GEN IC Request for Approval

Request for genIC Approval

CDC/ATSDR Formative Research and Tool Development

0920-1154

CIO: The Centers for Disease Control and Prevention (CDC), National Institute for Occupational Safety and Health (NIOSH, Pittsburgh Mining Research Division (PMRD).

PROJECT TITLE: Characterization of Haul Truck Health and Safety Issues

PURPOSE AND USE OF COLLECTION: The Centers for Disease Control and Prevention (CDC), National Institute for Occupational Safety and Health (NIOSH), Pittsburgh Mining Research Division (PMRD) seeks approval from the Office of Management and Budget (OMB) to conduct formative research utilizing qualitative interviewing techniques in order to characterize haul-truck-related health and safety issues within the U.S. mining sector. Haul-truck-related accidents continue to be one of the leading health and safety concerns in mining, where haul trucks are wheeled vehicles used to haul material or equipment. However, it is still unclear why these accidents continue to occur and what should be done to prevent and mitigate them.

The goal of this study is to inform future phases of health and safety research for the U.S mining sector by identifying and characterizing health and safety issues related to mine haul truck operators using formative research methods. Specifically, with this information collection, NIOSH researchers are hoping to gain a better understanding of 1) the goals, skills, challenges, and task requirements for haul truck operators and 2) to learn how haul truck operators respond to challenging or non-routine scenarios and gain a greater depth of knowledge about these scenarios.

Information collected for this project will not require rigorous statistical analysis. Interview data will be analyzed using a grounded theory approach to identify themes or patterns in the data that describe the decisions, behaviors, and expectations of haul truck operators.

DESCRIPTION OF RESPONDENTS: Participants invited to take part in this study will be workers from the private sector including haul truck operators, operations and maintenance supervisors, managers, and health and safety professionals currently working at a surface mine site within the United States. All participants must be 18 years of age or older. All participants must be able to speak and read English. There are no restrictions for participation based on gender, race, ethnic community, or socioeconomic status. Data collection will focus on two subpopulations:

1. mine haul truck operators who currently worked in the U.S. mining sector; and

2. mine supervisors/managers/safety professionals or individuals who work in a position that supports/oversees haul truck operations.

CERTIFICATION:

I certify the following to be true:

1. The collection is voluntary.

2. The collection is low-burden for respondents and low-cost for the Federal Government.

3. The collection is non-controversial and does not raise issues of concern to other federal agencies.

4. Information gathered will not be used to substantially inform influential policy decisions.

5. The study is not intended to produce results that can be generalized beyond its scope.

Name: Jennica L. Bellanca, MS

To assist review, please answer the following questions:

Personally Identifiable Information:

1. Is personally identifiable information (PII) collected? [ ] Yes [X] No

2. If Yes, is the information that will be collected included in records that are subject to the Privacy Act of 1974? [ ] Yes [ ] No

3. If Applicable, has a System or Records Notice been published? [ ] Yes [ ] No

Gifts or Payments:

Is an incentive (e.g., money or reimbursement of expenses, token of appreciation) provided to participants? [ ] Yes [X] No

BURDEN HOURS

Types of Respondents	Form Name	No. of Respondents	Average Burden per Response (in hours)	Total Burden (in hours)
Mine Haul Truck Operators	Cognitive Task Analysis (CTA) Interview (Attachment B)	48	1	48
Mine Haul Truck Operators	Critical Decision Method (CDM) Interview (Attachment C)	48	1	48
Mine Supervisors, Managers, or Safety Professionals	Cognitive Task Analysis (CTA) Interview (Attachment B)	24	1	24
Total				120

FEDERAL COST: The estimated annual cost to the Federal government is $138,896.

If you are conducting a focus group, survey, or plan to employ statistical methods, please provide answers to the following questions:

The selection of your targeted respondents

1. Do you have a customer list or something similar that defines the universe of potential respondents and do you have a sampling plan for selecting from this universe? [ ] Yes [X] No

If the answer is yes, please provide a description of both below (or attach the sampling plan)? If the answer is no, please provide a description of how you plan to identify your potential group of respondents and how you will select them?

Mining companies will first be contacted through existing professional relationships to determine interest in participating in the research study. Mine sites will be also be recruited based on size and commodity. Researchers aim to collect data from small, medium, and large mines. The target mines should also be surface metal, nonmetal, stone, or sand and gravel mines. If a mining company expresses interest, NIOSH researchers will work with the mine site management or safety department to identify potential study candidates. The mine site management or safety department will be provided with information about the study that can be shared with potential participants. Additional recruitment will be achieved through a snowball sampling method based on referrals from any initial interviews. The interviews will occur in locations of convenience for the mining company and participants. Possible locations include in the mine office, maintenance shop, training center, or a neutral location (e.g. hotel lobby). The observations will occur at their location of work or as close as possible. Two researchers will attend each observation or interview unless prohibited by the mine site or participant. One researcher will moderate, while the other will take notes. The interviews will also be audio recorded as a requirement for participation. Prior to the interview, participants will be read a verbal informed consent and asked to give verbal affirmation that they agree to participate in the study. Any participants that do not wish to participate will be given the opportunity to leave. Copies of the informed consent will be available to all participants.

NIOSH researchers may conduct interviews with mine site management or safety professionals over the phone. In these cases, researchers will provide a copy of the informed consent forms via email or fax prior to the interview. At the start of a phone call interview, participants will be read a verbal informed consent and asked to give verbal affirmation that they agree to participate in the study. Any participants that do not wish to participate will be given the opportunity to leave the call.

Administration of the Instrument

1. How will you collect the information? (Check all that apply)

[ ] Web-based or other forms of Social Media

[X] Telephone

[X] In-person

[ ] Mail

[ ] Other, Explain

2. Will interviewers or facilitators be used? [X] Yes [ ] No

Please make sure all instruments, instructions, and scripts are submitted with the request.

Instructions for completing genIC Request for Approval for

CDC/ATSDR Formative Research and Tool Development

TITLE OF INFORMATION COLLECTION: Provide the name of the collection that is requested.

PURPOSE and USE: Provide a brief description of the purpose of this collection and how it will be used. If this is part of a larger study or effort, please include this in your explanation.

DESCRIPTION OF RESPONDENTS: Briefly describe the targeted group/groups for this collection.

CERTIFICATION: Please read the certification carefully. If you incorrectly certify, the collection will be returned as improperly submitted or it will be disapproved.

Personally Identifiable Information: Provide answers to the questions.

Gifts or Payments: If you answer yes to the question, please describe the incentive and provide a justification for the amount.

BURDEN HOURS:

Category of Respondents: Identify who you expect the respondents to be in terms of the following categories: (1) Individuals or Households; (2) Private Sector; (3) State, local, or tribal governments; or (4) Federal Government. Only one type of respondent can be selected.

Form: Provide the title of the information collection form.

No. of Respondents: Provide an estimate of the Number of respondents.

Participation Time: Provide an estimate of the amount of time required for a respondent to participate (e.g. fill out a survey or participate in a focus group).

Burden in Minutes: Multiply the Number of responses and the participation time and divide by 60.

FEDERAL COST: Estimate the annual cost to the Federal government for this collection.

If you are conducting a focus group, survey, or plan to employ statistical methods, please provide answers to the following questions:

The selection of your targeted respondents. Please provide a description of how you plan to identify your potential group of respondents and how you will select them. If the answer is yes, to the first question, you may provide the sampling plan in an attachment.

Administration of the Instrument: Identify how the information will be collected. More than one box may be checked. Indicate whether there will be interviewers (e.g. for surveys) or facilitators (e.g., for focus groups) used.

4