and Human Services (HHS)
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CENTERS FOR CONSTRUCTION SAFETY AND HEALTH
RELEASE DATE: October 30, 2003
RFA Number: RFA-OH-04-002 (This RFA has been reissued as RFA-OH-09-001)
Department of Health and Human Services (DHHS)
PARTICIPATING ORGANIZATIONS:
National Institute for Occupational Safety and Health,
Centers for Disease Control and Prevention (NIOSH/CDC)
(http://www.cdc.gov/niosh/homepage.html)
NOTE: THE POLICIES, GUIDELINES, TERMS, AND CONDITIONS STATED IN THIS
ANNOUNCEMENT MAY DIFFER FROM THOSE USED BY THE NIH.
CATALOG OF FEDERAL DOMESTIC ASSISTANCE NUMBER(S): 93.955
LETTER OF INTENT RECEIPT DATE: March 13, 2004
APPLICATION RECEIPT DATE: April 13, 2004
THIS RFA CONTAINS THE FOLLOWING INFORMATION
o Purpose of the RFA
o Program Objectives
o Mechanism(s)of Support
o Funds Available
o Eligible Institutions
o Individuals Eligible to Become Principal Investigators
o Special Requirements
o Where to Send Inquiries
o Pre-Application Conference Call
o Letter of Intent
o Submitting an Application
o Peer Review Process
o Review Criteria
o Receipt and Review Schedule
o Award Criteria
o Required Federal Citations
PURPOSE OF THE RFA
The National Institute for Occupational Safety and Health (NIOSH), Centers
for Disease Control and Prevention (CDC), announces the availability of
fiscal year (FY) 2004 funds for cooperative agreement (U50) applications from
single institutions or consortia of institutions to establish one or more
Centers for Construction Safety and Health (Construction Centers). The
purposes of the Construction Centers are to conduct exploratory,
prevention/intervention, and translation projects that address priority
construction safety and health problems and provide a national focus for
construction health and safety issues. A key role for Construction Centers
will be their leadership role in translational activities and research.
Through this integrated approach to knowledge development and translation,
Construction Centers are intended to have a significant and measurable impact
on construction health and safety.
PROGRAM OBJECTIVES
Background
The mission of NIOSH/CDC is to help assure safe and healthful working
conditions for working men and women by providing research, information, and
training in the field of occupational safety and health. NIOSH provides
national and world leadership to prevent work-related illness, injury,
disability, and death by gathering information, conducting scientific
research, and translating the knowledge gained into products and services.
One of the strategic goals is the conduct of a focused program of research to
reduce injuries and illnesses among workers in high-priority areas and high-
risk sectors, including mining, agriculture, construction, and health care.
In 1996, a National Occupational Research Agenda (NORA),
http://www.cdc.gov/niosh/nora/, was created to guide NIOSH. During the
development of the Agenda, the importance of sector-specific research
(including construction) was emphasized. The panel noted that sector-focused
research has had much success and continues to hold great promise for
gathering and translating knowledge and information into prevention. The
Healthy People 2010 agenda, a national activity to reduce morbidity and
mortality and improve the quality of life includes national objectives for
high risk sectors. For example, it includes a 30% reduction goal for work-
related injuries and deaths among construction workers by 2010. For a copy
of Healthy People 2010" (Full Report: Stock No. 017-001-00547-9), write or
call: Superintendent of Documents, Government Printing Office, Washington
D.C. 20402-9325, telephone (202) 512-1800 or visit the internet site:
http://www.healthypeople.gov/.
This RFA builds upon an existing NIOSH program on construction safety and
health that began in 1990. This program has developed a national
infrastructure to address issues affecting workers in this industry. The
program includes intramural and extramural research projects as well as
collaborative surveillance activities with state health departments. These
projects included a large Construction Center as well as investigator-
initiated projects that addressed specific construction issues such as
hearing loss, roof falls, and vibration injuries. The reduction in traumatic
injury rates among construction workers since 1990 suggests that the program
has had some impact. A compendium of NIOSH supported construction research
can be found on the NIOSH web site http://www.cdc.gov/niosh/homepage.html, or
it may be obtained by telephone (800-356-4674), email (pubstaft@cdc.gov), or
fax (513-533-8573). The NIOSH publication number is 2003-103. Additional
information on the NIOSH construction program is available at
http://www.cdc.gov/niosh/homepage.html.
Despite these efforts, construction remains one of the industries with the
highest rates of work-related injuries and deaths in the United States. From
1980 to 2001, approximately 1100 construction workers were killed on the job
each year, more fatal injuries than any other industry. Furthermore, the
construction fatality rate has not declined over the past decade. The
construction environment presents a number of work settings and environments
many of which vary across the United States. It can also involve a complex
work organization, with multiple employers and trades at a worksite. Thus,
construction safety and health research must not only address specific
construction related safety and health problems, but also must examine their
etiology in the context of the work environment.
A significant challenge to improving the safety of the construction industry
is the nature of the businesses. Of the approximately 600,000 companies, 90%
employ fewer than 20 workers. Few small construction companies have formal
safety programs. Thus, the adoption of new/improved construction safety and
health is difficult to achieve, and innovative approaches to the translation
of research knowledge to construction tools, practices, and environments are
needed.
While some employers utilize formal safety programs and training, others are
less formal and many workers must learn how to work safely through on the job
experiences. Additionally, there is an increasing need for construction
worksites to communicate safety and health information in several languages.
Construction workers are also at increased risk for occupational morbidity
from musculoskeletal disorders, certain cancers, reproductive disorders,
dermatological conditions; hearing loss, stress related mental disorders, and
occupational lung diseases. In addition, the work environment such as
construction vehicles, power lines, hazardous chemicals, and scaffolding
failures present unique hazards for the construction worker. Thus, the
construction environment represents a unique and multifaceted health and
safety challenge.
The health and safety issues in the construction sector are complex and
evolving. Thus, there is a need for an integrated approach to the health and
safety issues facing this sector and the construction centers are intended to
address problems through a coordinated and integrated mix of exploratory,
prevention/intervention, and translation projects. The goal of the
Construction Center Program is to have a significant and measurable impact on
construction safety and health.
Goals
This initiative is intended to assemble a cross-disciplinary, multi-
institutional group to address the important issues in construction safety
and health in a focused manner. To accomplish this objective, it is
envisioned that a Construction Center would:
1. Conduct hypothesis driven (exploratory) research related to occupational
safety and health of construction workers.
2. Develop, implement and evaluate model programs for the prevention of
illness and injury among construction workers.
3. Develop, implement, and evaluate translation projects for the adoption of
new and existing knowledge into construction settings.
The emphasis of the Construction Centers should be on addressing priority
occupational health and safety issues using a multi-disciplinary approach.
Translation projects focus on the translation of extant knowledge (e.g. peer
reviewed articles) into products or practices that meet construction
customer needs so as to maximize the impact on industry practices. The
NIOSH Construction Steering Committee has identified a number of priority
topics in emerging areas of interest where research will most likely make a
difference (see http://www.cdc.gov/niosh/homepage.html). These NIOSH
identified topics can be grouped into three categories:
o Health and injury outcome topics which target:
1. Leading types of fatal and non-fatal traumatic injuries in construction.
2. Low back injuries and other cumulative work-related musculoskeletal
disorders among construction workers.
3. Occupational illness topics that focus on respiratory disease and hearing
loss. Respiratory disease includes airways disease, asthma, chronic
obstructive lung disease, and silicosis.
o Chemical and physical exposure topics which target vibration, asphalt
fumes, lead, and dust particles.
o Approach and sector topics that target the following groups and issues
within construction:
1. Small and self-employed contractors.
2. Special sub-populations at risk within construction such as Hispanic
workers, day laborers, young workers, aging workers.
3. The role of design as a primary prevention tool for addressing
construction hazards.
4. Addressing work organization in construction and improving understanding
of how it affects health and safety.
5. Working with building owners and clients to promote and evaluate
construction best practices.
6. Leveraging promising approaches from related high risk sectors such as
agriculture and mining into construction.
Other topics relevant to construction health and safety are also appropriate
for this RFA. The significance of a project and relevance to the elimination
of hazards in the construction industry must be fully described and developed
in the application. Individual projects should identify the types and
geographical distribution of the construction issue that will be addressed by
a project. In addition, the size and characteristics of the population that
will be impacted by the project results should be described.
Intervention/prevention and translation projects should include process and
outcome measures. Process measures must be detailed enough to allow for
replication in other areas. Outcome measures of interest include, but are
not limited to: exposure to injury hazards, knowledge of safety and health
hazards, documenting safety and health behavior change, and changes in the
incidence of disease, injury, or fatality.
In the development and prioritization of the project topics for the
Construction Center, applicants are encouraged to consult with stakeholders
(e.g. construction organizations, construction unions, advisory groups,
workers, safety and health professionals, and other interested parties).
Construction Centers should include plans to develop linkages and
communication with other governmental and non-governmental agencies involved
in construction health and safety, with special emphasis on communications
and collaborations with other NIOSH/CDC-sponsored construction health and
safety programs.
MECHANISM(s) OF SUPPORT
This RFA will use the NIOSH U-54 award mechanism. As an applicant you will
be solely responsible for planning, directing, and executing the proposed
project. This RFA is a one-time solicitation. Future unsolicited, competing-
continuation applications based on this project will compete with all
investigator-initiated applications and will be reviewed according to the
customary peer review procedures. The anticipated award date is July 1, 2004.
Applications that are not funded in the competition described in this RFA may
be resubmitted as NEW investigator-initiated applications using the standard
receipt dates for NEW investigator-initiated applications, using the standard
receipt dates described in the instructions to the PHS 398 application.
The NIOSH U-54 is a cooperative agreement award mechanism. In the
cooperative agreement mechanism, the Principal Investigator retains the
primary responsibility and dominant role for planning, directing, and
executing the proposed project, with NIOSH staff being substantially involved
as a partner with the principal Investigator, as described under the section
Cooperative Agreement Terms and Conditions of Award .
This RFA uses just-in-time concepts. It does not use the modular budgeting
formats. Follow the instructions for a detailed budget research grant
application. This program does not require cost sharing as defined in the
current NIH Grants Policy Statement at
http://grants.nih.gov/grants/policy/nihgps_2001/part_i_1.htm.
FUNDS AVAILABLE
NIOSH intends to commit approximately $5,000,000 in FY04 to fund one or more
new or competing grants in response to this RFA. An applicant may request a
project period of up to five years and a budget for direct costs of up to
$3,600,000 per year. The total cost requested should not exceed $5,000,000.
Applications exceeding $5,000,000 in total costs in any year will be
considered unresponsive and returned without further consideration. Because
the nature and scope of the proposed research will vary from application to
application, it is anticipated that the size and duration of each award may
also vary. Although the financial plans of NIOSH provide for this program,
awards pursuant to this RFA are contingent upon the availability of funds and
the receipt of a sufficient number of meritorious applications.
In years two and four, an additional $100,000 will be provided to support a
national construction meeting. This meeting will be planned jointly by NIOSH
and the successful applicant(s).
Use of Funds
Applicants should allocate funds for travel for project staff (the
Construction Center Director and the principal investigator for each project)
to attend annual meetings held during each project year. Travel funds should
also be planned for annual meetings of Construction Center Directors as a
Coordinating Committee (see Collaborative Responsibilities under Terms and
Conditions of Award) with NIOSH staff. For planning purposes, assume that
the meetings will be held in Washington, DC.
ELIGIBLE INSTITUTIONS
You may submit (an) application (s) if your institution has any of the
following characteristics:
o For-profit or non-profit organizations
o Public or private institutions, such as universities, colleges, hospitals,
and laboratories
o Units of State and local governments
o Eligible agencies of the Federal government
o Domestic
o Faith-based or community-based organizations
o Foreign institutions are not eligible to apply
INDIVIDUALS ELIGIBLE TO BECOME PRINCIPAL INVESTIGATORS
Any individual with the skills, knowledge, and resources necessary to carry
out the proposed program is invited to work with their institution to develop
an application for support. Individuals from underrepresented racial and
ethnic groups, as well as individuals with disabilities, are always
encouraged to apply for NIOSH/CDC programs.
Note: Title 2 United States Code section 1611 states that an organization
described in section 501(c)(4) of the Internal Revenue Code that engages in
lobbying activities is not eligible to receive Federal funds constituting an
award, grant, or loan.
SPECIAL REQUIREMENTS
The essential characteristics of a Construction Center cooperative agreement
are:
Overall Characteristics
o The Construction Center cooperative agreement will support a broadly based
multi-disciplinary exploratory, prevention/intervention, and translation
program. A Construction Center is expected to have the following components
that together address the objectives of a Center:
1. Administrative, Planning and Outreach Core.
This component should NOT exceed 25% of the direct cost budget.
2. Multi-Disciplinary Exploratory Research Projects.
These projects should be at least 20% of the direct cost budget.
3. Prevention/Intervention Projects.
These projects should be at least 25% of the direct cost budget.
4. Translation Projects.
These projects should be at least 20% of the direct cost budget.
(Projects may overlap these arbitrary divisions. For example an intervention
project may also fit as a translation project. Thus these are intended as
guidelines to help the principal investigator balance the construction
centers projects).
o There must be a demonstrated commitment of the applicant’s institution to
support and encourage the Construction Center. Such support could be
demonstrated by release time of faculty, capital improvements that will
facilitate the program, and/or assistance in the acquisition of scientific
equipment and supplies.
o The Construction Center’s program should be more than a collection of
projects, but rather should include a process for the administrative
integration and oversight of the projects. The projects should address
construction issues in an integrated manner that contributes to the overall
focus of the Center. Ideally, a Construction Center will address the entire
continuum of a problem from identification/causation through translation.
Therefore, under the Heading OVERALL DESCRIPTION , the principal
investigator should clearly describe the theme or themes of the Center, how
projects address the Center’s theme(s), and how the Center will function as
an integrated program rather than simply a collection of projects.
NON-ALLOWABLE COSTS FOR NIOSH CONSTRUCTION CENTER COOPERATIVE AGREEMENT
The Construction Center funding mechanism should not be used as a substitute
for individual research grant support. It is expected that investigators
participating in Construction Centers will have a history of independent
project support in addition to the Construction Center support. Generally,
funds for renovation of existing facilities or to purchase substantial
amounts of equipment will not be allowed. If such requests are made, they
must be justified in terms of the critical nature of the
equipment/renovations for the success of the overall objectives of the
Construction Center cooperative agreement.
ESSENTIAL ELEMENTS OF A CONSTRUCTION CENTER
ADMINISTRATIVE AND PLANNING CORE
(SHOULD NOT EXCEED 25% OF THE ANNUAL DIRECT COST)
The Administrative, Planning and Outreach Core must have strong leaders
committed to the program, who are capable of providing scientific leadership
for the administration and integration of the program. Assessment of the
ability of the program’s principal investigator to lead a highly integrated
program of exploratory, prevention/intervention, and translation projects
will be a significant consideration in the evaluation of the application.
The Administrative, Planning and Outreach Core supports the administrative
infrastructure for the entire program and should not be duplicated within any
other components. The responsibilities and activities for this core include:
o Appropriate and adequate organization and facilities for activities such
as seminars, workshops, reference collection, computer support, etc. The
principal investigator should provide a minimum of 20% time commitment
(direct and in-kind) and each member of the internal advisory committee (one
exploratory, prevention/intervention, and translation project investigator)
should provide a minimum of 5% time commitment for the Construction Center’s
administration and coordination.
o Feasibility Projects. Support of feasibility projects in the exploratory,
prevention/intervention and translation project areas within the NIOSH
Construction Center is considered fundamental to sustaining the quality,
breadth, and dynamics of this program. Investigators should include between
5% and 10% of the annual direct cost for these projects. These projects are
intended for the exploration and development of new and creative exploratory,
prevention/intervention and translation projects, and are considered an
important and integral part of the support provided to the Construction
Center. Therefore, funds should be designated to provide support for short-
term projects (maximum duration of 12 months and $20,000) to explore the
feasibility of new projects in any of the Center’s program areas
(exploratory, prevention/intervention, and translation). This will also
enable investigators to collect sufficient data to pursue support through
other funding mechanisms. Examples of feasibility projects may include but
are not limited to:
1. Provide initial support to develop innovative approaches/lines of
investigation in the program areas.
2. Allow exploration of possible innovative new directions representing a
significant departure from ongoing funded projects in construction sciences
(exploratory, prevention/intervention, and translation).
3. Stimulate investigators from other fields of study to apply their
expertise to construction safety and health issues.
4. Develop new mechanisms for external or multi-Center collaborative
partnerships to address emerging construction safety and health concerns.
5. Provide initial support for a translational activity.
As a general rule, approximately 5% to 10% of the direct cost budget for each
year should be allocated to the Feasibility Projects Program of a Center.
While the administrative framework for management of the Center's Feasibility
Projects Program is left to the Center Director's discretion, certain minimal
requirements must be met. Management of the program must include provisions
for:
1. A mechanism that ensures preparation and appropriate announcement of the
availability of feasibility project funding.
2. A mechanism for merit review of feasibility project proposals. Copies of
all proposals, with documentation of their reviews, relative ranking, and
final action must be retained by the Center. These records must be available
to reviewers in the event of a site visit.
3. A mechanism to maintain a record of subsequent results of each
feasibility project study (abstract, RO1/R21 submission, etc.) recipient.
This record must be available to reviewers in the event of a site visit for
competing renewals. Input by both the Internal Advisory Committee and the
External Advisory Committee into the management of the Feasibility Projects
Program is strongly recommended.
o The use of existing state and national databases is encouraged, however, a
data center/statistical support activity may be included in the
administrative core if needed for the Center.
o Outreach Activities: Essential functions of the outreach component of the
administrative core include but are not limited to, coordinating and
collaborating with construction researchers, industry stakeholders,
construction unions and other organizations to identify key issues and needs.
They could also include ongoing construction communication efforts and
convening consensus-development sessions to address complex and/or
controversial issues with the aim of preventing construction injuries and
illness. One topic that could be addressed through this activity would be
working with building owners and clients (building managers) to develop
strategies for identifying and adopting construction best practices.
o An Internal Advisory Committee is formed from the individual project
leaders, one from each type of project (exploratory, prevention/intervention
and translation) that will assist the principal investigator in making
scientific and administrative decisions in the operation of the program.
These individuals should provide a minimum time commitment of 5%.
o An External Advisory Committee, comprised of at least three members who
are recognized leaders in construction health and safety and regional
construction experts, will provide overall guidance and advice to the
principal investigator and program investigators on program direction.
TYPES OF PROJECTS
Two types of exploratory, prevention/intervention, and translation projects
may be included in the Construction Center, and both types are encouraged.
The two types are pilot/short term projects (1 - 2 years, R21 type) and
comprehensive projects (up to 5 years, R01 type). Each project (pilot and
comprehensive) should be related to the overall goals established for the
Center. To be funded, a Construction Center must have one project either
pilot or comprehensive for each topic area (exploratory,
prevention/intervention, and translation) that is judged to have significant
and substantial merit. When appropriate, collaborative research is
encouraged between Construction Centers and the NIOSH intramural program.
Pilot research projects are intended to provide Construction Center
investigators an opportunity to obtain the preliminary data needed for the
submission of a NIOSH/CDC, NIH, EPA, or other peer-reviewed Project Grant
application (R01 type). The maximum project period for a pilot project is 2
years. Follow the instructions for a NIOSH Exploratory/Developmental (R21)
grant (see NIH guide:
http://grants.nih.gov/grants/guide/rfa-files/RFA-OH-00-006.html),
for additional information on R21 applications).
Comprehensive research projects are intended to provide support for fully
developed ideas that are ripe for study, and should be consistent with R01
projects that are typically awarded by NIOSH and NIH. The project period for
this type of project is usually three to five years. These projects will
follow the submission guidelines for a R01 application according to the PHS
398 application instructions. See NIH guide:
http://grants.nih.gov/grants/guide/pa-files/PA-99-143.html, for additional
information on R01 applications.
EXPLORATORY PROJECTS
(SHOULD BE AT LEAST 20% OF THE ANNUAL DIRECT COSTS)
These projects are hypothesis driven projects focused on improving our
understanding of construction issues. They may include but are not limited
to projects involving surveillance, etiology, engineering, risk factor
characterization, or development of analytical and exposure assessment
approaches. They may be lab or field projects that provide the basis for
creation or improvement of interventions. Exploratory projects should target
priority topics and should be done as a part of multidisciplinary efforts to
address important problems and avoid fragmentary efforts are encouraged.
Other topics relevant to the construction environment are also appropriate.
PREVENTION/INTERVENTION PROJECTS
(SHOULD BE AT LEAST 25% OF THE ANNUAL DIRECT COSTS)
This section is for projects in prevention and/or intervention. These
studies are for testing promising approaches in actual construction
settings. Prevention/intervention projects may include but are not limited
to actions taken to eliminate or reduce exposure to safety and health hazards
via practices or policies, or projects to demonstrate the value of screening
or related approaches to detecting disorders and diseases in early stages.
They can also examine the value of larger preventive systems (e.g., the
workers compensation system) in reducing hazards and adverse outcomes.
Prevention/intervention projects examine the utility and impact of new and
existing measures in the workplace. They may include but are not limited to
combinations of techniques such as control technologies, work practices,
tools and materials, personal protective equipment, exposure guidelines and
regulations, worker participation programs, contract language, design
specifications, and changes in education and training.
Projects should address significant construction problems and involve
construction stakeholder input to maximize relevance. The development of
strong partnerships with organizations that can facilitate the identification
of project needs and culturally appropriate, prevention, and intervention
activities is encouraged. These projects should include the active
participation of target populations identified at the state and national
level, and include an evaluation plan to determine the efficiency and
effectiveness of these techniques and programs.
TRANSLATION PROJECTS
(SHOULD BE AT LEAST 20% OF THE ANNUAL DIRECT COSTS)
These are projects that focus on the translation of extant knowledge (e.g.
peer reviewed articles) into products or practices that meet construction
customer needs so as to maximize the impact on industry practices. The
Principal Investigator (Center Director) should view these projects as the
tool to move the results from the research environment into the construction
industry. As the goal for these projects is the adoption of new/improved
knowledge in the construction sector, the principal investigator must include
in the project plan how the study will accomplish this goal.
Translation projects may include but are not limited to technology transfer
projects or demonstration projects that expand the use of effective
interventions by a construction trade or industry group.
Projects may address diffusion research issues to improve understanding of
what influences construction industry decision-makers, workers, contractors,
building owners, or others to adopt new practices, tools, and methods to
improve safety and health performance. Participatory research projects,
where research subjects and researchers work as active co-partners on
translation issues are encouraged. Social marketing projects and other
approaches that target important topics such as reducing construction
fatalities at the industry, state, or national level are also appropriate.
Note to Principal Investigators
Principal investigators are reminded that the intent of the Construction
Center is not to support a collection of projects (exploratory,
prevention/intervention, and translation). Rather, the goal for a NIOSH
Construction Center is to support multi-disciplinary projects that are
focused on a construction issue(s)in such a way as to have a meaningful and
measurable impact on the problem. For example, a center may have as one
focus fatal injury reduction and propose exploratory,
prevention/intervention, and translation projects that address this problem
in a multidisciplinary manner with a goal of reducing fatalities in
construction workers.
WHERE TO SEND INQUIRIES
We encourage inquiries concerning this RFA and welcome the opportunity to
answer questions from potential applicants. Inquiries may fall into three
areas: scientific/research, peer review, and financial or grants management
issues.
Direct inquiries regarding programmatic issues to:
Michael J. Galvin Jr., Ph.D.
Scientific Program Administrator
Office of Extramural Programs
National Institute for Occupational Safety and Health/CDC
1600 Clifton Road, N.E.
Building 24, Room 1536, MS E-74
Atlanta, GA 30333
Telephone: (404) 498-2524
FAX: (404) 498-2571
Email: mgalvin@cdc.gov
Direct inquiries regarding peer review to:
Pervis C. Major, Ph.D.
Scientific Review Administrator
Office of Extramural Programs
National Institute for Occupational Safety and Health
Centers for Disease Control and Prevention (CDC)
1095 Willowdale Rd
Morgantown, WV 26505
Telephone 304-285-5979
Fax 304-285-6147
Email: pmajor@cdc.gov
Direct inquiries regarding grants management to:
Cynthia Mitchell
Grants Management Branch, Procurement and Grants Office
Centers for Disease Control and Prevention
626 Cochrans Mill Road
Pittsburgh, Pennsylvania 15236-0070
Announcement Number OH-04-002
Telephone: (412) 386-6434
FAX: (412) 386-6459
Email: cmitchell@cdc.gov
PRE-APPLICATION CALL
Applicants are invited by NIOSH to participate in a pre-application technical
assistance telephone conference call on December 17, 2003 at 1:00 PM (Eastern
time) to discuss: programmatic issues regarding this program, how to apply,
and questions regarding the content of the RFA. The conference name is
Construction Centers program. The telephone bridge number is (888) 455-
3612. Interested parties will need the conference code (41162) to
participate. If you experience difficulty connecting to the conference call,
contact NIOSH staff at (404) 498-2530.
LETTER OF INTENT
Prospective applicants are asked to submit a letter of intent by the date
listed at the beginning of the RFA that includes the following information:
o Descriptive title of the proposed program
o Name, address, and telephone number of the Principal Investigator
o Names of other key personnel
o Participating institutions
o Number and title of this RFA
Although a letter of intent is not required, is not binding, and does not
enter into the review of an application, the information that it contains is
used to estimate the potential review workload and plan the review.
The letter of intent is to be sent by the date listed at the beginning of
this document. The letter of intent should be sent to:
Pervis C. Major, Ph.D.
Scientific Review Administrator
Office of Extramural Programs
National Institute for Occupational Safety and Health
Centers for Disease Control and Prevention (CDC)
1095 Willowdale Rd
Morgantown, WV 26505
Telephone 304-285-5979
Fax 304-285-6147
Email: pmajor@cdc.gov
SUBMITTING AN APPLICATION
Although not a prerequisite for applying, applicants are encouraged to
consult with NIOSH program staff concerning the technical and other aspects
of preparing the application. Applicants should contact NIOSH program staff
by phone early in the preparation process. However, applicants should
understand that advice given by staff is independent from the review process.
Applications must be prepared using the PHS 398 research grant application
instructions and forms (rev. 5/2001). Applications must have a DUN and
Bradstreet (D&B) Data Universal Numbering System (DUNS) number as the
Universal Identifier when applying for Federal grants or cooperative
agreements. The DUNS number can be obtained by calling (866) 705-5711 or
through the web site at http://www.dunandbradstreet.com/. The DUNS number
should be entered on line 11 of the face page of the PHS 398 form. The PHS
398 document is available at
http://grants.nih.gov/grants/funding/phs398/phs398.html in an interactive
format. For further assistance contact GrantsInfo, Telephone (301) 710-0267,
Email: GrantsInfo@nih.gov.
SUPPLEMENTARY INSTRUCTIONS
All projects (exploratory, prevention/intervention, or translation), should
be consistent with the competitive/peer-reviewed applications that are
typically awarded by NIOSH and NIH and adhere to the submission guidelines
for a R01/R21 application following the PHS 398 application instructions.
The R01 is an investigator initiated project that can request up to 5 years
of support. The R21 is for projects that are short-term in nature or for
pilot projects.
PHS 398 form page 3 contains the section entitled Research Plan and
although some projects are not hypothesis based research, this section should
be used to describe the specific aims, background and significance,
preliminary information or data, the project approach, for each project
(prevention/intervention, or exploratory research/demonstration). This
section should contain sufficient information to address the project’s goals
and plan to achieve those goals, and should answer the following questions;
1) What do you intend to do?, 2) Why is the work important?, 3) What has
already been done?, and 4) How are you going to do the work (see page 15 of
the 398 instructions for additional guidance).
Each project type section should begin with a cover sheet that identifies it
as the beginning of the project section (administrative core, exploratory,
prevention/intervention, or translation), and the name of a project
investigator who will be a member of the internal advisory committee should
be listed. This page is then followed by as many subsections as there are
projects under that type. Each subsection begins with a header page that
identifies the project investigator and title of the project. The next page
is the form page 2 of the PHS 398 which provides the description, performance
sites, and key personnel. For further instructions refer to the, Table of
Contents for a Construction Center Application, provided below.
For each R01-type project, the application should not exceed 25 pages for
items d - g for prevention/intervention, or comprehensive project (see the,
Table of Contents for a Construction Center Application). For pilot research
(R21-type) projects, follow the instructions for a NIOSH
Exploratory/Developmental grant (R21), see NIH guide:
http://grants.nih.gov/grants/guide/rfa-files/RFA-OH-00-006.html for
additional information on R21 applications. A 15 page maximum for items d - g
should be followed. Refer to the, Table of Contents for a Construction Center
Application, provided below.
The budget information, other support, etc. should be included in the
appropriate sections of the application.
NOTE: NIOSH will inform successful applicants of the procedures for adding
exploratory, prevention/intervention, or translation projects in future years
of support. Thus, the application should contain only projects for which
funds are requested for support during year one.
TABLE OF CONTENTS FOR A CONSTRUCTION CENTER APPLICATION
In order to facilitate the preparation and review of the Construction Center
application, the following Table of Contents should be used. It is a minor
modification of the PHS 398 Table of Contents which should be followed as a
guide.
o Face Page
o Construction Center Description, Performance Sites, and Personnel, Form
page 2(use additional continuation pages as needed)
o Table of Contents
o Detailed Budget for the Initial Budget Period for the entire Construction
Center
o Budget for the Entire Proposed Period of Support for the Entire
Construction Center
o Detailed Budget for each Project for the Initial Budget Period Organized by
areas (exploratory, prevention/intervention, or translation)
o Budget for the Entire Proposed Period for each Project Organized by Cores
o Biographical Sketch-Principal Investigator/Program Director
o Other Biographical Sketches
o Other Support
o Overall Description of the Construction Center (2 page maximum)
o Past Performance/Accomplishments in Last Project Period (existing
Construction Center)
o Past Performance/Accomplishments Relevant to Construction Center goals (new
applicants)
o Statement on the Institutional Commitment to the Construction Center (1
page maximum)
o Human Subjects summary table that lists all the projects and human subjects
information (title, performance sites, FWAs, IRB approval date/status)
o Administrative and Planning Core Cover Sheet
o Administrative and Planning Core
o Exploratory Projects Cover Sheet
o Exploratory Plan A (use as many headings as there are projects)
o Prevention/Intervention Projects Cover Sheet
o Prevention/Intervention Project Plan A (use as many headings as there are
projects)
o Translation Projects Cover Sheet
o Project Plan A (use as many headings as there are projects)
Note: each project plan should use the following outline
a. Header Page with Title, Principal Investigator's name, and type of
project (comprehensive or pilot)
b. Description, Performance Sites, and Personnel (form page 2)
c. Highlights of Accomplishments for Past Project Period if it was part of
an existing Construction Center (1 page maximum)
d. Specific Aims
e. Background and Significance
f. Preliminary Studies/Progress Report
g. Project Design and Methods
Items d-g cannot exceed 25 pages (except pilot projects, which cannot exceed
15 pages)
h. Human Subjects
i. Vertebrate Animals
j. Literature Cited
k. Consortium/Contractual Arrangements
l. Consultants and Collaborators, including NIOSH/CDC
Note: Type density and size of the entire application must conform to the
limits provided on page 3 in the PHS 398 instructions.
USING THE RFA LABEL: The RFA label available in the PHS 398 (rev. 5/2001)
application form, must be affixed to the bottom of the face page of the
application. Type the RFA number on the label. 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 RFA label is also available at:
http://grants.nih.gov/grants/funding/phs398/labels.pdf.
SENDING AN APPLICATION TO THE CSR: Submit a signed, typewritten original of
the application, including the Checklist, and three signed photocopies, in
one package to:
Center for Scientific Review (CSR)
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:
Pervis C. Major, Ph.D.
Scientific Review Administrator
Office of Extramural Programs
National Institute for Occupational Safety and Health
Centers for Disease Control and Prevention (CDC)
1095 Willowdale Rd
Morgantown, WV 26505
Telephone 304-285-5979
Fax 304-285-6147
Email: pmajor@cdc.gov
APPLICATION PROCESSING: Applications must be received on or before the
application receipt date listed in the heading of this RFA. If an application
is received after that date, it will be returned to the applicant without
review.
Although there is no immediate acknowledgement of the receipt of an
application, applicants are generally notified of the review and funding
assignment within 8 weeks.
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.
However, when a previously unfunded application, originally submitted as an
investigator-initiated application, is to be submitted in response to an RFA,
it is to be prepared as a NEW application. That is, the application for the
RFA must not include an Introduction describing the changes and improvements
made, and the text must not be marked to indicate the changes from the
previous unfunded version of the application.
PEER REVIEW PROCESS
Upon receipt, applications will be reviewed for completeness by CSR and
responsiveness by NIOSH/CDC. Incomplete applications will be returned to the
applicant without further consideration.
Applications that are complete and responsive to the RFA will be evaluated
for scientific and technical merit by an appropriate peer review group
convened by NIOSH/CDC in accordance with the review criteria stated below.
As part of the initial merit review, all applications will:
o Undergo a process in which only those applicants deemed to have the highest
merit, generally the top half of the applications under review, will be
discussed and assigned a priority score
o Receive a written critique
o Receive a second level of review by the NIOSH Secondary Review Committee.
REVIEW CRITERIA
The primary consideration for a Center cooperative agreement application is
the ability of the Center’s program to bring together quality exploratory,
prevention/intervention, and translation activities into an interactive,
multi-disciplinary operation addressing construction issues.
SITE VISITS
A site visit to the applicant institutions may be made (but such site visits
are not assured) to evaluate the overall merit of the application. The site
visit team includes members of the Special Emphasis Panel who have expertise
in major research areas, facilities, and outreach activities of the proposed
Center, the NIOSH Scientific Review Administrator, and NIOSH staff
observer(s).
A site visit is not a prerequisite and is not assured for consideration of an
application by NIOSH. Therefore, the application is considered a complete
document for review purposes. Furthermore, the applicant should not use the
site visit as an occasion for adding core units, research projects, or
investigators, for making major changes, or for delivering another exposition
of the application. Rather, it should be used by the principal investigator
and associates to elaborate on the research program and core units, cost
effectiveness and quality control features of the core units, and on other
Center activities for which funding is requested, as well as to answer
reviewers' questions. The site visit team will not consider any component
core unit that is presented for evaluation at the site visit which has not
been included in the application. Budgetary changes also will not be
considered at the time of a site visit. The findings of the site visit team
are reported and discussed by the members of the SEP, which makes the final
peer review recommendations and assigns the priority score.
General Review Criteria
The criteria that NIOSH will use to review applications for scientific merit
and for meeting program objectives are provided below. In the written
comments, reviewers will be asked to discuss the following aspects of your
application in order to judge the likelihood that the proposed project will
have a substantial impact on the pursuit of these goals. The review group
will address and consider each of these criteria in assigning your
application’s overall score, weighting them as appropriate for each
application.
o Significance
o Approach
o Innovation
o Investigator
o Environment
The application does not need to be strong in all categories to be judged
likely to have a major impact and thus deserve a high priority score. For
example you may propose to carry out important work that by its nature is not
innovative but essential to move a field forward.
Review Criteria for the Projects:
o SIGNIFICANCE: Merit and significance of the proposed project as determined
by such factors as content, originality, feasibility, potential long-term
impact, transportability, and appropriateness. Does the project address an
important construction problem? Does the project address a difficult
construction problem that if successful would have significant impact?
o APPROACH: Demonstration within the proposed project plan of current
knowledge of intervention practices and effectiveness. Does the applicant
acknowledge potential problem areas and consider alternative approaches. Is
the project fully described and does it include a plan for the distribution
of results? Has the investigator included appropriate methods for the
analysis of the study results?
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? The project
does not have to be innovative but can use established methods to have a
major impact and thus deserve a high priority score.
o INVESTIGATOR: Qualifications and experience of the principal investigator
and staff, particularly but not exclusively in areas relevant to the NIOSH’s
mission of an Construction Center. Individuals with strong subject matter
skills are expected to play key roles. Personnel should demonstrate
knowledge of the needs of their target audience.
o ENVIRONMENT: Availability of resources necessary to perform project
objectives. Strength of commitment by the participating institution(s) as
evidenced by provisions of appropriate resources, services, and technical
support.
Review Criteria for the Overall Program:
o Responsiveness to the objectives of the cooperative agreement program,
including the applicant's understanding of the objectives of the proposed
cooperative agreement and the relevance of the proposal to the objectives.
o Involvement of key stakeholders (construction and construction contractor
organizations, unions, and workers)
o Feasibility of meeting the proposed goals of the cooperative agreement
program including the proposed schedule for initiating and accomplishing each
of the activities of the cooperative agreement and the proposed method for
evaluating the accomplishments.
o Degree to which the program design addresses the distinct characteristics,
specific populations, and needs in construction.
o Qualifications of core investigators and the physical and intellectual
environment of the group as a national resource for construction occupational
health research and training.
o Multidisciplinary scope of the program.
o Degree of interrelationships, collaboration, and synergism of projects
that might be expected to derive from Center support.
o Leadership ability and scientific stature of the Center Director and
his/her ability to meet the program's demands of time and effort.
o Provisions for coordinating projects. The Center must have appropriate
administrative arrangements and facilities that stimulate collaboration among
constituent projects and personnel.
o Effectiveness of the Center in establishing or continuing a Outreach
Program that makes maximal use of the Center’s strengths in educating
construction workers and others about reducing construction injuries and/or
hazard exposure.
o Institutional commitment to the Center.
OTHER REVIEW CRITERIA FOR ALL PROJECTS
The 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 goals of
the project including 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.
PROGRAMMATIC REVIEW CRITERIA:
o Magnitude and severity of the occupational health or safety problems
addressed in the proposal for the construction workplace and among
construction populations in the region.
o Likelihood of developing knowledge for the prevention/reduction of
construction injuries and diseases on a national or regional basis.
o Overall program addresses recognized construction priorities.
o Program balance.
o Appropriateness of the proposed budget and duration in relation to
proposed objectives.
AWARD CRITERIA
Award criteria that will be used to make award decisions include:
o Program merit
o Availability of funds
o Programmatic priorities
o Balance of program areas
TERMS AND CONDITIONS OF AWARD
The Terms and Conditions of Award, below, will be incorporated in all awards
issued as a result of this RFA. It is critical that each applicant include
specific plans for responding to these terms. These special terms of award
are in addition to and not in lieu of otherwise applicable OMB administrative
guidelines, HHS Grant Administration Regulations at 45 CFR Parts 74 and 92,
and PHS Grants Policy Statement.
Under the cooperative agreement, the NIOSH purpose is to support and/or
stimulate the recipient's activity by involvement in and otherwise working
jointly with the award recipient in a partner role, but it is not to assume
direction, prime responsibility, or a dominant role in the activity.
Consistent with this concept, the dominant role and prime responsibility for
the activity resides with the awardee(s) for the project as a whole, although
specific tasks and activities in carrying out the studies will be shared
among the awardees and the NIOSH collaborators where appropriate, including
the following:
1. Recipient Responsibilities
The recipient will coordinate project activities, scientifically and
administratively at the awardee institution and at the other sites that may
be supported by sub-contractors to this award. The applicant will have
primary authority and responsibility to define objectives and approaches; to
plan, conduct, and analyze data; and to publish results, interpretations, and
conclusions of studies conducted under the terms and conditions of the
cooperative agreement award. Recipient will:
o Serve as a center for consultation and partnership to coordinate work by
researchers and to coordinate researcher/stakeholder relationships to
facilitate an effective multidisciplinary program.
o Conduct exploratory, prevention/intervention, and translation projects to
improve construction health and safety.
o Collaborate with other NIOSH funded Construction researchers.
o Disseminate project results.
o Participate in an annual meeting of project investigators.
o Comprehensive Annual Center Report. In addition to the summary progress
report required for continuation applications, the Center Director prepares
and submits separately, following the conclusion of each budget period, a
comprehensive annual report of all activities relating to the Center. This
report is submitted electronically. Typically, this report includes:
(a) An "Introduction and Summary" of the program.
(b) Directors report on major accomplishments (highlights).
(c) Detailed progress reports on each project, grouped according to type with
appropriate references and a list of publications since the last annual
report.
(d) A progress report on feasibility projects.
(e) A report on the Outreach Program.
(f) A report on specific improvements in construction safety and health that
resulted from center activities.
(g) An administrative report, discussing relevant personnel and other
matters.
2. NIOSH Responsibilities
o Provide technical assistance through site visits and correspondence in the
areas of program development, implementation, maintenance, and priority
setting related to the cooperative agreement, if requested.
o Provide scientific collaboration, if requested.
o Assist in the reporting and dissemination of research results and relevant
health and safety and training information to appropriate Federal, State,
local agencies, health-care providers, the scientific community, construction
workers, management and union representatives, and other NIOSH Construction
Centers, if requested.
3. Collaborative Responsibilities
If more than one Construction Center is awarded, part of this initiative will
be the establishment of a Coordinating Committee (CC) that will facilitate
sharing of information about activities and accomplishments among the
Centers. This CC will also provide leadership and work collaboratively to
address construction safety and health issues at a national level. The CC
will be comprised of the principle investigators from the Centers. NIOSH
representatives will participate in CC meetings where appropriate but will
not have voting privileges. The CC may designate working groups for specific
purposes, made up of staff members from their Centers. One such working
group could be a Construction Centers Translation Committee. This multi-site
committee would provide a means to share data that is ripe for translation to
the construction sector.
It is anticipated that critical issues for understanding and protecting
construction workers from job risks will be better defined through the
deliberations of the CC. The CC will combine the expertise and resources of
the Centers with those of NIOSH/CDC to achieve a more integrated and
effective program in construction health and safety.
REQUIRED FEDERAL CITATIONS
HUMAN SUBJECTS PROTECTION: Federal regulations (45CFR46) require that
applications and proposals involving human subjects must be evaluated with
reference to the risks to the subjects, the adequacy of protection against
these risks, the potential benefits of the research to the subjects and
others, and the importance of the knowledge gained or to be gained.
http://www.hhs.gov/ohrp/humansubjects/guidance/45cfr46.htm
DATA AND SAFETY MONITORING PLAN: Data and safety monitoring is required for
all types of clinical trials, including physiologic, toxicity, and dose-
finding studies (phase I); efficacy studies (phase II); efficacy,
effectiveness and comparative trials (phase III). The establishment of data
and safety monitoring boards (DSMBs) is required for multi-site clinical
trials involving interventions that entail potential risk to the
participants. (NIH Policy for Data and Safety Monitoring, NIH Guide for
Grants and Contracts, June 12, 1998:
http://grants.nih.gov/grants/guide/notice-files/not98-084.html).
SHARING RESEARCH DATA: Starting with the October 1, 2003 receipt date,
investigators submitting an NIH application seeking more than $500,000 or
more in direct costs in any single year are expected to include a plan for
data sharing or state why this is not possible.
http://grants.nih.gov/grants/policy/data_sharing Investigators should seek
guidance from their institutions, on issues related to institutional
policies, local IRB rules, as well as local, state and Federal laws and
regulations, including the Privacy Rule. Reviewers will consider the data
sharing plan but will not factor the plan into the determination of the
scientific merit or the priority score.
INCLUSION OF WOMEN AND MINORITIES IN CLINICAL RESEARCH: It is the policy of
the NIH that women and members of minority groups and their sub-populations
must be included in all NIH-supported clinical research projects unless a
clear and compelling justification is provided indicating that inclusion is
inappropriate with respect to the health of the subjects or the purpose of
the research. This policy results from the NIH Revitalization Act of 1993
(Section 492B of Public Law 103-43).
All investigators proposing clinical research should read the "NIH Guidelines
for Inclusion of Women and Minorities as Subjects in Clinical Research -
Amended, October, 2001," published in the NIH Guide for Grants and Contracts
on October 9, 2001
(http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-001.html);
a complete copy of the updated Guidelines are available at
http://grants.nih.gov/grants/funding/women_min/guidelines_amended_10_2001.htm.
The amended policy incorporates: the use of an NIH definition of clinical
research; updated racial and ethnic categories in compliance with the new OMB
standards; clarification of language governing NIH-defined Phase III clinical
trials consistent with the new PHS Form 398; and updated roles and
responsibilities of NIH staff and the extramural community. The policy
continues to require for all NIH-defined Phase III clinical trials that: a)
all applications or proposals and/or protocols must provide a description of
plans to conduct analyses, as appropriate, to address differences by
sex/gender and/or racial/ethnic groups, including subgroups if applicable;
and b) investigators must report annual accrual and progress in conducting
analyses, as appropriate, by sex/gender and/or racial/ethnic group
differences.
INCLUSION OF CHILDREN AS PARTICIPANTS IN RESEARCH INVOLVING HUMAN SUBJECTS:
The NIH maintains a policy 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 is available at
http://grants.nih.gov/grants/funding/children/children.htm
REQUIRED EDUCATION ON THE PROTECTION OF HUMAN SUBJECT PARTICIPANTS: NIH
policy requires education on the protection of human subject participants for
all investigators submitting NIH proposals for research involving human
subjects. You will find this policy announcement in the NIH Guide for Grants
and Contracts Announcement, dated June 5, 2000, at
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html.
PUBLIC ACCESS TO RESEARCH DATA THROUGH THE FREEDOM OF INFORMATION ACT: The
Office of Management and Budget (OMB) Circular A-110 has been revised to
provide public access to research data through the Freedom of Information Act
(FOIA) under some circumstances. Data that are (1) first produced in a
project that is supported in whole or in part with Federal funds and (2)
cited publicly and officially by a Federal agency in support of an action
that has the force and effect of law (i.e., a regulation) may be accessed
through FOIA. It is important for applicants to understand the basic scope
of this amendment. NIH has provided guidance at
http://grants.nih.gov/grants/policy/a110/a110_guidance_dec1999.htm.
Applicants may wish to place data collected under this PA in a public
archive, which can provide protections for the data and manage the
distribution for an indefinite period of time. If so, the application should
include a description of the archiving plan in the study design and include
information about this in the budget justification section of the
application. In addition, applicants should think about how to structure
informed consent statements and other human subjects procedures given the
potential for wider use of data collected under this award.
STANDARDS FOR PRIVACY OF INDIVIDUALLY IDENTIFIABLE HEALTH INFORMATION: The
Department of Health and Human Services (DHHS) issued final modification to
the Standards for Privacy of Individually Identifiable Health Information ,
the Privacy Rule, on August 14, 2002. The Privacy Rule is a federal
regulation under the Health Insurance Portability and Accountability Act
(HIPAA) of 1996 that governs the protection of individually identifiable
health information, and is administered and enforced by the DHHS Office for
Civil Rights (OCR). Those who must comply with the Privacy Rule (classified
under the Rule as covered entities ) must do so by April 14, 2003 (with the
exception of small health plans which have an extra year to comply).
Decisions about applicability and implementation of the Privacy Rule reside
with the researcher and his/her institution. The OCR website
(http://www.hhs.gov/ocr/) provides information on the Privacy Rule, including
a complete Regulation Text and a set of decision tools on Am I a covered
entity? Information on the impact of the HIPAA Privacy Rule on NIH
processes involving the review, funding, and progress monitoring of grants,
cooperative agreements, and research contracts can be found at
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-03-025.html.
URLs IN NIH GRANT APPLICATIONS OR APPENDICES: All applications and proposals
for NIH funding must be self-contained within specified page limitations.
Unless otherwise specified in an NIH solicitation, Internet addresses (URLs)
should not be used to provide information necessary to the review because
reviewers are under no obligation to view the Internet sites. Furthermore,
we caution reviewers that their anonymity may be compromised when they
directly access an Internet site.
HEALTHY PEOPLE 2010: The CDC is committed to achieving the health promotion
and disease prevention objectives of "Healthy People 2010," a national
activity for reducing morbidity and mortality and improving the quality of
life. This RFA is related to one or more focus areas. Potential applicants
may obtain a copy of "Healthy People 2010" at http://www.healthypeople.gov/.
AUTHORITY AND REGULATIONS: This program is described in the Catalog of
Federal Domestic Assistance at http://www.cfda.gov/ and is not subject to the
intergovernmental review requirements of Executive Order 12372 or Health
Systems Agency review. Awards are made under the authorization of Sections
301 and 405 of the Public Health Service Act as amended (42 USC 241 and 284)
and under Federal Regulations 42 CFR 52 and 45 CFR Parts 74 and 92. All
awards are subject to the terms and conditions, cost principles, and other
considerations described in the NIH Grants Policy Statement. The NIH Grants
Policy Statement can be found at
http://grants.nih.gov/grants/policy/policy.htm
The PHS strongly encourages all grant recipients to provide a smoke-free
workplace and discourage the use of all tobacco products. In addition,
Public Law 103-227, the Pro-Children Act of 1994, prohibits smoking in
certain facilities (or in some cases, any portion of a facility) in which
regular or routine education, library, day care, health care, or early
childhood development services are provided to children. This is consistent
with the PHS mission to protect and advance the physical and mental health of
the American people.
LOBBYING RESTRICTIONS: Applicants should be aware of restrictions on the use
of Health and Human Services (DHHS) funds for lobbying of Federal or State
legislative bodies. Under the provisions of 31 U.S.C. Section 1352,
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, no part of the Center for Disease Control and Prevention (CDC)
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.
Any activity designed to influence action in regard to a particular piece of
pending legislation would be considered lobbying. That is lobbying for or
against pending legislation, as well as indirect or grass roots: lobbying
efforts by award recipients that are directed at inducing members of the
public to contact their elected representatives at the Federal or State
levels to urge support of, or opposition to, pending legislative proposals is
prohibited. As a matter of policy, CDC extends the prohibitions to lobbying
with respect to local legislation and local legislative bodies.
The provisions are not intended to prohibit all interaction with the
legislative branch, or to prohibit educational efforts pertaining to public
health. Clearly there are circumstances when it is advisable and permissible
to provide information to the legislative branch in order to foster
implementation of prevention strategies to promote public health. However,
it would not be permissible to influence, directly or indirectly, a specific
piece of pending legislation.
It remains permissible to use CDC funds to engage in activity to enhance
prevention; collect and analyze data; publish and disseminate results of
research and surveillance data; implement prevention strategies; conduct
community outreach services; provide leadership and training; and foster safe
and healthy environments.
Recipients of CDC grants and cooperative agreements need to be careful to
prevent CDC funds from being used to influence or promote pending
legislation. With respect to conferences, public events, publication, and
grassroots activities that relate to specific legislation, recipients of
CDC funds should give attention to isolating and separating the appropriate
use of CDC funds from non-CDC funds. CDC also cautions recipients of CDC
funds to be careful not to give the appearance that CDC funds are being used
to carry out activities in a manner that is prohibited under Federal law.
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 , library, day care,
health care, and early childhood development services are provided to
children.
SMALL, MINORITY, AND WOMEN-OWNED BUSINESS: It is a national policy to place a
fair share of purchases with small, minority and women-owned business firms.
The Department of Health and Human Services is strongly committed to the
objective of this policy and encourages all recipients of its grants and
cooperative agreements to take affirmative steps to ensure such fairness. In
particular, recipients should:
1. Place small, minority, women-owned business firms on bidders mailing
lists.
2. Solicit these firms whenever they are potential sources of supplies,
equipment, construction, or services.
3. Where feasible, divide total requirements into smaller needs, and set
delivery schedules that will encourage participation by these firms.
4. Use the assistance of the Minority Business Development Agency of the
Department of Commerce, the Office of Small and Disadvantaged Business
Utilization, DHHS, and similar state and local offices.
RESEARCH INTEGRITY: The signature of the institution official on the face
page of the application submitted under this Program Announcement is
certifying compliance with the Department of Health and Human Services (DHHS)
regulations in Title 42 Part 50, Subpart A, entitled "Responsibility of PHS
Awardee and Applicant Institutions for Dealing with and Reporting Possible
Misconduct in Science."
The regulation places several requirements on institutions receiving or
applying for funds under the PHS Act that are monitored by the DHHS Office of
Research Integrity's (ORI) Assurance Program.
For examples:
Section 50.103(a) of the regulation states: "Each institution that applies
for or receives assistance under the Act for any project or program which
involves the conduct of biomedical or behavioral research must have an
assurance satisfactory to the Secretary (DHHS) that the applicant: (1) Has
established an administrative process, that meets the requirements of this
subpart, for reviewing, investigating, and reporting allegations of
misconduct in science in connection with PHS-sponsored biomedical and
behavioral research conducted at the applicant institution or sponsored by
the applicant; and (2) Will comply with its own administrative process and
the requirements of this Subpart."
Section 50.103(b) of the regulation states that: "an applicant or recipient
institution shall make an annual submission to the [ORI] as follows: (1) The
institution's assurance shall be submitted to the [ORI], on a form prescribed
by the Secretary,...and updated annually thereafter...(2) An institution
shall submit, along with its annual assurance, such aggregate information on
allegations, inquiries, and investigations as the Secretary may prescribe."
AUTHORITY AND REGULATIONS
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.
Weekly TOC for this Announcement
NIH Funding Opportunities and Notices
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Department of Health and Human Services (HHS) |
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