[Federal Register Volume 61, Number 96 (Thursday, May 16, 1996)]
[Notices]
[Pages 24800-24804]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-12253]
-----------------------------------------------------------------------
DEPARTMENT OF HEALTH AND HUMAN SERVICES
[Announcement Number 631]
National Institute for Occupational Safety and Health; Research
and Demonstration Grants
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, Section 20(a) (29 U.S.C. 669); and the Federal Mine
Safety and Health Amendments Act of 1977, as amended, Section 501 (30
U.S.C. 951). The applicable program regulations are in 42 CFR Part 52.
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: Applicants for the Special Emphasis Research
Career Award (SERCA) Grant and Small Grant programs must be citizens or
persons lawfully admitted to the United States for permanent residence
(resident alien) at the time of application and must be employed by a
domestic institution.
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
Public Law 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.
Availability of Funds
For fiscal year (FY) 1996, the budget is projected to be
$10,000,000. Of that amount, $7,000,000 is committed to support 47 non-
competing continuing awards. Therefore, $3,000,000 is available for new
and competing renewal awards. The overall budget includes $400,000 for
Small Business Innovation Research grant awards, of which $237,000 is
already committed to a non-competing continuation award. In addition,
this overall budget includes funds for a special emphasis on
construction health and safety research.
[[Page 24801]]
Grant applications should be focused on the research priorities
described in the section ``Funding Priorities'' that includes new
research priorities developed in a process which resulted in defining a
National Occupational Research Agenda. Grant proposals in these areas
will compete for the available funds as noted in the previous
paragraph, as well as for funds announced through Requests for
Applications that are anticipated in FY 1996 and FY 1997.
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. Special Emphasis Research Career Award (SERCA) Grants (K01)
The SERCA grant is intended to provide opportunities for
individuals to acquire experience and skills essential to the study of
work-related hazards, 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; (4) be employed at a domestic institution; and (5)
be citizens or persons lawfully admitted to the United States for
permanent residence (resident alien) at the time of application.
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).
4. 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 a career
development grant (K01) or for a traditional research project grant
(R01) related to occupational safety and health. 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.
The small grant investigators must be United States citizens or
persons lawfully admitted to the United States for permanent residence
(resident alien) at the time of application who 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
[[Page 24802]]
small grant investigator. 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 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.
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
Potential applicants with questions concerning the acceptability of
their proposed work are strongly encouraged to contact the ``Technical
Information Contact,'' Dr. Roy M. Fleming, listed in this announcement
under the section ``Where to Obtain Additional Information.''
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.
Research and Demonstration Project Grants
----------------------------------------------------------------------------------------------------------------
Receipt date * Initial review Secondary review Earliest possible date
----------------------------------------------------------------------------------------------------------------
February 1........................... June/July.............. September.............. December 1.
June 1............................... Oct/Nov................ January................ April 1.
October 1............................ Feb/Mar................ May.................... August 1.
----------------------------------------------------------------------------------------------------------------
*Deadlines for competing continuation applications or revised applications are 1 month later.
SERCA and Small Grants
----------------------------------------------------------------------------------------------------------------
Receipt date Initial review Secondary review Earliest possible date
----------------------------------------------------------------------------------------------------------------
March 1.............................. June/July.............. August................. November 1.
July 1............................... Oct/Nov................ December............... March 1.
November 1........................... Feb/Mar................ April.................. July 1.
----------------------------------------------------------------------------------------------------------------
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.
Evaluation Criteria
Applications will be assigned on the basis of established referral
guidelines. Applications will be reviewed for scientific and technical
merit by study sections of the Division of Research Grants, NIH, in
accordance with the standard NIH peer review procedures. Following
scientific technical review,
[[Page 24803]]
the applications will receive a second-level programmatic review by
NIOSH. Notification of the 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.
Applications that are complete and responsive to the program
announcement will be evaluated for scientific merit by an appropriate
peer review group. As part of the initial 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, assigned a priority score, and receive a second level review
by the Institute programmatic review committee.
1. The initial (peer) review is based on scientific merit and
significance of the project, competence of the proposed staff in
relation to the type of research involved, feasibility of the project,
likelihood of its producing meaningful results, appropriateness of the
proposed project period, adequacy of the applicant's resources
available for the project, and appropriateness of the budget request.
Demonstration grant applications will be reviewed additionally on
the basis of the following criteria:
Degree to which project objectives are clearly
established, obtainable, and for which progress toward attainment can
and will be measured.
Availability, adequacy, and competence of personnel,
facilities, and other resources needed to carry out the project.
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, where applicable.
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).
Consideration will be given to the fact that the applicants for
small grants do not have extensive experience with the grants process.
2. In the secondary review, the following factors will be
considered:
The results of the initial review.
The significance of the proposed study to the mission of
NIOSH.
(1) Relevance to occupational safety and health by contributing to
achievement of research objectives specified in Section 20(a) of the
Occupational Safety and Health Act of 1970 and Section 501 of the
Federal Mine Safety and Health Amendments Act of 1977,
(2) Magnitude of the problem in terms of numbers of workers
affected,
(3) Severity of the disease or injury in the worker population,
(4) Potential contribution to applied technical knowledge in the
identification, evaluation, or control of occupational safety and
health hazards,
(5) Program balance, and
(6) 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.''
Executive Order 12372 Review
Applications are not subject to review as governed by Executive
Order 12372, Intergovernmental Review of Federal Programs.
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.
Where To Obtain Additional Information
To receive additional written information, call (404) 332-4561. You
will be asked your name, address, and phone number and will need to
refer to Announcement 631. In addition, this announcement is also
available through the CDC Home Page on the Internet. The address for
the CDC Home Page is http://www.cdc.gov. You will receive a complete
program description, information on application procedures, and
application forms. If you have questions after reviewing the contents
of all the documents, business management technical assistance may be
obtained from Georgia Jang, 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) 842-6796; fax 404-842-6513; Internet
glj2@opspgo1.em.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@niood1.em.cdc.gov.
Please Refer to Announcement Number 631 When Requesting
[[Page 24804]]
Information and Submitting an Application.
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: May 8, 1996.
Diane D. Porter,
Acting Director, National Institute for Occupational Safety and Health,
Centers for Disease Control and Prevention (CDC).
[FR Doc. 96-12253 Filed 5-15-96; 8:45 am]
BILLING CODE 4163-19-P
