as soon as possible, the NIOSH will continue to accept applications prepared using the 4/1998 revision until January 9, 2002. Beginning January 10, 2002, however, the NIOSH will return applications that are not submitted on the 5/2001 version. For further assistance contact GrantsInfo, Telephone 301/710-0267, Email: GrantsInfo@nih.gov. SPECIFIC INSTRUCTIONS FOR MODULAR GRANT APPLICATIONS The modular grant concept establishes specific modules in which direct costs may be requested as well as a maximum level for requested budgets. Only limited budgetary information is required under this approach. The just-in-time concept allows applicants to submit certain information only when there is a possibility for an award. It is anticipated that these changes will reduce the administrative burden for the applicants, reviewers and NIH staff. The research grant application form PHS 398 (rev. 5/2001) at http://grants.nih.gov/grants/funding/phs398/phs398.html is to be used in applying for these grants, with modular budget instructions provided in Section C of the application instructions. Applicants are permitted, however, to use the 4/1998 revision of the PHS 398 for scheduled application receipt dates until January 9, 2002. If you are preparing an application using the 4/1998 version, please refer to the step-by-step instructions for Modular Grants available at http://grants.nih.gov/grants/funding/modular/modular.htm. Additional information about Modular Grants is also available on this site. The RFA label available in the PHS 398 (rev. 5/2001) application form (http://grants.nih.gov/grants/funding/phs398/labels.pdf) must be affixed to the bottom of the face page of the application. Type the RFA number on the label. Failure to use this label could result in delayed processing of the application such that it may not reach the review committee in time for review. In addition, the RFA title and number must be typed on line 2 of the face page of the application form and the YES box must be marked. Submit a signed, typewritten original of the application, including the Checklist, and three signed photocopies, in one package to: Center for Scientific Review (CSR) National Institutes of Health 6701 Rockledge Drive, Room 1040 - MSC 7710 Bethesda, MD 20892-7710 Bethesda, MD 20817 (for express/courier service) At the time of submission, two additional copies of the application must also be sent to: Gwendolyn Cattledge, Ph.D., M.S.E.H. National Institute for Occupational Safety and Health Centers for Disease Control and Prevention (CDC) 1600 Clifton Road, N.E. Building 1, Room 3056, MS D-28 Atlanta, GA 30333 Telephone: 404-639-2378 Fax: 404-639-4175 Email: gcattledge@cdc.gov Applications must be received by December 27, 2001. If an application is received after that date, it will be returned to the applicant without review. CSR and NIOSH will not accept any application in response to this RFA that is essentially the same as one currently pending initial review, unless the applicant withdraws the pending application. CSR and NIOSH will not accept any application that is essentially the same as one already reviewed. This does not preclude the submission of a substantial revision of an application already reviewed, but such an application must follow the guidance in the PHS Form 398 application instructions for the preparation of revised applications, including an introduction addressing the previous critique. REVIEW CONSIDERATIONS Upon receipt, applications will be reviewed for completeness by CSR and responsiveness by NIOSH. Applications determined to be incomplete or unresponsive to this RFA will be returned to the applicant without further consideration. Applications that are complete and responsive to the RFA will be reviewed for technical merit by a scientific review group convened by NIOSH. All applications will be judged on the basis of the scientific merit of the proposed project and the documented ability of the investigators to meet the RESEARCH OBJECTIVES of the RFA. As part of the scientific merit review, all applications will receive a written critique and undergo a process in which only those applications deemed to have the highest scientific merit, generally the top half of applications under review, will be discussed and assigned a priority score. Following the scientific merit review, applications will then be reviewed by NIOSH according to the programmatic review criteria below. Scientific Review Criteria o Significance - Does this study address an important problem related to the topical research issues outlined in this announcement? If the aims of the application are achieved, how will scientific knowledge be advanced? What will be the effect of these studies on the concepts or methods that drive this field? o Approach - Are the conceptual framework, design (including composition of study population), methods, and analyses adequately developed, well-integrated and appropriate to the aims of the project? Does the applicant acknowledge potential problem areas and consider alternative tactics? o Innovation - Does the project employ novel concepts, approaches or methods? Are the aims original and innovative? Does the project challenge existing paradigms or develop new methodologies or technologies? o Investigator - Is the investigator appropriately trained and well-suited to carry out this work? Is the work proposed appropriate to the experience level of the principal investigator and other researchers, if any? o Environment - Does the scientific environment in which the work will be done contribute to the probability of success? Do the proposed experiments take advantage of unique features of the scientific environment or employ useful collaborative arrangements? Is there documentation of cooperation from industry, unions, communities, or other participants in the project, where applicable? Is there evidence of institutional support and availability of resources necessary to perform the project? o Adequacy of plans to include both genders, minorities and their subgroups, and children as appropriate for the scientific goals of the research. Plans for the recruitment and retention of subjects will also be evaluated. o The adequacy of the proposed protection of humans, animals, or the environment, to the extent that they may be adversely affected by the project proposed in the application. o Availability of special opportunities for furthering research programs through the use of unusual talent resources, populations, or environmental conditions in other countries which are not readily available in the United States or which provide augmentation of existing U.S. resources. Programmatic Review Criteria o Magnitude of the problem in terms of numbers of workers affected. o Severity of the disease or injury in the worker population. o Likelihood of developing applied technical knowledge for the prevention of occupational safety and health hazards on a national or regional basis. SCHEDULE Letter of Intent Receipt Date: November 7, 2001 Application Receipt Date: December 27, 2001 Anticipated Award Date: May 1, 2002 AWARD CONSIDERATIONS Applications will be considered for award based upon (a) scientific merit, (b) program importance, (c) program balance in research areas, and (d) availability of funds. A priority for funding under this RFA are Schools or Departments of Mining Engineering. INQUIRIES Inquiries concerning this RFA are encouraged. The opportunity to clarify any issues or questions from potential applicants is welcome. This RFA and other CDC Announcements can be found on the CDC HomePage (http://www.cdc.gov) under the Funding section (see Grants and Cooperative Agreements scroll down to Occupational Safety and Health ). This RFA can also be found on the NIOSH HomePage (http://www.cdc.gov/niosh) under Extramural Programs , Current Funding Opportunities . Direct inquiries regarding programmatic issues to: Michael Galvin, Ph.D. Office of Extramural Programs National Institute for Occupational Safety and Health Centers for Disease Control and Prevention 1600 Clifton Road, N.E. Building 1, Room 3065, MS D-28 Atlanta, GA 30333 Telephone: 404/639-1533 FAX: 404/639-0035 Email: mgalvin@cdc.gov Direct inquiries regarding grants management business matters to: Joanne Wojcik Grants Management Branch Procurement and Grants Office CDC Announcement Number CDC 02016 Centers for Disease Control and Prevention 2920 Brandywine Road, Suite 3000 Atlanta, GA 30341-4146 Telephone: 770/488-2717 Email: jcw6@cdc.gov AUTHORITY AND REGULATIONS The Catalog of Federal Domestic Assistance number is: 93.262 for the National Institute for Occupational Safety and Health (NIOSH). This program is authorized under the Public Health Service Act, as amended, Section 301(a) [42 U.S.C. 241(a)], the Occupational Safety and Health Act of 1970, Section 20(a) [29 U.S.C. 669(a)], and the Mine Safety and Health Act (1977), Section 30 USC 951-961 [30 CFR Part 44). The applicable program regulation is 42 CFR Part 52. This program is not subject to the intergovernmental review requirements of executive order 12372 or Health Systems Agency Review. LOBBYING RESTRICTIONS Applicants should be aware of restrictions on the use of Health and Human Services (HHS) funds for lobbying of Federal or State legislative bodies. Under the provisions of 31 U.S.C. Section 1352, recipients (and their subtier contractors) are prohibited from using appropriated Federal funds (other than profits from a Federal contract) for lobbying congress or any Federal agency in connection with the award of a particular contract, grant, cooperative agreement, or loan. This includes grants/cooperative agreements that, in whole or in part, involve conferences for which Federal funds cannot be used directly or indirectly to encourage participants to lobby or to instruct participants on how to lobby. In addition, no part of the Center for Disease Control and Prevention (CDC) appropriated funds shall be used, other than for normal and recognized executive-legislative relationships, for publicity or propaganda purposes, for the preparation, distribution, or use of any kit, pamphlet, booklet, publication, radio, television, or video presentation designed to support or defeat legislation pending before the Congress or any State or local legislature, except in presentation to the Congress or any State or local legislature itself. No part of the appropriated funds shall be used to pay the salary or expenses of any grant or contract recipient, or agent acting for such recipient, related to any activity designed to influence legislation or appropriations pending before the Congress or any State or local legislature. Any activity designed to influence action in regard to a particular piece of pending legislation would be considered lobbying. That is lobbying for or against pending legislation, as well as indirect or grass roots" lobbying efforts by award recipients that are directed at inducing members of the public to contact their elected representatives at the Federal or State levels to urge support of, or opposition to, pending legislative proposals is prohibited. As a matter of policy, CDC extends the prohibitions to lobbying with respect to local legislation and local legislative bodies. The provisions are not intended to prohibit all interaction with the legislative branch, or to prohibit educational efforts pertaining to public health. Clearly there are circumstances when it is advisable and permissible to provide information to the legislative branch in order to foster implementation of prevention strategies to promote public health. However, it would not be permissible to influence, directly or indirectly, a specific piece of pending legislation. It remains permissible to use CDC funds to engage in activity to enhance prevention, collect and analyze data, publish and disseminate results of research and surveillance data, implement prevention strategies, conduct community outreach services, provide leadership and training, and foster safe and healthful environments. Recipients of CDC grants and cooperative agreements need to be careful to prevent CDC funds from being used to influence or promote pending legislation. With respect to conferences, public events, publication, and grassroots" activities that relate to specific legislation, recipients of CDC funds should give attention to isolating and separating the appropriate use of CDC funds from non-CDC funds. CDC also cautions recipients of CDC funds to be careful not to give the appearance that CDC funds are being used to carry out activities in a manner that is prohibited under Federal law. SMOKE-FREE WORKPLACE CDC strongly encourages all grant recipients to provide a smoke-free workplace and promote the non-use of all tobacco products, and Public Law 103-227, the Pro-Children Act of 1994, prohibits smoking in certain facilities that receive Federal funds in which education, library, day care, health care, and early childhood development services are provided to children. SMALL, MINORITY, AND WOMEN-OWNED BUSINESS It is a national policy to place a fair share of purchases with small, minority and women-owned business firms. The Department of Health and Human Services is strongly committed to the objective of this policy and encourages all recipients of its grants and cooperative agreements to take affirmative steps to ensure such fairness. In particular, recipients should: 1. Place small, minority, women-owned business firms on bidders mailing lists. 2. Solicit these firms whenever there are potential sources of supplies, equipment, construction, or services. 3. Where feasible, divide total requirements into smaller needs, and set delivery schedules that will encourage participation by these firms. 4. Use the assistance of the Minority Business Development Agency of the Department of Commerce, the Office of Small and Disadvantaged Business Utilization, DHHS, and similar state and local offices. RESEARCH INTEGRITY The signature of the institution official on the face page of the application submitted under this Program Announcement is certifying compliance with the Department of Health and Human Services (DHHS) regulations in Title 42 Part 50, Subpart A, entitled "Responsibility of PHS Awardee and Applicant Institutions for Dealing with and Reporting Possible Misconduct in Science." The regulation places several requirements on institutions receiving or applying for funds under the PHS Act that are monitored by the DHHS Office of Research Integrity"s (ORI) Assurance Program. For examples: Section 50.103(a) of the regulation states: "Each institution that applies for or receives assistance under the Act for any project or program which involves the conduct of biomedical or behavioral research must have an assurance satisfactory to the Secretary (DHHS) that the applicant: (1) Has established an administrative process, that meets the requirements of this subpart, for reviewing, investigating, and reporting allegations of misconduct in science in connection with PHS-sponsored biomedical and behavioral research conducted at the applicant institution or sponsored by the applicant, and (2) Will comply with its own administrative process and the requirements of this Subpart." Section 50.103(b) of the regulation states that: "an applicant or recipient institution shall make an annual submission to the [ORI] as follows: (1) The institution"s assurance shall be submitted to the [ORI], on a form prescribed by the Secretary,...and updated annually thereafter...(2) An institution shall submit, along with its annual assurance, such aggregate information on allegations, inquiries, and investigations as the Secretary may prescribe."


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