This Program Announcement expires February 2004, unless reissued.


Release Date:  December 13, 2000

PA NUMBER:  PA-01-033 (see replacement PA-04-021)

National Institute for Occupational Safety and Health

Application Receipt Dates:  March 1, July 1, and November 1



This Program Announcement (PA) supersedes all previous announcements of the
National Institute for Occupational Safety and Health (NIOSH) Small Grant
(R03) Program.  The research must be related to the priority areas identified
in the National Occupational Research Agenda (NORA) that are described in the

Within the Centers for Disease Control and Prevention (CDC),  NIOSH is the
only Federal Institute responsible for conducting research and making
recommendations for the prevention of work-related illnesses and injuries. 
NIOSH supports research to identify and investigate the relationships between
hazardous working conditions and associated occupational diseases and
injuries; to develop more sensitive means of evaluating hazards at work sites,
as well as methods for measuring early markers of adverse health effects and
injuries; to develop new protective equipment, engineering control technology,
and work practices to reduce the risks of occupational hazards; and to
evaluate the technical feasibility or application of a new or improved
occupational safety and health procedure, method, technique, or system.


NIOSH is committed to achieving the health promotion and disease prevention
objectives of Healthy People 2010, a national activity to reduce morbidity and
mortality and improve the quality of life.  This program announcement is
related to the focus area of Occupational Safety and Health and Injury and
Violence Prevention.  Potential applicants may obtain a copy of Healthy
People 2010 at


Applications may be submitted by domestic, 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.  Racial/ethnic minority
individuals, women, and persons with disabilities are encouraged to apply as
Principal Investigators.

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.


This program announcement will use the small grant (R03) award mechanism.  The
small grant is designed to support research of scientists who are in the early
stage of establishing an independent research career (no higher than assistant
professor).  Thus, the R03 may be used by junior faculty planning to make
future application for a career development award (K01) or independent
research award (R01).  This award is not intended to supplement ongoing or
other proposed research; nor is it intended to be a mechanism for providing
institutional support.  Fundamental/basic research will not be supported
unless the project will make an original contribution for applied technical
knowledge in the identification, evaluation, or control of occupational safety
and health hazards (e.g., development of a diagnostic technique for early
detection of an occupational disease).

This non-renewable award provides support for project periods of up to two
years to carry out exploratory or pilot studies, to develop or test new
techniques or methods, or to analyze data previously collected.  The minimum
time commitment is 20%.  Awards will not exceed two modules ($50,000)  per
year in direct costs.  Direct costs may include salary support (plus fringe
benefits), technical assistance, equipment, supplies, consultant costs,
domestic travel, publications, and other costs.  The facilities and
administrative costs will be based upon the negotiated facilities and
administrative cost rate of the applicant organization.  An individual may not
receive more than one R03 award. 


In today's society, Americans are working more hours than ever before.  The
workplace environment profoundly affects health; each of us, simply by going 
to work each day, may face hazards that threaten our health and safety. 
Risking one's life or health should never be considered merely part of the
job.  In 1970, Congress passed the Occupational Safety and Health Act to
ensure Americans the right to "safe and healthful working conditions," yet
workplace hazards continue to inflict a tremendous toll in both human and
economic costs.  Each day, an average of 9,000 U.S. workers sustain disabling
injuries on the job, 17 workers die from an injury sustained at work, and 137
workers die from work-related diseases.  The economic burden of this
continuing toll is high.  Data from a NIOSH-funded study reveal $171 billion
annually in direct and indirect costs of occupational injuries and illnesses
($145 billion for injuries and $26 billion for diseases).  These costs compare
to $33 billion for AIDS, $67.3 billion for Alzheimer's Disease, $164.3 billion
for circulatory diseases, and $170.7 billion for cancer.  These occupational
injuries and diseases create needless human suffering, a tremendous burden
upon health care resources, and an enormous drain on U.S. productivity.

In 1996, the National Institute for Occupational Safety & Health (NIOSH) and
its partners in the public and private sectors developed the National
Occupational Research Agenda (NORA) to provide a framework to guide
occupational safety and health research into the next decade, not only for
NIOSH, but also for the entire occupational safety and health community.
Approximately 500 organizations and individuals outside NIOSH provided input
into the development of the National Occupational Research Agenda (NORA). 
This attempt to guide and coordinate research nationally is responsive to a
broadly perceived need to address systematically those topics that are most
pressing and most likely to yield gains to the worker and the nation.  Fiscal
constraints on occupational safety and health research are increasing, making
even more compelling the need for a coordinated and focused research agenda. 
Potential applicants may obtain a copy of the "National Occupational Research
Agenda" (HHS, CDC, NIOSH Publication No.96-115) from the National Institute
for Occupational Safety and Health, telephone (800) 356-4674.  It is also
available on the internet at "".

The agenda identifies 21 research priorities and reflects an attempt to
consider both current and emerging needs.  The priority areas are not ranked;
each is considered to be of equal importance.  The NORA priority research
areas are grouped into three categories: Disease and Injury, Work Environment
and Workforce, and Research Tools and Approaches.

Applicants should provide a statement about which NORA area is being addressed
and a rationale for how the proposal is intended to contribute to the
scientific knowledge base of the specified priority area (place this
information in the "Background and Significance" section of the "Research
Plan" of the application).  Applicants are encouraged to contact individuals
listed under INQUIRIES if they wish to discuss the relevance of their research

NORA Priority Research Areas are:

Disease and Injury

1.  Allergic and Irritant Dermatitis
2.  Asthma and Chronic Obstructive Pulmonary Disease
3.  Fertility and Pregnancy Abnormalities
4.  Hearing Loss
5.  Infectious Diseases
6.  Low Back Disorders
7.  Musculoskeletal Disorders of the Upper Extremities
8.  Traumatic Injuries

Work Environment and Workforce

9.  Emerging Technologies
10. Indoor Environment
11. Mixed Exposures
12. Organization of Work
13. Special Populations at Risk

Research Tools and Approaches

14. Cancer Research Methods
15. Control Technology and Personal Protective Equipment
16. Exposure Assessment Methods
17. Health Services Research
18. Intervention Effectiveness Research
19. Risk Assessment Methods
20. Social and Economic Consequences of Workplace Illness and Injury
21. Surveillance Research Methods

Potential applicants with questions concerning the acceptability of their
proposed work are strongly encouraged to seek programmatic technical
assistance from the contact listed in this announcement under the section


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 of  Human Research Protections (OHRP) negotiates assurances for all
activities involving human subjects that are supported by the Department of
Health and Human Services (Additional information is available at

All investigators proposing research involving human subjects should read the
UPDATED NIH Guidelines For Inclusion of Women and Minorities as Subjects in
Clinical Research, published in the NIH Guide for Grants and Contracts on
August 2, 2000 
a complete copy of the updated Guidelines are available at


If the proposed project involves research on animal subjects, compliance with
the "PHS Policy on Humane Care and Use of Laboratory Animals by Awardee
Institutions" is required.  An applicant (as well as each subcontractor or
cooperating institution that has immediate responsibility for animal subjects)
proposing to use vertebrate animals in CDC-supported activities must file (or
have on file) the Animal Welfare Assurance with the Office of Laboratory
Animal Welfare (OLAW) at the National Institutes of Health. The applicant must
provide in the application the assurance of compliance number and evidence of
review and approval (including the date of the most recent approval) by the
Institutional Care and Use Committee (IACUC).


It is the policy of the CDC to ensure that individuals of both sexes and the
various racial and ethnic groups will be included in 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.


All applications and proposals must be self-contained within specified page
limitations.  Unless otherwise specified, 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.  Reviewers are cautioned that
their anonymity may be comprised when they directly access an Internet site.


Applications are to be submitted on the grant application form PHS 398 (rev.
4/98) and will be accepted at the following receipt dates: March 1, July 1,
and November 1.  These forms are available at most institutional offices of
sponsored research and from the Division of Extramural Outreach and
Information Resources, National Institutes of Health, 6701 Rockledge Drive,
MSC 7910, Bethesda, MD 20892-7910, telephone 301/710-0267, email:  Application kits are also available at:

Specific R03 Instructions

The specific R03 guidelines listed below (e.g. page limitations, number of
copies, application dates) supersede the PHS 398 instructions.

On the application Face Page item 2, check the "YES" box, indicating the
application is in response to a Program Announcement, and type "PA-01-021" for
the "Number" and "NIOSH Small Grant Program" for the "Title."

The research plan should not exceed 15 pages.  Information regarding specific
aims, background and significance, preliminary studies/progress report,
research design and methods are all included in this 15-page limit.  If human
subjects are included in the proposed research, applicants must address the
recruitment and inclusion of women and minorities, as it impacts the study
design, within the 15-page research plan.

Tables, figures and photographs are also included in the 15-page limit.

Detailed descriptions of protocols for the proposed involvement of human
subjects and/or vertebrate animals, literature cited, consortium/contractual
arrangements, and consultant letters, are not included in the 15-page limit.

Up to three publications, submitted manuscripts, or abstracts may be included
in the Appendix material.  Letters of support may also be included in the

For revised/amended applications, an introduction (not to exceed one and one-
half pages) in addition to the research plan is required.  This introduction
should respond to comments and concerns of the Initial Review Group delineated
in the summary statement.

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. The research grant application form PHS 398 (rev. 4/98) is to be used
in applying for these grants, with the modifications noted below. 

Modular Grant applications will request direct costs in $25,000 modules, up to
a total direct cost request of $50,000 per year.  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 $50,000) and Total Costs  [Modular Total
Direct plus Facilities and Administrative (F&A) costs] for the initial budget
period.  Items 8a and 8b should be completed indicating the Direct and Total
Costs for the entire proposed period of support. 

of the PHS 398.  It is not required and will not be accepted with 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 for sample pages.)
At the top of the page, enter the total direct costs requested for each year. 
Provide an additional narrative budget justification for any variation in the
number of modules requested.

o  Under Personnel, List all 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 all 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.

o  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:

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

o  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.

o  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.

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.  Furthermore, if the proposed research involves
human subjects, it should be stated if such organizations or persons are to be
engaged in the research with the applicant organization and how they will be
obtaining IRB approvals prior to their participation in the research (but not
prior to review of the proposed research).

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

6701 ROCKLEDGE DRIVE, ROOM 1040 - MSC 7710
BETHESDA, MD 20892-7710
BETHESDA, MD 20817 (for express/courier service)


Upon receipt, applications will be reviewed for completeness by CSR and
responsiveness by NIOSH.  Incomplete and/or non-responsive applications will
be returned to the applicant without further consideration.  Those
applications that are complete and responsive, will undergo a scientific merit
review by an appropriate scientific review group convened in accordance with
the standard NIH peer review procedures.  As part of the scientific merit
review, all applications will receive a written critique and undergo a process
in which only those applications deemed to have the highest scientific merit,
generally the top half of applications under review, will be discussed and
assigned a priority score.  Following the scientific merit review,
applications will then be reviewed by NIOSH according to the programmatic
review criteria below.

Scientific Review Criteria

In the written comments reviewers will be asked to discuss the following
aspects of the application in order to judge the likelihood that the proposed
research will have a substantial impact on the pursuit of these goals.  Each
of these criteria will be addressed and considered in assigning the overall
score, weighting them as appropriate for each application.  Note that the
application does not need to be strong in all categories to be judged likely
to have major scientific impact and thus deserve a high priority score.  For
example, an investigator may propose to carry out important work that by its
nature is not innovative but is essential to move a field forward. 

1.  Significance: Does this study address an important problem? 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?  What is the potential of this study to result in a full research

2.  Approach: Are the conceptual framework, design, 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?

3.  Innovation: Does the project employ novel concepts, approaches or method?
Are the aims original and innovative? Does the project challenge existing
paradigms or develop new methodologies or technologies?  

4.  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)?  Since
applicants do not have extensive experience with the grants process,  there is
leniency in assigning priority scores.

5.  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 evidence of institutional support? 

In addition to the above criteria, in accordance with HHS policy, all
applications will also be reviewed with respect to the following: 

o The adequacy of plans to include both genders, minorities and their
subgroups, and children as appropriate for the scientific goals of the
research. Plans for the recruitment and retention of subjects will also be

o The reasonableness of the proposed budget and duration in relation to the
proposed research.

o The adequacy of the proposed protection for humans, animals or the
environment, to the extent they may be adversely affected by the project
proposed in the application.

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. 


Applications will compete for available funds with all other applications. 
Funding decisions will be based on quality of the proposed project as
determined by the scientific review, importance based on the programmatic
review, and balance of awards among program research objectives.


Inquiries are encouraged.  The opportunity to clarify any issues or questions
from potential applicants is welcome.

Direct inquiries regarding programmatic issues to:

Roy M. Fleming, Sc.D.
Research Grants Program
National Institute for Occupational Safety and Health
1600 Clifton Road, N.E.
Building 1, Room 3053, MS D-30
Atlanta, GA  30333
Telephone:  (404) 639-3343
FAX:  (404) 639-4616

Direct inquiries regarding grants management matters to:

Joanne Wojcik
Procurement and Grants Office
Centers for Disease Control and Prevention
2920 Brandywine Road, MS-E13, Suite 3000
Atlanta, GA  30341-4146
Telephone:  (770) 488-2717


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.  Executive Order 12372 is not applicable for this program announcement.


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 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 instruct participants on how to lobby. 

In addition no part of 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.


The CDC strongly encourages all grant and contract recipients to provide a
smoke-free workplace and promote the non-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.


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.

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