[Federal Register Volume 63, Number 47 (Wednesday, March 11, 1998)]
[Notices]
[Pages 11900-11903]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-6197]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Centers for Disease Control and Prevention
[Announcement 98024]
Creating Healthy Work Organizations; Notice of Availability of
Funds for Fiscal Year 1998
Introduction
The Centers for Disease Control and Prevention (CDC) announces the
availability of fiscal year (FY) 1998 funds for a cooperative agreement
program to design, implement, and evaluate organizational change
interventions to create healthy work organizations.
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 sections 20(a) and 22(e)(7) of the
Occupational Safety and Health Act of 1970 (29 U.S.C. 669(a) and
671(e)(7).
Smoke-Free Workplace
CDC strongly encourages all grant recipients to provide a smoke-
free workplace and promote the nonuse 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.
Eligible Applicants
Applications may be submitted by public and private, non-profit and
for-profit organizations and governments, and their agencies. Thus,
universities, colleges, research institutions, hospitals, other public
and private organizations, State and local health departments or their
bona fide agents, federally recognized Indian tribal governments,
Indian tribes or Indian tribal organizations, and small, minority- and/
or women-owned businesses are eligible to apply.
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, a grant, contract, loan, or any other form of funding.
Availability of Funds
Approximately $240,000 is available in FY 1998 to fund one award.
The project period may last up to three years, depending on
availability of funds, with budget periods of 12 months. It is expected
that the award will begin on or about July 1, 1998. The funding
estimate is subject to change.
Continuation awards within the project period will be made on the
basis of satisfactory progress and availability of funds.
Use of Funds
Restrictions on Lobbying
Applicants should be aware of restrictions on the use of HHS funds
for lobbying of Federal or State legislative bodies. Under the
provisions of 31 U.S.C. 1352 (which has been in effect since December
23, 1989), 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, the FY 1998 Department of Labor, Health and Human
Services, and Education, and Related Agencies Appropriations Act (Pub.
L. 105-78) states in Section 503(a) and (b) that no part of any
appropriation contained in this Act 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 legislature, except in presentation
to the Congress or any State legislative body itself. No part of any
appropriation contained in this Act 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 legislature.
Background
Research over the past 25 years has identified job factors and work
routines which are associated with employee stress and ill-health and
has resulted in lengthy lists of both job stressors and stress-related
health outcomes. A recent conceptual development has been a broadening
of the focus from job stressor-health relationships to overall
organizational health. Organizational health is a more inclusive
concept and refers to enhanced organizational performance (productivity
and effectiveness) plus worker good health. A healthy work organization
is one whose culture/climate, values and practices promote employee
health and company effectiveness. This definition accommodates
heretofore opposing goals: (1) Organizational goals of profitability
and competitiveness, and (2) worker goals of health and well-being.
In 1991, NIOSH initiated a program of research to study healthy
work organizations. The research emphasized the interrelationship of
individual worker well-being and organization effectiveness, and
focused on macro-organization characteristics, in addition to job-level
characteristics, as risk factors for ill health and performance
impairment. NIOSH analyzed organizational climate survey data obtained
from one corporate partner during the years 1993-1995. Over 10,000
workers filled out the anonymous questionnaire, which contained
measures of stress and coping, management practices, individual and
team performance, organizational culture, values, and performance.
Statistical analyses of these cross-sectional data identified key
organizational variables associated with low employee stress and high
organizational effectiveness.
Based on these analyses, NIOSH developed a provisional model of a
healthy work organization which contains three broad, interrelated
categories: Organizational values, culture/climate, and management
practices. Healthy work organizations demonstrate commitment to company
values which emphasize employee growth and development, integrity and
honesty in communication, workforce diversity, and view the individual
worker as a valuable human resource. These organizations have a
culture/climate in which workers (a) are personally valued, (b) have
authority to take actions to solve problems, (c) are
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encouraged by management to express opinions and become involved in
decision-making, and (d) resolve group conflicts effectively.
Management practices in an healthy work organization include (1)
management actively engaged in leadership and strategic planning, (2)
management making the necessary changes to follow through on long term
business strategies, (3) workers recognized for problem-solving and
rewarded for doing quality work, and (4) first line supervisors provide
assistance and resources in helping workers plan for their future.
Beyond these empirically determined characteristics, two additional
factors need to be incorporated into the model: External economic/
market conditions and physical work conditions. External market
conditions exert a strong influence on company profitability and
competitiveness independent of the culture/climate, values, and
management practices. Similarly, a healthy work organization should
meet certain minimum standards for physical working conditions in order
to protect the health and safety of employees.
In summary, the job and organizational characteristics listed above
form a provisional profile of a healthy work organization, and can be
used to design interventions for improving organizational health. The
model is provisional because it has not been validated in various
manufacturing settings and has not been tested across other industry
groups. Furthermore, it is not known whether all of the characteristics
listed above are necessary and sufficient measures of a healthy work
organization, or whether certain combinations of characteristics are
more important than others.
Purpose
The application is to conduct field studies which identify
characteristics of healthy work organizations. The program will focus
on worksite primary prevention efforts, which can involve:
A. Examination of on-going studies in companies where changes are
being, or have been, introduced to improve organizational effectiveness
and employee health, or
B. New studies which test models of healthy work organizations.
Interventions can consist of structural and/or functional changes
targeting culture/climate, values or management practices.
The major objectives should be the development, installation, and
evaluation of interventions to create healthy work organizations.
Project results, in combination with other research, will provide the
basis for recommendations on how to create healthy work organizations.
Program Requirements
In conducting activities to achieve the purpose of this program,
the recipient will be responsible for the activities under A.
(Recipient Activities) and CDC/NIOSH will be responsible for activities
under B. (CDC/NIOSH Activities).
A. Recipient Activities
1. Prepare study protocol and obtain required approvals (e.g.,
institutional review board, etc). The protocol should contain a review
of the pertinent literature on healthy work organizations, a
description of the study methodology, data to be collected, and
proposed analyses of the data. Present the protocol to a panel of
scientific peer reviewers (if required) and revise the protocol as
required for final approval.
2. Perform data collection and management. Data will include
subjective and objective measures of worker health and performance,
company health care costs, and performance/productivity indicators.
3. Evaluate the effectiveness of healthy work organization
interventions in reducing health care costs and stress-related health
conditions while improving organizational productivity and
effectiveness.
4. Prepare a report summarizing the study methodology, results
obtained, and conclusions reached. Develop recommendations (e.g., best
practices) for creating healthy work organizations. Report study
results in the scientific community via presentations at professional
conferences and articles in peer-reviewed journals.
B. CDC/NIOSH Activities
1. Provide scientific and technical collaboration for the
successful completion of this project.
2. Identify reviews and/or clearances that must be fulfilled by the
recipient and, if necessary, assist in convening a scientific peer
review panel to review draft study Sec. protocol.
3. Provide technical assistance, if needed, at key stages of the
study including study design, survey instrument design, interpretation
of results and preparation of written reports.
Technical Reporting Requirements
An original and two copies of a progress report are required
annually. An original and two copies of a final performance report and
Financial Status Report are due no later than 90 days after the end of
the project period.
Annual progress report should include:
A. A brief program description.
B. A listing of program goals and objectives accompanied by a
comparison of the actual accomplishments related to the goals and
objectives established for the period.
C. If established goals and objectives to be accomplished were
delayed, describe both the reason for the deviation and anticipated
corrective action or deletion of the activity from the project.
D. Other pertinent information, including the status of
completeness, timeliness and quality of data.
Application Content
The entire application, including appendices, should not exceed 40
pages and the application Narrative section contained therein should
not exceed 25 pages. Pages should be clearly numbered and a complete
index to the application and any appendices included. The original and
each copy of the application must be submitted unstapled and unbound.
All materials must be typewritten, double-spaced, with unreduced type
(font size 12 point) on 8\1/2\'' by 11'' paper, with at least 1''
margins, headers, and footers, and printed on one side only. Do not
include any spiral or bound materials or pamphlets.
The applicant should provide a detailed description of first-year
activities and briefly describe future-years objectives and activities.
A. Title Page
The heading should include the title of the program, project title,
organization, name and address, project director's name address and
telephone number.
B. Abstract
A one page, singled-spaced, typed abstract must be submitted with
the application. The heading should include the title of and number of
this program agreement, project title, organization, name and address
and telephone number of the project director. This abstract should
include a work plan identifying activities to be developed, specific
activities to be completed, and a time-line for completion of these
activities.
C. Proposal Narrative
The narrative of each application must:
1. Briefly state the applicant's understanding of the need or
problem to
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be addressed and the purpose of this project. Prepare a draft protocol
for the study.
2. Include a description of the intervention or change strategy and
an evaluation plan which includes both subjective and objective
measures of antecedent factors and outcomes.
3. Describe clearly the objectives of the project, the steps and
timelines to be taken in planning and implementing the project, and the
respective responsibilities of the applicant for carrying out those
steps.
4. Provide a proposed method of evaluating the accomplishments.
5. Provide documentation of access to potential study sites, and
provide documentation of management and labor support for the study.
6. Document the applicant's expertise in the area of organizational
behavior, organization development, job stress, and psychosocial risk
factors as they pertain to healthy work organization research.
7. Provide the name, qualifications, and proposed time allocation
of the Project Director who will be responsible for administering the
project. Describe staff, experience, facilities, equipment available
for performance of this project, and other resources that define the
applicant's capacity or potential to accomplish the requirements stated
above. List the names (if known), qualifications, and time allocations
of the existing professional staff to be assigned to (or recruited for)
this project, the support staff available for performance of this
project, and the available facilities including space.
8. Human Subjects: State whether or not Humans are subjects in this
proposed project. (See Human Subjects in the Evaluation Criteria and
Other Requirements sections.)
9. Inclusion of women, ethnic, and racial groups: Describe how the
CDC policy requirements will be met regarding the inclusion of women,
ethnic, and racial groups in the proposed research. (See Women, Racial
and Ethnic Minorities in the Evaluation Criteria and Other Requirements
sections.)
10. Provide a detailed budget which indicates: (a) Anticipated
costs for personnel, travel, communications, postage, equipment,
supplies, etc., and (b) all sources of funds to meet those needs.
Evaluation Criteria
The application will be reviewed and evaluated according to the
following criteria:
A. Understanding of the Problem (25%)
Responsiveness to the objective of the program including: (1)
Applicant's understanding of the general objectives of the proposed
cooperative agreement, and (2) evidence of ability to design and
evaluate healthy work organization interventions.
B. Program Personnel (20%)
1. Applicant's technical experience (e.g., in the areas of healthy
work organizations, job stress, organizational behavior, organization
development), and
2. The qualifications and time allocation of the professional staff
to be assigned to this project.
C. Study Design (30%)
1. Adequacy of the study design and methodology for accomplishing
the stated objectives. Steps proposed for implementing this project and
the respective responsibilities of the applicant for carrying out those
steps. Evidence of the applicant's access to companies who will serve
as the study populations (e.g., commitment from company sites for
installing and evaluating the interventions and for providing objective
data for evaluation).
2. The degree to which the applicant has met the CDC policy
requirements regarding the inclusion of women, ethnic, and racial
groups in the proposed project. This includes: (a) The proposed plan
for the inclusion of both sexes and racial and ethnic minority
populations for appropriate representation; (b) The proposed
justification when representation is limited or absent; (c) A statement
as to whether the design of the study is adequate to measure
differences when warranted; and (d) A statement as to whether the plan
for recruitment and outreach for study participants include the process
of establishing partnerships with community(ies) and recognition of
mutual benefits.
D. Project Planning (15%)
The applicant's schedule proposed for accomplishing the activities
to be carried out in this project and for evaluating the
accomplishments.
E. Facilities and Resources (10%)
The adequacy of the applicant's facilities, equipment, and other
resources available for performance of this project.
F. Human Subjects (Not Scored)
Whether or not exempt from the Department of Health and Human
Services (DHHS) regulations, are procedures adequate for the protection
of human subjects? Recommendations on the adequacy of protections
include: (1) Protections appear adequate, and there are no comments to
make or concerns to raise, (2) protections appear adequate, but there
are comments regarding the protocol, (3) protections appear inadequate
and the Objective Review Group has concerns related to human subjects;
or (4) disapproval of the application is recommended because the
research risks are sufficiently serious and protection against the
risks are inadequate as to make the entire application unacceptable.
G. Budget Justification (Not Scored)
The budget will be evaluated to the extent that it is reasonable,
clearly justified, and consistent with the intended use of funds.
Executive Order 12372 Review
This program is not subject to the Executive Order 12372 review.
Public Health System Reporting Requirements
This program is not subject to the Public Health System Reporting
Requirements.
Catalog of Federal Domestic Assistance Number
The Catalog of Federal Domestic Assistance number for this project
is 93.283.
Other Requirements
Paperwork Reduction Act
Projects that involve the collection of information from ten or
more individuals and funded by this cooperative agreement will be
subject to review and approval by the Office of Management and Budget
(OMB) under the Paperwork Reduction Act.
Human Subjects
If the proposed project involves research on human subjects, the
applicant must comply with the DHHS Regulations, 45 CFR part 46,
regarding the protection of human subjects. Assurance must be provided
to demonstrate 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 form provided in the application kit.
In addition to other applicable committees, Indian Health Service
(IHS) institutional review committees also must review the project if
any component of IHS will be involved or
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will support the research. If any American Indian community is
involved, its tribal government must also approve that portion of the
project applicable to it.
Women, Racial and Ethnic Minorities
It is the policy of the Centers for Disease Control and Prevention
(CDC) and the Agency for Toxic Substances and Disease Registry (ATSDR)
to ensure that individuals of both sexes and the various 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, Black or African American,
Hispanic or Latino, and 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 exists
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.
Application Submission and Deadline
1. Preapplication Letter of Intent
Although not a prerequisite of application, a non-binding letter of
intent-to-apply is requested from potential applicants. The letter
should be submitted to Victoria Sepe, Grants Management Branch,
Procurement and Grants Office, CDC at the address listed in this
section. It should be postmarked no later than April 3, 1998. The
letter should identify Program Announcement number 98024, name of
principal investigator, and address of the proposed project. The letter
of intent does not influence review or funding decisions, but it will
enable CDC to plan the review more efficiently and will ensure that
each applicant receives timely and relevant information prior to
application submission.
2. Application
The original and two copies of the application PHS Form 5161-1
(Revised 7/92, OMB Number 0937-0189) must be submitted to Victoria
Sepe, Grants Management Specialist, Grants Management Branch,
Procurement and Grants Office, Centers for Disease Control and
Prevention (CDC), 255 East Paces Ferry Road, NE., Room 321, Atlanta, GA
30305, on or before May 15, 1998.
1. Deadline: Applications will be considered as meeting the
deadline if they are either:
(a) Received on or before the deadline date, or
(b) Sent on or before the deadline date and received in time for
submission to the objective review group. (The applicants must request
a legibly dated U.S. Postal Service postmark or obtain a receipt from a
commercial carrier or the U.S. Postal Service. Private metered
postmarks will not be acceptable as proof of timely mailing.)
2. Late Applicants: Applications that do not meet the criteria in
1.(a) or 1.(b) above are considered late applications. Late
applications will not be considered and will be returned to the
applicants.
Where To Obtain Additional Information
Application Packet
To receive additional written information call 1-888-GRANTS4. You
will be asked to leave your name, address, and phone number and will
need to refer to Announcement 98024. You will receive a complete
program description, information on application procedures, and
application forms. CDC will not send application kits by facsimile or
express mail. Please refer to Announcement Number 98024 when requesting
information and submitting an application.
Internet
This and other CDC announcements are available through the CDC
homepage on the Internet. The address for the CDC homepage is: http://
www.cdc.gov. For your convenience, you may be able to retrieve a copy
of the PHS Form 5161-1 (OMB Number 0937-0189) from http://
mercury.psc.dhhs.gov.
Business Management Technical Assistance
If you have questions after reviewing the contents of all the
documents, business management technical assistance may be obtained
from Victoria Sepe, Grants Management Specialist, Grants Management
Branch, Procurement and Grants Office, Centers for Disease Control and
Prevention (CDC), Mailstop E-13, Room 321, 255 East Paces Ferry Road,
NE., Atlanta, GA 30305, telephone (404) 842-6804, Internet:
vxw1@cdc.gov.
Programmatic Technical Assistance
If you have programmatic technical assistance questions you may
obtain information from Lawrence R. Murphy, Ph.D., Motivation and
Stress Research Section, Applied Psychology and Ergonomics Branch,
Division of Biomedical and Behavioral Science, National Institute for
Occupational Safety and Health, Centers for Disease Control and
Prevention (CDC), Mailstop C-24, 4676 Columbia Parkway, Cincinnati, OH
45226-1998, telephone (513) 533-8171, Internet: lrm2@cdc.gov.
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: March 5, 1998.
Diane D. Porter,
Acting Director, National Institute For Occupational Safety and Health
Centers for Disease Control and Prevention (CDC).
[FR Doc. 98-6197 Filed 3-10-98; 8:45 am]
BILLING CODE 4163-19-P
