Appendix E
Interagency Agreement between CDC/NIOSH and BLS



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Measuring Respirator Use in the Workplace Appendix E Interagency Agreement between CDC/NIOSH and BLS

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Measuring Respirator Use in the Workplace Interagency Agreement between the Centers for Disease Control and Prevention (CDC) National Institute for Occupational Safety and Health (NIOSH) and the U.S. Bureau of Labor Statistics (BLS) (Please cite CDC Agreement # 00FED06925 when billing) This memorandum sets forth terms of an agreement between the Bureau of Labor Statistics (BLS), Department of Labor (DOL), and the Centers for Disease Control and Prevention . (CDC)/National Institute for Occupational Safety and Health (NIOSH), Department of Health and Human Services (DHHS). The agreement allows BLS and NIOSH to carry out a survey of United States employers regarding the use of respiratory protective devices, with NIOSH providing the funding. Description of the Services: The NIOSH respirator certification and research program serves an estimated 5 million respirator wearers who are employed at approximately 1.3 million establishments. This program must assure, as best as is reasonably possible, that users are provided with correct and needed products and information so that they can be properly protected when using respirators. However, there is little reliable information available pertaining to actual respirator use and respirator programs in U.S. industries. The NIOSH respirator certification program operates under the assumption that all respirator users are using respirators in a complete respirator program. On the other hand, sources such as respirator manufacturers, state that users often wear respirators with little training and without the benefit of a respirator program. As a result, there is a pressing need to gather accurate and up-to-date surveillance information regarding respirator use in the workplace so that the NIOSH respirator certification and research program can assure that workers have needed products and are properly informed and protected. Also, the findings from this agreement will benefit workers by providing researchers with information to develop educational interventions for specific populations to improve respirator use in the workplace. To gather this surveillance information, NIOSH has elected to enter into an Interagency Agreement (IA) with BLS because they are uniquely recognized as an unbiased, reliable, and objective source of surveillance information. Furthermore, while NIOSH has technical expertise in the area of respiratory protection, it does not have the established contacts and infrastructure in place for conducting such a survey as BLS. This interagency agreement provides that BLS, in collaboration with NIOSH, will collect, analyze, and disseminate information regarding actual use of respirators and respirator programs (e.g., extent of written programs, expertise of program administrators, types of fit testing, types of respirators, chemical agents associated with respirator wearing) in a representative sample of all of U.S. industry in the 50 states.

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Measuring Respirator Use in the Workplace For protection of participant confidentiality, NIOSH agrees that BLS will not supply the actual questionnaires or reveal the names of any respondents to NIOSH. BLS will maintain all returned questionnaires with facility identifiers for a period of 3 years to facilitate follow-up surveys of respondents. NIOSH intends to use the results of this survey to support needed changes to the Code of Federal Regulation, Title 42, Part 84, Respiratory Protective Devices, if needed. NIOSH also intends to publish results by reporting general trends and use patterns. Responsibilities of BLS: BLS will, throughout all of the work undertaken under this interagency agreement, keep NIOSH informed of progress and difficulties by means of written reports and face-to-face meetings. The written reports will be provided to NIOSH every month for the duration of the agreement. The face-to-face meetings will occur every month, 1–2 weeks after NIOSH’s receipt of the written reports, for the first six months of the agreement. Subsequent face-to-face meetings will be held as needed, at NIOSH’s discretion. BLS will schedule the face-to-face meetings in consultation with the NIOSH project officer for the agreement, with the locations alternating between BLS offices in Washington, DC, and NIOSH offices in Morgantown, West Virginia. The meetings will each be chaired by BLS. BLS will prepare a timeline for the work to be conducted within this interagency agreement. The timeline will include a list of all significant tasks/events, the beginning and ending dates associated with each significant task/event, and indications of the inter-relationships of significant tasks and events. The timeline will be an evolving document, with updates and modifications made by BLS and reported to NIOSH as a part of each monthly report described above. BLS will have primary responsibility for survey sample design. The survey will collect data from about 40,000 private sector establishments by mail. BLS will design a sample based on the Standard Industrial Classification (SIC) system that will, to the extent possible, map into publishable data by the North American Industrial Classification System (NAICS) industries. The BLS design will be consistent with NIOSH’s intent to obtain accurate national data for the NAICS sectors and establishment size categories listed in Appendix A. BLS will provide the design for a field test survey, the final survey, and the sample selection, along with anticipated accuracy of estimates (of numbers and percentages of workers associated with the industry/establishment size categories indicated by Appendix A) to NIOSH for comment, and will make modifications to the design based on NIOSH comments as appropriate. BLS will use the field test survey to: identify survey questions which respondents have difficulty understanding; estimate respondent burden; and assess whether respondents are able to provide accurate responses to individual questions. Results of the field test will be shared with NIOSH prior to initiation of the final survey. BLS will use the final survey data to develop estimates of the numbers and percentages of U.S. workers and establishments associated with the characteristics described in Appendix A.

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Measuring Respirator Use in the Workplace BLS will use a survey questionnaire drafted by NIOSH (Appendix B) for this agreement. The draft questionnaire indicates the type of information NIOSH wishes to obtain from employers. BLS will make use of its cognitive design facilities to design a survey collection form to gather the information specified in the NIOSH questionnaire. BLS and NIOSH will jointly determine what issues are to be addressed during the cognitive testing and field tests, and how to address any changes to the questionnaire or survey process suggested by the cognitive testing and field tests. BLS will conduct a field test of the survey. BLS will include provisions in the design of the field test and in the analysis of the field test results to estimate (1) the extent to which questions are understood by respondents, and (2) the extent to which respondents will accurately respond to the questions as they are understood. The field test will also provide some indications of expected response rates for the full survey. However, the sample for the field test will not be sufficiently large nor distributed across all industries and size classes to support formal response rate estimates. BLS will obtain Office of Management and Budget clearance for this the work covered by this agreement. In obtaining that clearance, BLS will make use of information from NIOSH addressing the need for the data to be developed under this agreement. BLS will keep NIOSH fully informed about any changes to the survey that arise in the discussions with OMB so NIOSH has an opportunity to participate. BLS will manage all survey operations. BLS will print the questionnaire and mail the questionnaire to the sample of about 40,000 establishments. BLS will mail follow-up letters and questionnaires to all non-respondents to the initial mailing. BLS will contact non-respondents by telephone as necessary to determine if respirators are used in the establishment and to encourage completion of the full questionnaire. BLS will strive to achieve a projected response rate of at least 70%. Beginning with the review of field test results, and through the actual survey operation, BLS will keep NIOSH informed of the expected response rate, where “response” is defined as a properly completed set of responses (i.e., not counting improper partial responses). As a part of informing NIOSH of response rates, BLS will provide NIOSH with aggregate data oh the respondents and nonrespondents at the conclusion of the survey. This aggregate data will include frequencies of response and non-response within each cell formed by the intersections of industry and size category strata. BLS will balance confidentiality and access to information as a part of work under this agreement, so as to maximize the data available to NIOSH for further research and analysis. BLS will pledge confidentiality of the individual answers to the questionnaire to survey respondents and therefore, will not supply the actual questionnaires or reveal the names of any respondents to NIOSH. BLS will maintain data from all returned questionnaires with facility identifiers for a

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Measuring Respirator Use in the Workplace period of 3 years to facilitate follow-up surveys of respondents. After completing an Interagency Personnel Agreement, NIOSH staff may access the micro data from the survey on-site at BLS. In addition, BLS will provide as much data, in electronic format, to NIOSH for analysis and research as is possible within the constraints of protecting confidentiality. These data will be provided as ASCII and Microsoft Excel files. BLS will provide NIOSH with a list of characteristics of establishments to which BLS has access for the surveyed population. This list might include, for example, region, state, age of establishment, organized labor presence, and workers’ compensation insurance rates. BLS will work with NIOSH to develop a decision logic for the analysis and reporting of data. This decision logic will address issues such as lack of response, inconsistent responses, analyses other than those listed by Appendix A, and such other issues as may become apparent during the course of the work. The need for analyses other than those listed by Appendix A is expected to be small, with no more than an additional 4 or 5 tables. BLS will analyze the survey results to make national estimates about the use of respirators in the U.S. Those estimates will be presented in a report to NIOSH that (a) describes the sampling plan and methods, (b) describes the methods of analysis and the basis of the estimates, and (c) includes estimates for each of the categories described in Appendix A of this agreement. These estimates will make use of respondent data as well as imputed data for non-respondents, based on the known characteristics of those non-respondents and data for respondents with similar characteristics. Responsibilities of NIOSH: NIOSH will provide funding for the work covered by this agreement. NIOSH will provide a draft questionnaire (Appendix B) which BLS will use to design the survey collection form through cognitive design and field testing. NIOSH will review and approve the final survey collection form. NIOSH will comment on the design for a field test survey, the actual survey, and the sample selection provided by BLS. NIOSH will revise the questionnaire in consultation with BLS if problems with the questionnaire design are encountered during the field-test. Shared responsibilities of BLS and NIOSH: Publication – This work may result in publications by BLS and NIOSH, either independently or jointly. If either party chooses to publish a report

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Measuring Respirator Use in the Workplace independently of the other party, the report must include a credit or a disclaimer for the other party, whichever the other party determines is appropriate. BLS and NIOSH agree to work cooperatively toward: a first joint publication of the data from this agreement; future efforts to re-analyze, review and/or renew existing data; implementation of follow-up questionnaires to meet the needs of both agencies in obtaining and disseminating information regarding working conditions of workers. Confidentiality—In accordance with the BLS Commissioner’s Order 3-93, “Confidential Nature of BLS Records,” data collected or maintained by BLS under a pledge of confidentiality are treated in a manner that will assure that individually identifiable data will be used only for statistical purposes and will be accessible only to authorized persons. Authorized persons include only those individuals who are responsible for collecting, processing, or using the data in furtherance of BLS statistical purposes. A violation of the confidence placed by the respondents in BLS would endanger the ability of BLS to carry out its duties. BLS protects the confidentiality of its data to the full extent permitted by law, and will not disclose confidential information to individuals other than authorized persons, as identified in Commissioner’s Order 3-93. Under this agreement, BLS shall release only that information that BLS has determined will not disclose identifying information about its respondents. BLS shall not disclose confidential information including, but not limited to, survey materials, universe lists, survey composition information, names and addresses of respondents, and individual establishment data. Duration of the agreement:   Beginning Ending Agreement Period 5/1/2000 12/31/2003 Agreement Funding Periods 5/1/2000 9/30/2000   10/1/2000 9/30/2001

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Measuring Respirator Use in the Workplace Estimated Cost: FY2000: $130,000 FY2001: $273,000 FY2002: $0 FY2003: $0 FY2004: $0 Authority: The authority to perform special work or services for other Federal agencies on a cost basis appears in Title 31 U.S.C. 1535–1536. This authorizes the performance of the work or service involved only to the extent that they are consistent with BLS’ proper performance of its basic public duties and obligations, and the relative importance of the request to others, In addition, employment ceilings and paperwork reduction guidelines imposed by the Office of Management and Budget may impair BLS’ ability to perform the work. If BLS is unable to adhere to the timing and other requirements of this agreement because of the restrictions mentioned above, BLS will obtain NIOSH approval before modifying any work requirements. This agreement is entered into pursuant to the authority of the Economy Act of 1932, as amended (31 USC 1535) and adheres to Federal Acquisition Regulation (FAR) 6.002 and other applicable Federal laws and regulations. The work requested will not place the BLS into direct competition with the private sector. Travel: Travel under this agreement is subject to allowances authorized in accordance with the Federal Travel Regulations, the Joint Federal Travel Regulations and/or the Foreign Service Regulations.

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Measuring Respirator Use in the Workplace Equipment: No equipment is being provided. If equipment is procured in order to provide service, CDC will retain title to the equipment. Participating Federal Agencies’ Contacts: NIOSH Contact Person: Barbara Brown Program Analyst NIOSH Division of Respiratory Disease Studies 1095 Willowdale Road Morgantown, West Virginia 26505 (304) 285-5723 Project Officer: Dennis Groce Industrial Hygienist NIOSH Division of Respiratory Disease Studies 1095 Willowdale Road Morgantown, WV 2650 (304) 285-6258 Bureau of Labor Statistics: Contact Person: William McCarthy Safety and Health Program Analysis and Control Room 3180 Postal Square Building 2 Massachusetts Ave. N.E. Washington D.C. 20212 (202) 691-6163 Project Officer: Katharine Newman Safety Health Program Analysis and Control Room 3180 Postal Square Building 2 Massachusetts Ave. N.E. Washington D.C. 20212 (202) 691-6162 Accounting Information: The charge for services shall include both direct and indirect costs applicable to this agreement. BLS will base the final charge for this work on the actual costs incurred. When the requesting party (NIOSH) pays in advance and actual costs are less that the estimate, BLS will refund the difference. In any instance where BLS cannot complete the work within the indicated cost, BLS will notify NIOSH of this before BLS exceeds or adjusts the cost estimate.

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Measuring Respirator Use in the Workplace All funds provided by CDC in this agreement must be obligated by the end of the year in which the funds expire. Any unobligated but expired funds may not be used to fund services in subsequent periods. The CDC Financial Management Office must be notified of any unobligated funds pertaining to this agreement at least 15 days before the end of the fiscal year so that the agreement can be amended to reduce the obligated amount when appropriate. The notification must be submitted to the address cited below. When funds are provided to the performing agency in advance of services being performed or goods being delivered, the performing agency is require to provide, within 15 days of the end of each quarter, statements of obligations and expenditures made during the quarter. These statements should be provided to the address below. Agency financial contacts and payment information for the OPAC system are as follows: CDC/NIOSH Att: OPAC Desk Financial Management Office 4676 Columbia Parkway, M/S C-5 Cincinnati, OH 45226 CDC EIN No. 58-6051157 CDC Agreement No. 00-18 Common Accounting Number: 0-9277236 Cost Center: 8C5D Appropriation: 7500943 CDC ALC 75090527 (Please cite CDC Agreement # 00FED06925 when billing) Luvenee Davis Henry Division of Financial Planning and Management Bureau of Labor Statistics Room 4135 Postal Square Building 2 Massachusetts Avenue, N.E. Washington, D.C. 20212 (202) 691-7773 ALC No. 1601 2011

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Measuring Respirator Use in the Workplace Modification and Cancellation Clause: This agreement may be canceled with 60 days written notice, whereby both parties mutually agree in the cancellation. In particular, the agencies agree that funding for 2001 is conditional upon congressional approval of the NIOSH budget and appropriate allocations of funds within NIOSH. NIOSH will reimburse BLS for orderly shut-down should the agreement be cancelled prior to the scheduled completion due to a lack of funding. If the agreement is shut down during fiscal year 2000, shut down expenses will be paid from fiscal year 2000 funds, and no charges in fiscal year 2001 will result. The appropriate Agency will be notified 90 days prior to agreement expiration date of any intent to continue the agreement into the next fiscal year. Approvals Approved and Accepted for CDC By: Diane Porter Associate Director for Management, NIOSH (404) 639-3771 Date Approved and Accepted for BLS By: William Weber, Assistant Commissioner for Safety, Health, and Working Conditions (202) 691-6304 Date And: Peter Spolarich, Chief, Division of Financial Planning and Management (202) 691-7770 Date

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