NIH GUIDE, Volume 21, Number 21, June 5, 1992

PA AVAILABLE:  PA-92-83 (OH-92-923 (92-78))

P.T. 34


  Occupational Health and Safety 

  Community/Outreach Programs 

Centers for Disease Control

National Institute for Occupational Safety and Health





The National Institute for Occupational Safety and Health (NIOSH) is

soliciting grant applications for research and demonstration projects

relating to occupational safety and health.

The purposes of this grant program are to increase knowledge about the

underlying characteristics of occupational safety and health problems

in industry and on effective solutions in dealing with them; to

eliminate or control factors in the work environment that are harmful

to the health and/or safety of workers; and to demonstrate technical

feasibility or application of a new or improved occupational safety and

health procedure, method, technique, or system.

In 1983, the NIOSH published a suggested list of 10 leading

work-related diseases and injuries as part of a national goal to

improve the health of the American people through prevention

activities.  To provide guidance on priorities for action, the NIOSH

sponsored the development of "Proposed National Strategies for the

Prevention of Leading Work-Related Diseases and Injuries."

Implementation of the Prevention Strategies requires commitment from a

broad array of organizations and scientific and professional

disciplines.  The extramural research program is an important means of

facilitating progress in these preventive efforts.

Additional guidance is found in the document, "Healthy People 2000:

National Health Promotion and Disease Prevention Objectives."  The

document contains measurable objectives and strategies for creating a

healthier society over the next decade.  The objectives and strategies

are organized broadly into three major categories:  Health Promotion,

Health Protection, and Preventive Services.  There are a total of 22

priority areas. The tenth priority area, "Occupational Safety and

Health," is applicable to this program announcement.  Overall

objectives in this priority area are to reduce work-related deaths,

injuries, and illnesses.  Research is needed on the following:

identification of new stressors affecting workers, new measurement

tools for assessing worker exposures, biomarkers of workers' exposure

and response, identification of populations and individuals at special

risk of work-related disease and injury, mechanisms of insult and

intoxication, hazard surveillance, disease and injury identification

and surveillance, development of control approaches, and effective use

of controls.  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. 017-001-0473-1) through the

Superintendent of Documents, Government Printing Office, Washington, DC

20402-9325, telephone (202) 783-3238.


Eligible applicants include non-profit and for-profit organizations

such as universities, colleges, research institutions, and other public

and private organizations, including State and local governments.

Small, minority and/or woman-owned businesses are eligible for these

research and demonstration grants.


The NIOSH anticipates that approximately $6,747,847 is available for FY

1992 to fund these grants: $4,078,575 for non-competing continuation

awards and $2,669,272 for new and competing renewal awards.  The

estimated distribution of funds for the new and competing renewal

awards is as follows:  R01 and R18 grants - 13 awards for $2,160,772

(total costs of these awards range from $50,000 to $250,000 with the

average award being about $130,000); K01 grants - 4 awards for

$216,000; and R03 grants - 13 awards for $292,500.

Grants are usually funded for 12-month budget periods in project

periods up to 5 years for research project grants and demonstration

project grants; 3 years for SERCA grants; and up to 2 years for small

grants. Continuation awards within the project period are made on the

basis of satisfactory progress and the availability of funds.


The support mechanisms for this program are the individual research

project grants (R01); demonstration project grants (R18); special

emphasis research career award (SERCA) grants (K01); and small grants


Individual Research Project Grant (R01):  These grants are designed to

establish, discover, develop, elucidate, or confirm information

relating to occupational safety and health, including innovative

methods, techniques, and approaches for dealing with occupational

safety and health problems. These studies may generate information that

is readily available to solve problems or contribute to a better

understanding of underlying causes and mechanisms.

Demonstration Grant (R18):  These grants address, either on a pilot or

full-scale basis, the technical or economic feasibility or application

of:  (a) a new or improved procedure, method, technique, or system; or

(b) an innovative method, technique, or approach for preventing

occupational safety or health problems.

Special Emphasis Research Career Grant (SERCA) (K01):  These grants are

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 either for individuals without

research experience or for productive, independent investigators with

a significant number of publications and 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 a citizen or non-citizen national of the U.S. or its possessions or

territories or must have been lawfully admitted to the U.S. for

permanent residence 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 eight 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 and

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, and/or control

of occupational safety and health hazards (e.g., development of a

diagnostic technique for early detection of an occupational disease).

Research projects must be of the applicant's 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.

SERCA grant applications must be identified as such on the application

form.  Section 2 of the application (the Research Plan) must 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 must also include a letter of recommendation

from the proposed advisor(s) and a letter from the supporting

institution agreeing to the minimum 60 percent time commitment to the

research project for three years.

Small Grant (R03):  These grants are intended to stimulate applications

from individuals who are considering a research career in occupational

safety and health; as such, the minimum time commitment is 10 percent.

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.

The section on the small grant program has been revised to increase the

level of support to $25,000 and to allow salary support for the


The small grant investigators must be U.S. citizens or non-citizen U.S.

nationals who are predoctoral students, post-doctoral researchers

(within three years following completion of doctoral degree or

completion of residency or public health training), and junior faculty

members (no higher than assistant professor).  If university or

institutional policy requires that a more senior person be listed as

the Principal Investigator, it should be clear in the application which

person is the small grant investigator.  A biographical sketch is

required for the small grant investigator, the supervisor, and other

key consultants, as appropriate.  Except for applicants who are

assistant professors, there must be one or more named mentors to assist

with the project.

This non-renewable award provides support for project periods of up to

two years to conduct 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).


The NIOSH program priorities applicable to this program are

occupational lung disease, musculoskeletal injuries, occupational

cancers, severe occupational traumatic injuries, cardiovascular

diseases, disorders of reproduction, neurotoxic disorders,

noise-induced loss of hearing, dermatologic conditions, psychological

disorders, control techniques, and respirator research.  These priority

areas represent the leading diseases and injuries related to risks on

the job, and the NIOSH intends to support projects that facilitate

progress in preventing such adverse effects among workers.

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

developed in the application.  Potential applicants with questions

concerning the acceptability of the proposed work are strongly

encouraged to contact the technical information contact listed in this

announcement under INQUIRIES.



For projects involving clinical research, NIH requires applicants to

give special attention to the inclusion of women and minorities in

study populations.  If women or minorities are not included in the

study populations for clinical studies, a specific justification for

this exclusion must be provided.  Applications without such

documentation will not be accepted for review.


Applications must be submitted on form PHS 398 (rev. 9/91).  State and

local government applicants may use form PHS 5161-1 (rev. 3/89);

however, form PHS 398 is preferred.  Forms and the complete Program

Announcement are available from the NIOSH and CDC addresses cited

below.  These forms are also available from institutional ofices of

sponsored research and from the Office of Grant Inquiries, Division of

Research Grants, National Institutes of Health, 5333 Westbard Avenue,

Room 449, Bethesda  MD  20892, telephone (301) 496-7441.

To identify responses to this announcement, check "yes" and type "NIOSH

Announcement Number OH-92-923" under item 2a of page 1 of the PHS 398

or at the top of the face page of the PHS 5161-1.

Receipt dates for new R01s and R18s are February 1, June 1, and October

1 (competing continuation deadlines are 1 month later).  Receipt dates

for K01s and R03s are March 1, July 1, and November 1.  This is a

continuous announcement, consequently, these receipt dates will be

ongoing until further notice.

Applications must be received by these receipt dates to be considered

in the review cycle for that date.   The receipt date will be waived

only in extenuating circumstances.  To request such a waiver, an

explanatory letter must be included with the signed completed

application.  No waiver will be granted prior to the receipt of the


The original and five copies of the PHS 398 or the original and two

copies of the PHS 5161-1 application must be submitted to the address

below on or before the specified receipt dates provided above:

Division of Research Grants

National Insitutes of Health

Westwood Building, Room 240

5333 Westbard Avenue

Bethesda, MD  20892**

Applications received under this announcement will be assigned to an

Initial Review Group (IRG).  The IRGs, consisting primarily of

non-Federal scientific and technical experts, will review the

applications for scientific and technical merit.  Notification of the

review recommendations will be sent to the applicant after the initial

review.  Secondary review will be by the appropriate National Advisory



Applicants will compete for available fund with all other approved

applications assigned to that ICD.  The following will be considered in

making funding decisions:

o  Quality of the proposed project as determined by peer review

o  Availability of funds

o  Program balance among research areas of the announcement


For technical information and to request the complete program

announcement, contact:

Roy M. Fleming, Sc.D.

Associate Director for Grants

Centers for Disease Control

National Institute for Occupational Safety and Health

1600 Clifton Road, NE

Building 1, Room 3053, MS-D30

Atlanta, GA  30333

Telephone: (404) 639-3343

For business information:

Ms. Carole J. Tully

Grants Management Specialist

Grants Management Branch

Procurement and Grants Office

Centers for Disease Control

Room 300, MS-E14

255 E. Paces Ferry Road, NE

Atlanta, GA  30305

Telephone:  (404) 842-6630


This program is described in the Catalog of Federal Domestic Assistance

No. 93.262.  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(a)); the Federal

Mine Safety and Health Amendments Act of 1977, as amended, Section

501(30 U.S.C. 951) and administered under PHS grants policies and

Federal Regulations 42 CFR Part 52.  This program is not subject to

review as governed by Executive Order 12372, Intergovernmental Review

of Federal Programs.


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