RESEARCH TO STRENGTHEN OCCUPATIONAL SAFETY AND HEALTH SURVEILLANCE

Release Date:  February 28, 2000

RFA:  OH-00-005

National Institute for Occupational Safety and Health
 
Letter of Intent Date:     March 24, 2000
Application Receipt Date:  April 28, 2000

THIS RFA USES THE "MODULAR GRANT" AND "JUST-IN-TIME" CONCEPTS.  IT 
INCLUDES DETAILED MODIFICATIONS TO STANDARD APPLICATION 
INSTRUCTIONS THAT MUST BE USED WHEN PREPARING APPLICATIONS IN 
RESPONSE TO THIS RFA.

PURPOSE

The Centers for Disease Control and Prevention (CDC) announces the 
availability of fiscal year (FY) 2000 funds for grant applications 
for research to strengthen occupational safety and health 
surveillance. Projects are sought that (1) strengthen surveillance 
of high-risk industries and occupations, such as mining, and of 
populations at higher risk; (2) promote a better understanding of 
the magnitude and scope of childhood agricultural injuries and 
illnesses; (3) develop methods for effective occupational safety 
and health surveillance conducted by employers, unions, and other 
non-governmental organizations; and (4) increase research methods 
development to improve occupational surveillance.  A common issue 
for such projects is the critical need to include in the study 
design consideration of under-recognition and under-reporting of 
workplace illness and injury.  Findings from these projects are 
intended to advance the scientific base of knowledge needed to 
monitor occupational safety and health hazards, injuries and 
illnesses.

The research needs identified in this announcement are consistent 
with the National Occupational Research Agenda (NORA) developed by 
NIOSH and partners in the public and private sectors to provide a 
framework to guide occupational safety and health research in the 
new millennium towards topics which are most pressing and most 
likely to yield gains to the worker and the nation.  The agenda 
identifies 21 research priorities.  NORA priorities with specific 
relevance to this announcement are: surveillance research methods, 
traumatic injuries and special populations at risk.  Information 
about NORA is available through the NIOSH Home Page; 
http://www.cdc.gov/niosh/norhmpg.html.

HEALTHY PEOPLE 2010

CDC is committed to achieving the health promotion and disease 
prevention objectives of AHealthy People 2010,@ a national 
activity to reduce morbidity and mortality and improve the quality 
of life.  This announcement is related to the focus area of 
occupational safety and health.  For information on the conference 
on AHealthy People 2010,@  visit the internet site: 
http://www.health.gov/healthypeople.

ELIGIBILITY REQUIREMENTS

Applications may be submitted by domestic and foreign, public and 
private nonprofit and for-profit organizations and by governments 
and their agencies; that is, universities, colleges, research 
institutions, hospitals, other public and private nonprofit and 
for-profit organizations, State and local governments or their 
bona fide agents, and federally recognized Indian tribal 
governments, Indian tribes, or Indian tribal organizations.  Note: 
 Public Law 104-65 states that an organization described in 
section 501(c)(4) of the Internal Revenue Code of 1986 which 
engages in lobbying activities is not eligible to receive Federal 
funds constituting an award, grant (cooperative agreement), 
contract, loan, or any other form.

FUNDS AVAILABLE

Approximately $1,500,000 is available in fiscal year (FY) 2000 to 
fund 7-10 research project grants under this RFA.   Approximately 
$500,000 of this amount is planned for research grants specific to 
childhood agricultural injuries and illnesses.  Approximately 
$250,000 of this amount is planned for research grants specific to 
mine health and safety.  Awards are anticipated to range from 
$150,000 to $250,000 in total costs (direct and indirect) per 
year.  A higher budget may be requested, but only if the applicant 
first corresponds with program staff (see contact in the INQUIRIES 
section) and receives written approval prior to the submission 
deadline.  Applicants should include in their budgets funds for 
one trip per year for an annual meeting of grantees to be held in 
Washington, DC.  

Awards will be made for a 12-month budget period within a project 
period up to 3 years.  However, if well justified, project periods 
up to four years may be requested.  Continuation awards within the 
project period will be made on the basis of satisfactory progress 
and availability of funds in future years. 

Awards are expected to begin in August 2000.  Only applications 
that are found to be of high scientific merit will be considered 
for funding, and not all of the funds will be spent if there are 
not enough highly meritorious applications. 

The mechanism of support will be the individual research project 
grant (R01).  The total requested project period for an 
application submitted in response to this RFA should be three to 
four years based on the scope of the project. Specific application 
instructions have been modified to reflect "MODULAR GRANT" and 
"JUST-IN-TIME" streamlining efforts (see BUDGET INSTRUCTIONS).  
The modular grant concept establishes specific modules in which 
direct costs may be requested as well as a maximum level for 
requested budgets.  Only limited budgetary information is required 
under this approach.  The just-in-time concept allows applicants 
to submit certain information only when there is a possibility for 
an award.  It is anticipated that these changes will reduce the 
administrative burden for the applicants, reviewers and Institute 
staff.  Complete and detailed instructions and information on 
Modular Grants can be found at 
http://grants.nih.gov/grants/funding/modular/modular.htm.		

Applications will request direct costs in $25,000 modules, up to a 
direct cost request of $250,000 per year.  However, for this RFA 
the total cost requested may not exceed $250,000 per year (see 
"FUNDS AVAILABLE" for guidance on budget).  A typical modular 
grant application will request the same number of modules in each 
year.
 
Application budgets will be simplified.  Detailed categorical 
budget information will not be submitted with the application; 
budget form pages of the application kits will not be used.  
Instead, total direct costs requested for each year will be 
presented.  Information, in narrative form, will be provided only 
for Personnel and, when applicable, for Consortium/Contractual 
Costs.  See section on APPLICATION PROCEDURES below.

Additional narrative budget justification will be required in the 
application only if there is a variation in the number of modules 
requested.

There will be no routine escalation for future years.  In 
determining the total for each budget year, applicants should 
first consider the direct cost of the entire project period.  
Well-justified modular increments or decrements in the total 
direct costs for any year of the project that reflect substantial 
changes in expected future activities may be requested.  For 
example, purchase of major equipment in the first year may justify 
a higher overall budget in the first, but not in succeeding years. 

AOther Support@ pages of the PHS 398 will not be submitted with 
the application.  Information on research projects ongoing or 
completed during the last three years of the principal 
investigator and key personnel will be provided as part of the 
"Biographical Sketch."  This information will include the specific 
aims, overall goals and responsibilities and should include 
Federal and non-Federal support.  This information will be used by 
reviewers in the assessment of each individuals qualifications for 
a specific role in the proposed project.

Following peer review, information about AOther Research Support@ 
will be requested from the applicant for applications being 
considered for award.  Additional budget information will be 
requested only under special circumstances. 

This RFA is a one-time announcement.  Future unsolicited competing 
continuation applications will compete with all 
investigator-initiated applications and be reviewed according to 
the customary peer review procedures.  Responsibility for the 
planning, direction, and execution of the proposed project will be 
solely that of the applicant.

RESEARCH OBJECTIVES

Background

Occupational safety and health surveillance refers to the ongoing, 
systematic collection, analysis, and interpretation of relevant 
health and hazard data essential to the planning, implementing, 
and evaluation of industrial safety, industrial hygiene, 
occupational health, and/or public health practice, closely 
integrated with the timely dissemination of these data to those 
who need to know.  The final link of the surveillance chain is the 
application of these data to prevention and control.  A 
surveillance system includes a functional capacity for data 
collection, analysis, and dissemination linked to industrial 
safety, industrial hygiene, occupational health, and/or public 
health programs.  Surveillance systems can operate at one or more 
work organization or geo-political levels (e.g. plan, company, 
union, state or federal levels).

Occupational safety and health surveillance research refers to the 
development and demonstration of models for new or improved 
occupational data collection, surveillance methods, models, or 
surveillance systems.  Surveillance research can focus on any link 
of the surveillance chain (e.g. from research on a single data 
component of an existing or potential surveillance system to 
developing and/or evaluating a complete surveillance system or set 
of systems).  The final link, in both the research process and 
surveillance chain, is the publication and dissemination of 
findings to those who have a need to know.

Research Goals

The NIOSH Surveillance Strategic Plan, developed by NIOSH with 
substantial input from its partners in the public and private 
sectors, outlines a framework to promote and support the 
development and evaluation of surveillance and surveillance-
related research methods.  Several general and specific research 
needs identified in the NIOSH Surveillance Strategic Planning 
process are targeted in this RFA: (1) strengthen surveillance of 
high-risk industries and occupations, and of populations at higher 
risk, including special populations; (2) promote a better 
understanding of the magnitude and scope of childhood agricultural 
injuries and illnesses; (3) develop effective occupational safety 
and health surveillance conducted by employers, unions, and other 
non-governmental organizations; and (4) increase research methods 
development to improve occupational surveillance.  A common 
research issue hindering the development of surveillance systems 
and surveillance-related research is the lack of proven approaches 
for addressing the problems of under-recognition and under-
reporting of workplace illness and injury.

Data from NIOSH, academic and other researchers have shown that 
certain populations of workers are at especially high risk for 
occupational illness, injury, and hazard.  Individuals employed in 
agriculture, construction, and mining still account for a large 
burden of occupational illness and injury.  Health care workers, 
representing a growing industrial sector, have increasing rates of 
nonfatal injuries and illnesses, as well as increased hazardous 
exposures to such things as blood-borne pathogens, latex, and 
biomechanical stress.  Other groups of workers are at increased 
risk because of age, gender, race, disability, or genetic 
susceptibility.

There is a specific need for new surveillance methods to better 
understand the magnitude and scope of childhood agricultural 
injuries and illnesses, target prevention efforts, and assess 
progress over time.  Such new methods should include ways of 
collecting data on one or more groups at risk (youth farm workers, 
the children of farm workers and farm operators, children of 
migrant and seasonal farm workers, and children visiting farm 
operations) and should provide a means for collecting data that 
encompass injuries and illnesses associated with occupational and 
non-occupational exposures.  While no single surveillance method 
can capture all populations of interest, it is important that 
focused surveillance research methods be developed that can 
address the multiple issues relevant to children and agriculture. 
  New/modified surveillance methods to reach migrant and seasonal 
workers are especially needed. 

Occupational surveillance activities often exist in the private 
sector apart from Federal and State surveillance programs.  
Occupational surveillance is conducted by employers, unions, 
health professionals and institutions, and others using various 
methods to track illnesses, injuries, and hazards for the purpose 
of prevention and control activities.   Innovation and the 
development of new approaches to surveillance in the private 
sector need to be encouraged and supported.   In addition,  
empirical evaluations of the impact of occupational surveillance 
in the private sector on worker safety, health, and productivity 
are needed in order to recommend and encourage Abest practices.@

Research is needed to evaluate existing systems and approaches for 
conducting surveillance. The National Occupational Research Agenda 
(NORA) Surveillance Research Methods team has begun efforts to 
increase the level of research to improve occupational 
surveillance.  Numerous potential sources of occupational health 
and safety data exist, but these have neither been fully evaluated 
nor utilized for surveillance purposes.  The use of nontraditional 
data sources and linkages of data systems are virtually 
unexplored.  Traditional sources of data for occupational illness 
and injury surveillance may exclude certain workers due to their 
employment status, or size of an employer (e.g., workers in small 
businesses and self-employed, part-time, seasonal or migrant 
workers).  Current surveillance research methods do not adequately 
capture these population groups, and as a result effective 
intervention strategies to reduce the occupational health burden 
have been slow to develop.

Surveillance is a critical component of the public health approach 
and worksite prevention efforts, providing empirical information 
to target and develop effective research and prevention measures. 
Methodologic research to ensure that surveillance efforts are 
conducted efficiently and result in valid and generalizable data 
are necessary to ensure appropriate use of resources and targeting 
of research and prevention efforts.  As well, research is needed 
to identify means of gathering information on Ahard to reach@ 
populations that are frequently missed in existing surveillance 
efforts, and the collection of information that can best guide 
prevention efforts generically and for high risk groups.

Thus the goals for this RFA are to foster the development of 
surveillance research methods that 

1.  Strengthen surveillance methods for  high-risk industries and 
occupations, and of populations at higher risk, including special 
populations;

2.  Provide a better understanding of the magnitude and scope of 
childhood agricultural injuries and illnesses; 


3.  Promote effective occupational safety and health surveillance 
conducted by employers, unions, and other non-governmental 
organizations; and

4.  Increase research to improve occupational surveillance.
 
The following illustrate some but not all of the topics that are 
appropriate for this RFA:

HIGH RISK INDUSTRIES, OCCUPATIONS, AND SPECIAL POPULATIONS

Develop methods/approaches for identifying chemical, physical, and 
biological agents as well as the job tasks which should be part of 
surveillance efforts because they may place workers in minority 
populations at excess risk for occupational morbidity and 
mortality.

Develop methods to augment existing surveillance systems to 
identify and follow-up the occupational problems associated with 
traditionally under served populations.  Traditional sources of 
data for occupational illness and injury surveillance may exclude 
certain workers due to their employment status, or size of an 
employer (e.g., contract workers, workers in small businesses and 
self-employed, part-time, seasonal or migrant workers).  

Develop methods to document the health and safety experience of 
the growing numbers of special populations (e.g., young, older, 
people of color, disabled and genetic susceptible employees) in 
the workforce. 

Develop and test the validity and reliability of hazard 
surveillance methods in high risk industries and occupations, such 
as agriculture, construction, and mining. 

CHILDHOOD AGRICULTURAL INJURIES AND ILLNESSES

Develop and test methods to measure childrens' exposure to 
physical hazards, toxic chemicals or ergonomic hazards in 
agricultural production activities and the farm environment.
  
Develop and test new/modified methods to address under-reporting 
and under-representation of childhood agricultural injuries and 
illnesses in standard injury databases, such as vital statistics 
reporting systems, emergency department systems, workers' 
compensation systems, and employer and population surveys.

Develop new/modified survey methods and approaches (e.g. 
telephone, mail, in-person) for assessing childhood agricultural 
injuries and illnesses of children. 

Develop new innovative methods for surveillance of agricultural 
injuries and illnesses among migrant and minority children. 

Develop methods to assess the social and economic burden of 
childhood agricultural injuries and illnesses.

MINE INJURIES AND ILLNESSES

Develop and test methods to measure miner's exposure to physical 
hazards, toxic chemicals or ergonomic hazards.
  
Develop and test new/modified methods to address under-reporting 
and under-representation of mining injuries and illnesses in 
standard injury databases, such as vital statistics reporting 
systems, emergency department systems, workers' compensation 
systems, and employer and population surveys.

Develop new/modified survey methods and approaches (e.g. 
telephone, mail, in-person) for assessing injuries and illnesses 
of miners.

Develop new innovative methods for surveillance of injuries and 
illnesses among miners. 

Develop methods to assess the social and economic burden of mining 
injuries and illnesses.

RESEARCH METHODS FOCUSED ON THE SAFETY AND HEALTH SURVEILLANCE BY 
EMPLOYERS, UNIONS, AND OTHER NON-GOVERNMENTAL ORGANIZATIONS

Develop and assess surveillance methods that promote effective 
prevention of workplace illnesses and/or injuries through earlier 
recognition of individual cases and/or earlier recognition of 
patterns of illnesses or injuries indicating the need for 
preventive intervention.  Approaches should consider the cost 
effectiveness of a method.

Develop and assess innovative new methods for routine monitoring 
of workplace safety and health hazards/exposures that are intended 
for use by employers, unions, health professionals and 
institutions, or other non-governmental entities. (e.g., 
monitoring required by existing regulations; special surveys of 
trade or union groups; etc.).  Such methods could include 
surveillance based on monitoring positive, planned preventive 
activities.

Develop and validate approaches to describe the social and 
economic burden of occupational illnesses and/or injuries at a 
plant-level, company-level, union-level, or industry level, 
including direct and indirect costs and effects on quality of 
life.

RESEARCH TO IMPROVE OCCUPATIONAL SURVEILLANCE

Develop methods to evaluate the prevalence of and estimate the 
impact of under-recognition and under-reporting of workplace 
illness and injury.

Develop new/modified approaches for conducting surveys of 
households, trade or union groups that allows comparison to data 
collected by other mechanisms.

Develop approaches for integrating occupational safety and health 
elements into existing/evolving public health or information 
systems. 

Development of methods for evaluating extant data (e.g. workers' 
compensation data, private insurance data, employer data) for the 
purpose of creating priority setting models that can be used to 
help set priorities for surveillance and prevention efforts at the 
regional, state or local level.  

Develop methods to improve estimating the "population-at-risk" for 
surveillance of illness and injury of long latency

Develop methods for estimating "exposure time" for machine use 
hazards and other time-dependent injury risks.

Develop methods for effective exposure monitoring, medical 
screening, and disease and injury surveillance of worker 
populations at risk for important work-related conditions and 
injuries, such as musculoskeletal disorders, irritant contact 
dermatitis, asthma, pesticide poisoning, hearing loss, bladder 
cancer, heat stress, and radiation effects.

Develop methods to evaluate and monitor workplace hazards, 
exposures, illness, injury, and related-risk factors among small 
scale businesses, independent contractors, service sector part-
time or occasional labor, and vulnerable (e.g., workers less than 
16 years or the legal age of consent, and migrant labor) working 
populations.

Develop methods to link existing surveillance systems in a state, 
to better estimate the magnitude of occupational injuries and 
illnesses in a state, and to assess the degree of overlap between 
different systems and most efficient means of surveillance.

SPECIAL REQUIREMENTS

Annual Meetings for Investigators

Principal Investigators for projects funded though this RFA should 
plan to attend an annual meeting for grantees and NIOSH staff.  
The first meeting is planned for Cincinnati, Ohio in early 
November, 2000.  These meetings will afford grantees and NIOSH 
staff an opportunity to interact and share information about their 
projects, the study designs and approaches being used, and discuss 
problems and solutions that have been identified.  Funds for 
travel to the annual meeting for the principal investigator and 
other senior investigators involved in the project should be 
included in the budget.

Human Subjects

If a project involves research on human subjects, assurance (in 
accordance with Department of Health and Human Services 
Regulations, 45 CFR Part 46) of the protection of human subjects 
is required.  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 with 
or 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.  Unless the grantee holds a Multiple 
Project Assurance, a Single Project Assurance is required, as well 
as an assurance for each subcontractor or cooperating institution 
that has immediate responsibility for human subjects.  The Office 
for Protection from Research Risks (OPRR) at the National 
Institutes of Health (NIH) negotiates assurances for all 
activities involving human subjects that are supported by the 
Department of Health and Human Services.

INCLUSION OF WOMEN AND MINORITIES IN RESEARCH INVOLVING HUMAN 
SUBJECTS

It is the policy of the Centers for Disease Control and Prevention 
(CDC) to ensure that individuals of both sexes and the various 
racial and ethnic groups will be included in CDC-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 or Alaska Native, 
Asian, Black or African American, Hispanic or Latino, 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 exist 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. 

INCLUSION OF CHILDREN AS PARTICIPANTS IN RESEARCH INVOLVING HUMAN 
SUBJECTS

It is the policy of NIH that children (i.e., individuals under the 
age of 21) must be included in all human subjects research, 
conducted or supported by the NIH, unless there are scientific and 
ethical reasons not to include them. This policy applies to all 
initial (Type 1) applications submitted for receipt dates after 
October 1, 1998.

All investigators proposing research involving human subjects 
should read the "NIH Policy and Guidelines on the Inclusion of 
Children as Participants in Research Involving Human Subjects" 
that was published in the NIH Guide for Grants and Contracts, 
March 6, 1998, and is available at the following URL address: 
http://grants.nih.gov/grants/guide/notice-files/not98-024.html.

LETTER OF INTENT

Prospective applicants are asked to submit, by March 24, 2000, a 
letter of intent that includes the number and title of the RFA, a 
descriptive title of the proposed research, the name, address, and 
telephone number of the Principal Investigator, and the identities 
of other key personnel and participating institutions.  Although a 
letter of intent is not required, is not binding, and is not used 
in the review of an application, the information that it contains 
is used to estimate the potential review workload and avoid 
conflict of interest in the review.

The letter of intent is to be submitted to: 

Ms. Ann Cronin
Office of Extramural Programs
National Institute for Occupational Safety and Health
Centers for Disease Control and Prevention (CDC)
1600 Clifton Road, N.E.
Building 1, Room 3070B, MS D-40
Atlanta, GA  30333
Telephone 404-639-2376; Fax 404-639-0035
Email: axc2@cdc.gov

APPLICATION PROCEDURES

Applicants must use Form PHS 398 (rev. 4/98).  Application kits 
are available at most institutional offices of sponsored research 
and may be obtained from the Division of Extramural Outreach and 
Information Resources, National Institutes of Health, 6701 
Rockledge Drive, MSC 7910, Bethesda, MD 20892-7910, telephone 
301/435-0714,  Email: grantsinfo@nih.gov.  Application kits are 
also available at: http://grants.nih.gov/grants/forms.htm.

BUDGET INSTRUCTIONS

The total direct costs must be requested in accordance with the 
program guidelines and the modifications made to the standard PHS 
398 application instructions described below:

o  FACE PAGE: Items 7a and 7b should be completed, indicating 
Direct Costs (in $25,000 increments up to a maximum of $250,000) 
and Total Costs  [Modular Total Direct plus Facilities and 
Administrative (F&A) costs] for the initial budget period.  
(However, see "FUNDS AVAILABLE" for guidance on budget.)   Items 
8a and 8b should be completed indicating the Direct and Total 
Costs for the entire proposed period of support. 

o  DETAILED BUDGET FOR THE INITIAL BUDGET PERIOD - Do not complete 
Form Page 4 of the PHS 398.  It is not required and will not be 
accepted with the application.

o  BUDGET FOR THE ENTIRE PROPOSED PERIOD OF SUPPORT - Do not 
complete the categorical budget table on Form Page 5 of the PHS 
398.  It is not required and will not be accepted with the 
application.

o  NARRATIVE BUDGET JUSTIFICATION - Use a Modular Grant Budget 
Narrative page. 
(See http://grants.nih.gov/grants/funding/modular/modular.htm for 
sample pages.) At the top of the page, enter the total direct 
costs requested for each year.

o  Under Personnel, List key project personnel, including their 
names, percent of effort, and roles on the project.  No individual 
salary information should be provided.

For Consortium/Contractual costs, provide an estimate of total 
costs (direct plus facilities and administrative) for each year, 
each rounded to the nearest $1,000.  List the 
individuals/organizations with whom consortium or contractual 
arrangements have been made, the percent effort of key personnel, 
and the role on the project.  Indicate whether the collaborating 
institution is foreign or domestic.  The total cost for a 
consortium/contractual arrangement is included in the overall 
requested modular direct cost amount.

Provide an additional narrative budget justification for any 
variation in the number of modules requested. 

-  BIOGRAPHICAL SKETCH - The Biographical Sketch provides 
information used by reviewers in the assessment of each 
individual's qualifications for a specific role in the proposed 
project, as well as to evaluate the overall qualifications of the 
research team.  A biographical sketch is required for all key 
personnel, following the instructions below.  No more than three 
pages may be used for each person.  A sample biographical sketch 
may be viewed at: 
http://grants.nih.gov/grants/funding/modular/modular.htm

- Complete the educational block at the top of the form page; - 
List current position(s) and then previous positions; - List 
selected peer-reviewed publications, with full citations; - 
Provide information, including overall goals and responsibilities, 
on research projects ongoing or completed during the last three 
years.

-  CHECKLIST - This page should be completed and submitted with 
the application.  If the F&A rate agreement has been established, 
indicate the type of agreement and the date.  It is important to 
identify all exclusions that were used in the calculation of the 
F&A costs for the initial budget period and all future budget 
years.

-  The applicant should provide the name and phone number of the 
individual to contact concerning fiscal and administrative issues 
if additional information is necessary following the initial 
review.

Applications not conforming to these guidelines will be considered 
unresponsive to this RFA and will be returned without further 
review.

The RFA label available in the PHS 398 application form must be 
affixed to the bottom of the face page of the application.  
Failure to use this label could result in delayed processing of 
the application such that it may not reach the review committee in 
time for review.  In addition, the RFA title and number must be 
typed on line 2 of the face page of the application form and the 
YES box must be marked.

The sample RFA label available at: 
http://grants.nih.gov/grants/funding/phs398/label-bk.pdf has been modified to 
allow for this change.  Please note this is in pdf format.

If the proposed project involves organizations or persons other 
than those affiliated with the applicant organization, letters of 
support and/or cooperation must be included.

Submit a signed, typewritten original, including the checklist, 
and three signed, clear, and single sided photocopies in one 
package to:

CENTER FOR SCIENTIFIC REVIEW
NATIONAL INSTITUTES OF HEALTH
6701 ROCKLEDGE DRIVE, ROOM 1040 - MSC 7710
BETHESDA, MD 20892-7710
BETHESDA, MD 20817 (for express/courier service)

At the time of submission, two additional copies of the 
application must also be sent to Ms. Ann Cronin at the address 
under LETTER OF INTENT.

Applications must be received by April 28, 2000.  If an 
application is received after that date, it will be returned to 
the applicant without review.  The Center for Scientific Review 
(CSR) will not accept any application in response to this RFA that 
is essentially the same as one currently pending initial review, 
unless the applicant withdraws the pending application.  The CSR 
will not accept any application that is essentially the same as 
one already reviewed.  This does not preclude the submission of 
substantial revisions of applications already reviewed, but such 
applications must include an introduction addressing the previous 
critique.

REVIEW CONSIDERATIONS

Upon receipt, applications will be reviewed for completeness and 
responsiveness.  Applicants should clearly indicate in the project 
Description (page 2 of application) which priority area of this 
RFA is being addressed by their proposal.  Applications determined 
to be incomplete or unresponsive to this RFA will be returned to 
the applicant without further consideration.

Applications that are complete and responsive to the RFA will be 
reviewed for technical merit by a scientific review group.  
Reviewers will identify those applications with the highest 
scientific merit, which generally comprise the top half of 
applications reviewed.  Those applications will be discussed fully 
and assigned a priority score between 100 and 300 (100 is the best 
possible score).  For all other applications, there will be a 
limited discussion and they will not be scored.  Notification of 
the scientific review results will be sent to the applicants after 
the review.

Following the scientific review, applications will receive a 
review for programmatic importance. 

Scientific Review Criteria

o  Significance - Does this study address an important problem 
related to the topical research issues outlined in this 
announcement?  If the aims of the application are achieved, how 
will scientific knowledge be advanced?  What will be the effect of 
these studies on the concepts or methods that drive this field?

o  Approach - Are the conceptual framework, design (including 
composition of study population), methods, and analyses adequately 
developed, well-integrated and appropriate to the aims of the 
project?  Does the applicant acknowledge potential problem areas 
and consider alternative tactics?

o  Innovation - Does the project employ novel concepts, approaches 
or methods?  Are the aims original and innovative? Does the 
project challenge existing paradigms or develop new methodologies 
or technologies?

o  Investigator - Is the investigator appropriately trained and 
well suited to carry out this work?  Is the work proposed 
appropriate to the experience level of the principal investigator 
and other researchers, if any?

o  Environment - Does the scientific environment in which the work 
will be done contribute to the probability of success?  Do the 
proposed experiments take advantage of unique features of the 
scientific environment or employ useful collaborative 
arrangements?  Is there documentation of cooperation from 
industry, unions, or other participants in the project, where 
applicable?  Is there evidence of institutional support and 
availability of resources necessary to perform the project?

The scientific review group will also examine the appropriateness 
of proposed project budget and duration; the adequacy of plans to 
include both genders, minorities and their subgroups, and children 
as appropriate for the scientific goals of the research and plans 
for the recruitment and retention of subjects; the provisions for 
the protection of human and animal subjects; and the safety of the 
research environment.

The personnel category will be reviewed for appropriate staffing 
based on the requested percent effort.  The direct costs budget 
request will be reviewed for consistency with the proposed methods 
and specific aims.  Any budgetary adjustments recommended by the 
reviewers will be in $25,000 modules.  The duration of support 
will be reviewed to determine if it is appropriate to ensure 
successful completion of the requested scope of the project.

Programmatic Review Criteria:

o  Magnitude of the problem in terms of numbers of workers 
affected.

o  Severity of the disease or injury in the worker population.

o  Likelihood of developing applied technical knowledge for the 
prevention of occupational safety and health hazards on a national 
or regional basis.

AWARD CRITERIA

Final funding decisions are based on the recommendations of the 
scientific and programmatic reviews, balance of awards across the 
areas of research goals of this RFA, and availability of funds.  
Awards are expected to begin in August 2000.

INQUIRIES

Inquiries concerning this RFA are encouraged.  The opportunity to 
clarify any issues or questions from potential applicants is 
welcome.  This RFA and other CDC Announcements can be found on the 
CDC homepage (http://www.cdc.gov) under the "Funding" section (see 
AGrants and Cooperative Agreements@ scroll down to AOccupational 
Safety and Health@).  This RFA can also be found on the NIOSH 
Homepage (http://www.cdc.gov/niosh) under "Extramural Programs", "Current 
Funding Opportunities".

Direct inquiries regarding programmatic issues to:

Roy M. Fleming, Sc.D.
Director, Research Grants Program
National Institute for Occupational Safety and Health
Centers for Disease Control and Prevention
1600 Clifton Road, N.E.
Building 1, Room 3053, MS D-30
Atlanta, GA  30333
Telephone: 404/639-3343
FAX: 404/639-4616
Email:  rmf2@cdc.gov

Direct inquiries regarding grants management matters to:

Joanne Wojcik
CDC Announcement Number 00045
Grants Management Branch
Procurement and Grants Office
Centers for Disease Control and Prevention
2920 Brandywine Road, Suite 3000
Atlanta, GA 30341-4146
Telephone: 770/488-2717
FAX: 770/488-2777
Email: jcw6@cdc.gov

LOBBYING RESTRICTIONS

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. Section 1352, recipients (and their sub-
tier 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 no part of PHS appropriated funds, 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 or local legislature, except in presentation to the Congress 
or any State or local legislature itself.  No part of the 
appropriated funds 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 or local legislature.

AUTHORITY AND REGULATIONS

The Catalog of Federal Domestic Assistance number is: 93.262 for 
the National Institute for Occupational Safety and Health (NIOSH). 
 This program is authorized under the Public Health Service Act, 
as amended, Section 301(a) [42 U.S.C. 241(a)], and the 
Occupational Safety and Health Act of 1970, Section 20(a) [29 
U.S.C. 669(a)].  The applicable program regulation is 42 CFR Part 
52. 

SMOKE-FREE WORKPLACE

CDC strongly encourages all grant recipients to provide a 
smoke-free workplace and 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 
in which education, library, day care, health care, and early 
childhood development services are provided to children.


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