[Federal Register Volume 62, Number 192 (Friday, October 3, 1997)]
[Notices]
[Pages 51867-51872]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-26275]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Centers for Disease Control and Prevention
[Announcement 811]
National Institute for Occupational Safety and Health; Research
and Demonstration Grants; Occupational Safety and Health
Introduction
The National Institute for Occupational Safety and Health (NIOSH)
of the Centers for Disease Control and Prevention (CDC) is soliciting
grant applications for research and demonstration projects related to
occupational safety and health (see the section Availability of Funds).
CDC is committed to achieving the health promotion and disease
prevention objectives of Healthy People 2000, a national activity to
reduce morbidity and mortality and improve the quality of life. This
announcement is related to the priority area of Occupational Safety and
Health. (For ordering a copy of Healthy People 2000, see the section
Where to Obtain Additional Information.)
Authority
This program is authorized under the Public Health Service Act, as
amended, Section 301 (42 U.S.C. 241); the Occupational Safety and
Health Act of 1970, Sections 20(a) and 22 (29 U.S.C. 669(a) and 671);
and the Federal Mine Safety and Health Act of 1977, Section 501 (30
U.S.C. 951). The applicable program regulations are in 42 CFR part 52.
Smoke-Free Workplace
CDC strongly encourages all grant recipients to provide a smoke-
free workplace and to promote the non-use of all tobacco products, and
Pub. L. 103-227, the Pro-Children Act of 1994, prohibits smoking in
certain facilities that receive Federal funds and in which education,
library, day care, health care, and early childhood development
services are provided to children.
Eligible Applicants
Eligible applicants include domestic and foreign non-profit and
for-profit organizations, universities, colleges, research
institutions, and other public and private organizations, including
State and local governments and small, minority and/or woman-owned
businesses. Exceptions: Foreign organizations, as well as domestic
institutions with a foreign component, are ineligible to apply for the
Special
[[Page 51868]]
Emphasis Research Career Award (SERCA) Grant and Small Grant programs
(additional guidance provided under these mechanisms).
Note: An organization described in section 501(c)(4) of the
Internal Revenue Code of 1986 which engages in lobbying activities
shall not be eligible to receive Federal funds constituting an
award, grant, contract, loan, or any other form.
Availability of Funds
For fiscal year (FY) 1998, the budget is projected to be
$13,500,000. Of that amount, $9,100,000 is committed to support 47 non-
competing continuing awards. Therefore, $4,400,000 is available for new
and competing renewal awards. The overall budget includes funds for
Small Business Innovation Research (SBIR) grants and for health and
safety research related to the construction industry. Target amounts
(continuing and new awards) for certain grant mechanisms are as
follows: 10 R03 grants (about $375,000), 10 K01 grants (about
$540,000), and 5 R29 grants (about $500,000).
Grant applications should be focused on the research priorities
described in the section Funding Priorities that include new research
priorities developed in a process which resulted in defining a National
Occupational Research Agenda.
Background
In today's society, Americans are working more hours than ever
before. The workplace environment profoundly affects health. Each of
us, simply by going to work each day, may face hazards that threaten
our health and safety. Risking one's life or health should never be
considered merely part of the job.
In 1970, Congress passed the Occupational Safety and Health Act to
ensure Americans the right to ``safe and healthful working
conditions,'' yet workplace hazards continue to inflict a tremendous
toll in both human and economic costs.
Employers reported 6.3 million work injuries in 1994 and 515,000
cases of occupational illness. An average of 16 American workers die
each day from injuries on the job. Moreover, even the most conservative
estimates find that about 137 additional workers die each day from
workplace diseases.
Additionally, in 1994 occupational injuries and deaths cost $120.7
billion in wages and lost productivity, administrative expenses, health
care and other costs. This does not include the cost of occupational
disease.
Occupational injury and disease create needless human suffering, a
tremendous burden upon health care resources, and an enormous drain on
U.S. productivity. Yet, to date, this mainstream public health problem
has escaped mainstream public attention.
The philosophy of NIOSH is articulated in the Institute's vision
statement: Delivering on the Nation's Promise: Safety and Health at
Work for All People * * * Through Research and Prevention. To identify
and reduce hazardous working conditions, the Institute carries out
disease, injury, and hazard surveillance and conducts a wide range of
field and laboratory research. Additionally, NIOSH sponsors extramural
research in priority areas to complement and expand its efforts. These
are listed in the section Funding Priorities.
Purpose
The purpose of this grant program is to develop knowledge that can
be used in preventing occupational diseases and injuries. Thus, NIOSH
will support the following types of applied research projects: Causal
research to identify and investigate the relationships between
hazardous working conditions and associated occupational diseases and
injuries; methods research to develop more sensitive means of
evaluating hazards at work sites, as well as methods for measuring
early markers of adverse health effects and injuries; control research
to develop new protective equipment, engineering control technology,
and work practices to reduce the risks of occupational hazards; and
demonstrations to evaluate the technical feasibility or application of
a new or improved occupational safety and health procedure, method,
technique, or system.
Mechanisms of Support
Applications responding to this announcement will be reviewed by
staff for their responsiveness to the following program requirements.
Grants are funded for 12-month budget periods in project periods up to
five years for research project grants and demonstration project
grants; three years for SERCA grants; and two years for small grants.
Continuation awards within the project period are made on the basis of
satisfactory progress and on the availability of funds. The types of
grants NIOSH supports are as follow:
1. Research Project Grants (R01)
A research project grant application should be designed to
establish, discover, develop, elucidate, or confirm information
relating to occupational safety and health, including innovative
methods, techniques, and approaches for dealing with problems. These
studies may generate information that is readily available to solve
problems or contribute to a better understanding of the causes of work-
related diseases and injuries.
2. Demonstration Project Grants (R18)
A demonstration project grant application should address, either on
a pilot or full-scale basis, the technical or economic feasibility of
implementing a new/improved innovative procedure, method, technique, or
system for preventing occupational safety or health problems. The
project should be conducted in an actual workplace where a baseline
measure of the problem will be defined, the new/improved approach will
be implemented, a follow-up measure of the problem will be documented,
and an evaluation of the benefits will be conducted.
3. First Independent Research Support and Transition (FIRST) Grants
(R29)
The FIRST grant is to provide a sufficient period of research
support for newly independent investigators to initiate their own
research and demonstrate the merit of their own research ideas. These
grants are intended to underwrite the first independent investigative
efforts of an individual; to provide a reasonable opportunity to
demonstrate creativity, productivity, and further promise; and to help
in the transition to traditional types of research project grants. The
award is not intended for individuals in mid-career who may be in
transition to another undertaking. It is for a distinct research
endeavor and may not be used merely to supplement or broaden an ongoing
project.
Candidates must (1) be genuinely independent of a mentor, yet at
the same time be at the beginning stages of their research careers, (2)
have no more than 5 years of research experience since completing post-
doctoral research training or its equivalent, (3) not be in training
status at the time of the award, (4) have never been the principal
investigator (PI) on any Public Health Service grant except a Small
Grant (R03) or a Special Emphasis Research Career Award Grants (K01),
and (5) the applicant organizations must be domestic. For non-U.S.
citizens who will be principal investigators, the grantee institution
must indicate in the application that the individual's visa will allow
the person to remain in the country a sufficient length of time to
complete the project. Also, a U.S. citizen must be identified who is a
permanent staff member of the grantee institution and who, if the FIRST
grant
[[Page 51869]]
recipient is unable to stay in the U.S., will be responsible for seeing
the project through to completion.
The PI must request 5 years of support; otherwise, the application
will be reviewed as a traditional research project (R01). There must be
a commitment of no less than 50 percent effort to the proposed project.
The total direct cost for the 5-year period may not exceed $350,000.
The direct cost award in any budget period may not exceed $100,000.
FIRST awards are not renewable; however, a PI may submit an R01
application to continue and extend the research supported by a FIRST
award. Replacement of the PI on a FIRST award will not be approved.
The application must include the following documentation: (1) A
letter or memorandum is needed from a suitable department head or dean
which addresses the eligibility of the proposed PI to lead a research
project independently at the applicant organization (i.e., Is the
proposed PI otherwise qualified to be the PI on a traditional project
grant?). When the application is from the institution where the
proposed PI received post-doctoral research training, it must be made
absolutely clear that the FIRST award would be to support a research
endeavor independent of that conducted in the former training
environment. Details of the intended commitment of the institution to
the project for the 5-year period should be provided. (2) At least
three letters of reference must be submitted. FIRST applicants are to
request the letters well in advance of the application submission,
advising the referees to return the reference letters to the applicant
in sealed envelopes as soon as possible. To protect the utility and
confidentiality of reference letters, applicants are not to open the
envelopes. The sealed envelopes must be attached to the front of the
original application. Reference letters should reflect the
investigator's research originality and potential for independent
investigation. A list of individuals providing letters must be included
as Section 10 of the Research Plan. Names, titles, and institutional
affiliation are needed for each person.
4. Special Emphasis Research Career Award (SERCA) Grants (K01)
The SERCA grant is intended to provide opportunities for
individuals to acquire experience and skills while under the direction
of at least one mentor, and in so doing, create a pool of highly
qualified investigators who can make future contributions to research
in the area of occupational safety and health. SERCA grants are not
intended for individuals without research experience, or for
productive, independent investigators with a significant number of
publications and of senior academic rank. Moreover, the award is not
intended to substitute one source of salary support for another for an
individual who is already conducting full-time research; nor is it
intended to be a mechanism for providing institutional support.
Candidates must: (1) Hold a doctoral degree; (2) have research
experience at or above the doctoral level; (3) not be above the rank of
associate professor; and (4) be employed at a domestic institution. For
non-U.S. citizens who will be principal investigators, the grantee
institution must indicate in the application that the individual's visa
will allow the person to remain in the country a sufficient length of
time to complete the project. Also, a U.S. citizen must be identified
who is a permanent staff member of the grantee institution and who, if
the SERCA grant recipient is unable to stay in the U.S., will be
responsible for seeing the project through to completion.
This non-renewable award provides support for a three-year period
for individuals engaged in full-time research and related activities.
Awards will not exceed $50,000 per year in direct costs for salary
support (plus fringe benefits), technical assistance, equipment,
supplies, consultant costs, domestic travel, publications, and other
costs. The indirect cost rate applied is limited to 8 percent of the
direct costs, excluding tuition and related fees and equipment
expenses, or to the actual indirect cost rate, whichever results in the
lesser amount.
A minimum of 60 percent time must be committed to the proposed
research project, although full-time is desirable. Other work in the
area of occupational safety and health will enhance the candidate's
qualifications but is not a substitute for this requirement. Related
activities may include research career development activities as well
as involvement in patient care to the extent that it will strengthen
research skills. Fundamental/basic research will not be supported
unless the project will make an original contribution for applied
technical knowledge in the identification, evaluation, or control of
occupational safety and health hazards (e.g., development of a
diagnostic technique for early detection of an occupational disease).
Research project proposals must be of the applicants' own design and of
such scope that independent investigative capability will be evident
within three years. At the completion of this three-year award, it is
intended that awardees should be better able to compete for individual
research project grants awarded by NIOSH.
SERCA grant applications should be identified as such on the
application form. Section 2 of the application (the Research Plan)
should include a statement regarding the applicant's career plans and
how the proposed research will contribute to a career in occupational
safety and health research. This section should also include a letter
of recommendation from the proposed advisor(s).
5. Small Grants (R03)
The small grant program is intended to stimulate proposals from
individuals who are considering a research career in occupational
safety and health; as such, the minimum time commitment is 10%. It is
expected that a recipient would subsequently compete for other grant
mechanisms which are described above in items 1 to 4. The award is not
intended to supplement ongoing or other proposed research; nor is it
intended to be a mechanism for providing institutional support. Please
note that fundamental/basic research is generally not supported.
Small grant candidates are predoctoral students, post-doctoral
researchers (within 3 years following completion of doctoral degree or
completion of residency or public health training), or junior faculty
members (no higher than assistant professor). If university policy
requires that a more senior person be listed as principal investigator,
it should be clear in the application which person is the small grant
investigator. For non-U.S. citizens who will be principal
investigators, the grantee institution must indicate in the application
that the individual's visa will allow the person to remain in the
country a sufficient length of time to complete the project. Also, a
U.S. citizen must be identified who is a permanent staff member of the
grantee institution and who, if the small grant recipient is unable to
stay in the U.S., will be responsible for seeing the project through to
completion. Except for applicants who are assistant professors, there
must be one or more named mentors to assist with the project.
A biographical sketch is required for the small grant investigator,
as well as for the supervisor and other key consultants, as
appropriate.
This non-renewable award provides support for project periods of up
to two years to carry out exploratory or pilot studies, to develop or
test new techniques or methods, or to analyze
[[Page 51870]]
data previously collected. Awards will not exceed $25,000 per year in
direct costs for salary support (plus fringe benefits), technical
assistance, equipment, supplies, consultant costs, domestic travel,
publications, and other costs. The indirect costs will be based upon
the negotiated indirect cost rate of the applicant organization. An
individual may not receive more than two small grant awards, and then,
only if the awards are at different stages of development (e.g.,
doctoral student, post-doctoral researcher, or junior faculty member).
Funding Priorities
The NIOSH program priorities, listed below, are applicable to all
of the above types of grants listed under the section Mechanisms of
Support. These priority areas were developed by NIOSH and its partners
in the public and private sectors to provide a framework to guide
occupational safety and health research in the next decade--not only
for NIOSH but also for the entire occupational safety and health
community. Approximately 500 organizations and individuals outside
NIOSH provided input into the development of the National Occupational
Research Agenda (NORA). This attempt to guide and coordinate research
nationally is responsive to a broadly perceived need to address
systematically those topics that are most pressing and most likely to
yield gains to the worker and the nation. Fiscal constraints on
occupational safety and health research are increasing, making even
more compelling the need for a coordinated and focused research agenda.
NIOSH intends to support projects that facilitate progress in
understanding and preventing adverse effects among workers. The
conditions or examples listed under each category are selected
examples, not comprehensive definitions of the category. Investigators
may also apply in other areas related to occupational safety and
health, but the rationale for the significance of the research to the
field of occupational safety and health must be presented in the grant
application.
Potential applicants with questions concerning the acceptability of
their proposed work are strongly encouraged to seek programmatic
technical assistance from the contact listed in this announcement under
the section Where to Obtain Additional Information.
The Agenda identifies 21 research priorities. These priorities
reflect a remarkable degree of concurrence among a large number of
stakeholders. The NORA priority research areas are grouped into three
categories: Disease and Injury, Work Environment and Workforce, and
Research Tools and Approaches. The NORA document is available through
the NIOSH Home Page; http://www.cdc.gov/niosh/nora.html.
NORA Priority Research Areas
Disease and Injury
Allergic and Irritant Dermatitis
Asthma and Chronic Obstructive Pulmonary Disease
Fertility and Pregnancy Abnormalities
Hearing Loss
Infectious Diseases
Low Back Disorders
Musculoskeletal Disorders of the Upper Extremities
Traumatic Injuries
Work Environment and Workforce
Emerging Technologies
Indoor Environment
Mixed Exposures
Organization of Work
Special Populations at Risk
Research Tools and Approaches
Cancer Research Methods
Control Technology and Personal Protective Equipment
Exposure Assessment Methods
Health Services Research
Intervention Effectiveness Research
Risk Assessment Methods
Social and Economic Consequences of Workplace Illness and Injury
Surveillance Research Methods
Applications Submission and Deadlines and Review Dates
The research grant application Form PHS-398 (OMB Number 0925-0001)
is to be used in applying for these grants. These forms are available
at most institutional offices of sponsored research; from the
Extramural Outreach and Information Resources Office, Office of
Extramural Research, 6701 Rockledge Drive, MS-C7910, Bethesda, MD
20892-7910, telephone (301) 435-0714; fax (301) 480-8443; Internet
girg@drgpo.drg.nih.gov; and from the contacts listed under the section
Where to Obtain Additional Information.
The original and five copies of the PHS-398 must be submitted to
Division of Research Grants, National Institutes of Health, Suite 1040,
6701 Rockledge Drive, MS-C7710, Bethesda, MD 20892-7710, on or before
the specified receipt dates provided below. A mailing label is provided
in the Form PHS-398 application package.
The timetable for receiving applications and awarding grants is
given below. This is a continuous announcement, consequently, these
receipt dates will be on-going until further notice.
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Earliest possible start
Receipt date\1\ Initial review Secondary review date
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Research and Demonstration Project Grants
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February 1......................... June/July............. September............. December 1.
June 1............................. Oct/Nov............... January............... April 1.
October 1.......................... Feb/Mar............... May................... August 1.
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SERCA and Small Grants
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March 1............................ June/July............. August................ November 1.
July 1............................. Oct/Nov............... December.............. March 1.
November 1......................... Feb/Mar............... April................. July 1.
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\1\ Deadlines for competing continuation applications or revised applications are 1 month later.
Applications must be received by the above receipt dates. To
prevent problems caused by carrier delays, retain a legible proof-of-
mailing receipt from the carrier, dated no later than one week prior to
the receipt date. If the receipt date falls on a weekend, it will be
extended to Monday; if the date falls on a holiday, it will be extended
to the following work day. The receipt date will be waived only in
extenuating circumstances. To request such a waiver, include an
explanatory letter with the signed, completed application. No request
for a waiver will be considered prior to receipt of the application.
[[Page 51871]]
Evaluation Criteria
Applications will be reviewed for scientific merit by the chartered
CDC/NIOSH Occupational Safety and Health Study Section (SOH), in
accordance with standard peer review procedures. Following initial
review for scientific merit, the applications will receive a secondary
review for programmatic importance. Notification of the scientific
review recommendations will be sent to the applicants after the initial
review. Awards will be made based on results of the initial and
secondary reviews, as well as availability of funds.
1. The initial (peer) review criteria are:
Scientific, technical, or medical significance and
originality of proposed research.
Availability, adequacy, and competence of personnel,
facilities, and other resources needed to carry out the project.
Feasibility of the project and likelihood of its producing
meaningful results.
Appropriateness of the proposed project period and budget
request.
Adequacy of the applicant's resources available for the
project.
Demonstration grant applications will be reviewed additionally on
the basis of the following criteria:
Degree to which the project will document baseline
measures and evaluate the benefits of an intervention approach.
Degree to which the project can be expected to yield or
demonstrate results that will be useful and desirable on a national or
regional basis.
Documentation of cooperation from industry, unions, or
other participants in the project.
SERCA grant applications will be reviewed additionally on the basis
of the following criteria:
The review process will consider the applicant's
scientific achievements, the applicant's research career plan in
occupational safety and health, and the degree to which the applicant's
institution offers a superior research environment (supportive nature,
including letter(s) of reference from advisor(s) which should accompany
the application).
Small grant applications will be reviewed taking the following into
consideration:
Applicants for small grants do not have extensive
experience with the grants process, so there is leniency in assigning
priority scores.
2. The secondary (programmatic) review criteria are:
Relevance to occupational safety and health by
contributing to achievement of research objectives specified in
Sections 20(a) and 22 of the Occupational Safety and Health Act of 1970
and Section 501 of the Federal Mine Safety and Health Act of 1977.
Magnitude of the problem in terms of numbers of workers
affected.
Severity of the disease or injury in the worker
population.
Potential contribution to applied technical knowledge in
the identification, evaluation, or control of occupational safety and
health hazards.
Program balance.
Policy and budgetary considerations.
Questions regarding the above criteria should be addressed to the
Programmatic Technical Information Contact listed under Where to Obtain
Additional Information.
Technical Reporting Requirements
Progress reports are required annually as part of the continuation
application (75 days prior to the start of the next budget period). The
annual progress reports must contain information on accomplishments
during the previous budget period and plans for each remaining year of
the project. Financial status reports (FSR) are required no later than
90 days after the end of the budget period. The final performance and
financial status reports are required 90 days after the end of the
project period. The final performance report should include, at a
minimum, a statement of original objectives, a summary of research
methodology, a summary of positive and negative findings, and a list of
publications resulting from the project.
Research papers, project reports, or theses are acceptable items to
include in the final report. The final report should stand alone rather
than citing the original application. Three copies of reprints of
publications prepared under the grant should accompany the report.
Executive Order 12372 Review
Applications are not subject to review as governed by Executive
Order 12372.
Catalog of Federal Domestic Assistance Number
The Catalog of Federal Domestic Assistance number is 93.262.
Public Health System Reporting Requirements
This program is not subject to the Public Health System Reporting
Requirements.
Other Requirements
Human Subjects
If the proposed project involves research on human subjects, the
applicant must comply with the Department of Health and Human Services
Regulations (45 CFR part 46) regarding the protection of human
subjects. Assurance must be provided to demonstrate that the project
will be subject to initial and continuing review by an appropriate
institutional review committee. The applicant will be responsible for
providing assurance in accordance with the appropriate guidelines and
forms provided in the application kit.
Women and Racial and Ethnic Minorities
It is the policy of the Centers for Disease Control and Prevention
(CDC) to ensure that women and racial and ethnic groups will be
included in CDC/ATSDR-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,
Alaska Native, Asian, Pacific Islander, Black and Hispanic. Applicants
shall ensure that women and 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. In conducting review for scientific merit, review
groups will evaluate proposed plans for inclusion of minorities and
both sexes as part of the scientific assessment and scoring. 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.
Animal Subjects
If the proposed project involves research on animal subjects, the
applicant must comply with the PHS Policy on Humane Care and Use of
Laboratory Animals by Awardee Institutions. An applicant organization
proposing to use vertebrate animals in CDC-supported activities must
file an Animal Welfare Assurance with the Office for Protection from
Research Risks at the National Institutes of Health.
[[Page 51872]]
Where To Obtain Additional Information
To receive additional written information call (404) 332-4561. You
will be asked to leave your name, address, and telephone number and
will need to refer to announcement #811. You will receive a complete
program description, information on application procedures, and
application. Business management information may be obtained from
Joanne Wojcik, Grants Management Specialist, Grants Management Branch,
Procurement and Grants Office, Centers for Disease Control and
Prevention (CDC), 255 East Paces Ferry Road, NE., MS-E13, Atlanta, GA
30305, telephone (404) 842-6535; fax: (404) 842-6513; Internet:
jcw6@cdc.gov.
Programmatic technical assistance may be obtained from Roy M.
Fleming, Sc.D., Associate Director for Grants, National Institute for
Occupational Safety and Health, Centers for Disease Control and
Prevention (CDC), 1600 Clifton Road, NE., Building 1, Room 3053, MS-
D30, Atlanta, GA 30333, telephone: (404) 639-3343; fax: (404) 639-4616;
Internet: rmf2@cdc.gov.
Please refer to announcement number 811 when requesting information
and submitting an application.
This and other CDC Announcements can be found on the CDC home page
(http://www.cdc.gov) under the Funding section.
CDC will not send application kits by facsimile or express mail
(even at the request of the applicant).
Potential applicants may obtain a copy of Healthy People 2000 (Full
Report, Stock No. 017-001-00474-0) or Healthy People 2000 (Summary
Report, Stock No. 017-001-00473-1) through the Superintendent of
Documents, Government Printing Office, Washington, DC 20402-9325,
telephone (202) 512-1800.
Dated: September 29, 1997.
Linda Rosenstock,
Director, National Institute for Occupational Safety and Health,
Centers for Disease Control and Prevention (CDC).
[FR Doc. 97-26275 Filed 10-2-97; 8:45 am]
BILLING CODE 4163-19-P
