NIH GUIDE, Volume 22, Number 23, June 25, 1993

PA NUMBER:  PA-93-097

P.T. 34


  Occupational Health and Safety 


National Institute for Occupational Safety and Health


The Centers for Disease Control and Prevention (CDC), National

Institute for Occupational Safety and Health (NIOSH), is soliciting

grant applications for research and demonstration projects relating

to occupational safety and health.

The purpose of this grant program is to develop knowledge that can be

used in preventing occupational diseases and injuries.  NIOSH will

support the following types of applied research projects: causal

research to identify and investigate the relationships between

hazardous working conditions and associated occupational diseases and

injuries; methods research to develop more sensitive means of

evaluating hazards at work sites, as well as methods for measuring

early markers of adverse health effects and injuries; control

research to develop new protective equipment, engineering control

technology, and work practices to reduce the risks of occupational

hazards; and demonstrations to evaluate the technical feasibility or

application of a new or improved occupational safety and health

procedure, method, technique, or system.


The Public Health Service (PHS) is committed to achieving the health

promotion and disease prevention objectives of "Healthy People 2000,"

a PHS-led national activity for setting priority areas.  This program

announcement, Research and Demonstration Grants Relating to

Occupational Safety and Health, is related to the priority area

occupational safety and health.  Potential applicants may obtain a

copy of "Healthy People 2000" (Full Report:  Stock No.

017-001-00474-0) or "Health People 2000" (Summary Report:  Stock No.

017-001-00473-1) through the Superintendent of Documents, Government

Printing Office, Washington, DC 20402-9325 (telephone 202-783-3238).


Eligible applicants include domestic and foreign non-profit and

for-profit organizations, universities, colleges, research

institutions, and other public and private organizations, including

State and local governments and small, minority and/or woman-owned



The types of grants NIOSH supports are described below.  Applications

responding to this announcement will be reviewed by staff for their

responsiveness to the following program requirements.  Grants are

funded for 12-month budget periods in project periods up to five

years for research project grants and demonstration project grants;

three years for SERCA grants; and up to two years for small grants.

Continuation awards within the project period are made on the basis

of satisfactory progress and on the availability of funds.

Research Project Grants (R01)

A research project grant application should be designed to establish,

discover, develop, elucidate, or confirm information relating to

occupational safety and health, including innovative methods,

techniques, and approaches for dealing with occupational safety and

health problems.  These studies may generate information that is

readily available to solve problems or contribute to a better

understanding of underlying causes of diseases and injuries.

Demonstration Project Grants (R18)

A demonstration project grant application should address, either on a

pilot or full-scale basis, the technical or economic feasibility of

implementing a new/improved innovative procedure, method, technique,

or system for preventing occupational safety or health problems.  The

project should be conducted in an actual workplace where a baseline

measure of the occupational problem will be defined, the new/improved

approach will be implemented, a follow-up measure of the problem will

be documented, and an evaluation of the benefits will be conducted.

Special Emphasis Research Career Award (SERCA) Grants (K01)

The SERCA grant is intended to provide opportunities for individuals

to acquire experience and skills essential to the study of

work-related hazards, and in so doing create a pool of highly

qualified investigators who can make future contributions to research

in the area of occupational safety and health.  SERCA grants are not

intended either for individuals without research experience or for

productive, independent investigators with a significant number of

publications and of senior academic rank.  Moreover, the award is not

intended to substitute one source of salary support for another for

an individual who is already conducting full-time research; nor is it

intended to be a mechanism for providing institutional support.

Candidates must:  (1) hold a doctoral degree; (2) have research

experience at or above the doctoral level; (3) not be above the rank

of associate professor; (4) be employed at a domestic institution;

and (5) be citizens or non-citizen nationals of the U.S. or its

possessions or territories or must have been lawfully admitted to the

U.S. for permanent residence at the time of application.

This non-renewable award provides support for a three-year period for

individuals engaged in full-time research and related activities.

Awards will not exceed $50,000 per year in direct costs for salary

support (plus fringe benefits), technical assistance, equipment,

supplies, consultant costs, domestic travel, publications, and other

costs.  The indirect cost rate applied is limited to eight percent of

the direct costs, excluding tuition and related fees and equipment

expenses, or to the actual indirect cost rate, whichever results in

the lesser amount.

A minimum of 60 percent time must be committed to the proposed

research project, although full-time is desirable.  Other work in the

area of occupational safety and health will enhance the candidate's

qualifications but is not a substitute for this requirement.  Related

activities may include research career development activities as well

as involvement in patient care to the extent that it will strengthen

research skills.  Fundamental/basic research will not be supported

unless the project will make an original contribution for applied

technical knowledge in the identification, evaluation, and/or control

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

diagnostic technique for early detection of an occupational disease).

Research project proposals must be of the applicants' own design and

of such scope that independent investigative capability will be

evident within three years.  At the completion of this three-year

award, it is intended that awardees should be better able to compete

for individual research project grants awarded by NIOSH.

SERCA grant applications should be identified as such on the

application form.  Section 2 of the application (the Research Plan)

should include a statement regarding the applicant's career plans and

how the proposed research will contribute to a career in occupational

safety and health research.  This section should also include a

letter of recommendation from the proposed advisor(s).

Small Grants (R03)

The small grant program is intended to stimulate applications from

individuals who are considering a research career in occupational

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

percent.  It is expected that a recipient would subsequently compete

for a career development grant (K01) or for a traditional research

project grant (R01) related to occupational safety and health.  The

award is not intended to supplement ongoing or other proposed

research; nor is it intended to be a mechanism for providing

institutional support.

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

U.S. nationals who are predoctoral students, post-doctoral

researchers (within three years following completion of doctoral

degree or completion of residency or public health training), or

junior faculty members (no higher than assistant professor).  If

university policy requires that a more senior person be listed as

Principal Investigator, it should be clear in the application which

person is the small grant investigator.  Except for applicants who

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

assist with the project.  A biographical sketch is required for the

small grant investigator, as well as for the supervisor and other key

consultants, as appropriate.

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

to two years to carry out exploratory or pilot studies, to develop or

test new techniques or methods, or to analyze data previously

collected.  Awards will not exceed $25,000 per year in direct costs

for salary support (plus fringe benefits), technical assistance,

equipment, supplies, consultant costs, domestic travel, publications,

and other costs.  The indirect costs will be based upon the

negotiated indirect cost rate of the applicant organization.  An

individual may not receive more than two small grant awards, and

then, only if the awards are at different stages of development

(e.g., doctoral student, post-doctoral researcher, or junior faculty


Applicants to this program must type "NIOSH Small Grant Program" in

item 2a on the face page of the PHS 398 application form or at the

top of the face page of the PHS 5161 form.


The NIOSH is mandated to develop recommendations for protecting

workers of the United States against diseases and injuries related to

risks on the job.  In 1983, NIOSH published a suggested list of ten

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

to improve the health of the American people through prevention

activities.  These are listed as the first ten entries under NIOSH

Program Priorities.  To provide guidance on priorities for action,

NIOSH sponsored the development of "Proposed National Strategies for

the Prevention of Leading Work-Related Diseases and Injuries."

Working groups composed of NIOSH scientists drafted proposed national

strategies for these ten areas of concern.  These strategies were

refined in a process involving two national meetings of health and

safety professionals representing academia, management, organized

labor, professional associations, and voluntary organizations.

Implementation of the Prevention Strategies requires commitment from

a broad array of organizations and scientific and professional

disciplines.  The extramural research program is an important means

of facilitating progress in these preventive efforts.


The NIOSH program priorities, listed below, are applicable to all of

the above types of grants listed under MECHANISMS OF SUPPORT.  These

priority areas represent the leading diseases and injuries related to

risks on the job, and NIOSH intends to support projects that

facilitate progress in preventing such adverse effects among workers.

The conditions or examples listed under each category are selected

examples, not comprehensive definitions of the category.

Investigators may also apply in other areas related to occupational

safety and health, but the rationale for the significance of the

research to the field of occupational safety and health must be


Potential applicants are strongly encouraged to discuss the

acceptability of their proposed work with Dr. Roy M. Fleming, at the

address listed under INQUIRIES.

The NIOSH Program Priorities are:

o  Occupational lung disease:  asbestosis, byssinosis, silicosis,

coal workers' pneumoconiosis, lung cancer, occupational asthma

o  Musculoskeletal injuries:  disorders of the back, trunk, upper

extremity, neck, lower extremity:  traumatically induced Raynaud's


o  Occupational cancers (other than lung):  leukemia, mesothelioma,

cancers of the bladder, nose and liver

o  Severe occupational traumatic injuries:  amputations, fractures,

eye loss, and lacerations

o  Cardiovascular diseases:  hypertension, coronary artery disease,

acute myocardial infraction

o  Disorders of reproduction:  infertility, spontaneous abortion,


o  Neurotoxic disorders:  peripheral neuropathy, toxic encephalitis,

neuroses, extreme personality changes (exposure-related)

o  Noise-induced loss of hearing

o  Dermatologic conditions:  dermatoses, burns (scalding), chemical

burns, contusions (abrasions)

o  Psychological disorders: affective disturbances such as anxiety,

depression and job dissatisfaction; mal-adaptive behavior and

lifestyle patterns; aggression; stress and post traumatic stress

disorders; substance abuse

o  Control Techniques:  new technology performance evaluation,

preconstruction review, equipment redesign, containment of hazards at

the source, fundamental dust generation mechanisms, machine

guarding/avoidance methods, explosion control, removal of emissions

after generation, dispersion models, monitoring and warning

techniques, technology transfer

o  Respirator research:  new and innovative respiratory protective

devices, techniques to predict performance, effectiveness of

respirator programs, physiologic and ergonomic factors, medical

surveillance strategies, psychological and motivational aspects,

effectiveness of sorbents and filters, including chemical and

physical properties





NIH policy is that applicants for NIH clinical research grants and

cooperative agreements will be required to include minorities and

women in study populations so that research findings can be of

benefit to all persons at risk of the disease, disorder or condition

under study; special emphasis should be placed on the need for

inclusion of minorities and women in studies of diseases, disorders

and conditions which disproportionately affect them.  This policy is

intended to apply to males and females of all ages. If women or

minorities are excluded or inadequately represented in clinical

research, particularly in proposed population-based studies, a clear

compelling rationale should be provided.

The composition of the proposed study population must be described in

terms of gender and racial/ethnic group.  In addition, gender and

racial/ethnic issues should be addressed in developing a research

design and sample size appropriate for the scientific objectives of

the study.  This information should be included in the form PHS 398

in Sections 1-4 of the Research Plan AND summarized in Section 5,

Human Subjects.

Applicants are urged to assess carefully the feasibility of including

the broadest possible representation of minority groups. However, NIH

recognizes that it may not be feasible or appropriate in all research

projects to include representation of the full array of United States

racial/ethnic minority populations (i.e., Native Americans (including

American Indians or Alaskan Natives), Asian/Pacific Islanders,

Blacks, Hispanics).

The rationale for studies on single minority population groups should

be provided.

For the purpose of this policy, clinical research includes human

biomedical and behavioral studies of etiology, epidemiology,

prevention (and preventive strategies), diagnosis, or treatment of

diseases, disorders or conditions, including but not limited to

clinical trials.

The usual NIH policies concerning research on human subjects also

apply.  Basic research or clinical studies in which human tissues

cannot be identified or linked to individuals are excluded.  However,

every effort should be made to include human tissues from women and

racial/ethnic minorities when it is important to apply the results of

the study broadly, and this should be addressed by applicants.

For foreign awards, the policy on inclusion of women applies fully;

since the definition of minority differs in other countries, the

applicant must discuss the relevance of research involving foreign

population groups to the United States' populations, including


If the required information is not contained within the application,

the application will be returned.

Peer reviewers will address specifically whether the research plan in

the application conforms to these policies.  If the representation of

women or minorities in a study design is inadequate to answer the

scientific question(s) addressed AND the justification for the

selected study population is inadequate, it will be considered a

scientific weakness or deficiency in the study design and will be

reflected in assigning the priority score to the application.


Applications are to be submitted on form PHS 398 (rev. 9/91).  State

and local government applicants may use form PHS 5161-1 (rev. 7/92);

however, form PHS 398 is preferred.  Applications kits are available

at most institutional offices of sponsored research; from the Office

of Grants Inquiries, Division of Research, National Institutes of

Health, Westwood Building, Room 449, Bethesda, Maryland 20892,

telephone 301/710-0267; and from the program staff listed under


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

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

Division of Research Grants

National Institutes of Health

Westwood Building, Room 240

Bethesda, MD  20892**

The timetable for receiving applications and awarding grants is given

below.  This is a continuous announcement, consequently, these

receipt dates will be on-going until further notice.

Research and Demonstration Project Grants:

Receipt          Initial          Secondary          Earliest


Date*            Review           Review             Start Date

Feb 1            Jun/Jul          Sep                Dec 1

Jun 1            Oct/Nov          Jan                Apr 1

Oct 1            Feb/Mar          May                Aug 1

*Competing continuation deadlines are one month later.

SERCA and Small Grants

Receipt         Initial           Secondary          Earliest


Date            Review            Review             Start Date

Mar 1           Jun/Jul           Aug                Nov 1

Jul 1           Oct/Nov           Dec                Mar 1

Nov 1           Feb/Mar           Apr                Jul 1

Applications must be received by the above receipt dates.  To guard

against problems caused by carrier delays, retain a legible

proof-of-mailing receipt from the carrier, dated no later than one

week prior to the receipt date.  If the receipt date falls on a

weekend, it will be extended to Monday; if the date falls on a

holiday, it will be extended to the following work day.


Applications received under this announcement will be assigned to an

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

non-Federal scientific and technical experts, will review the

applications for scientific and technical merit.  Notification of the

review recommendations will be sent to the applicants after the

initial review.  Applications will also be reviewed for programmatic

importance by NIOSH.  Awards will be made based on results of the

initial and secondary reviews, as well as availability of funds.

The initial (peer) review is based on scientific merit and

significance of the project, competence of the proposed staff in

relation to the type of research involved, feasibility of the

project, likelihood of its producing meaningful results,

appropriateness of the proposed project period, adequacy of the

applicant's resources available for the project, and appropriateness

of the budget request.

Demonstration grant applications will be reviewed additionally on the

basis of the following criteria:

o  Degree to which project objectives are clearly established,

obtainable, and for which progress toward attainment can and will be


o  Availability, adequacy, and competence of personnel, facilities,

and other resources needed to carry out the project.

o  Degree to which the project can be expected to yield or

demonstrate results that will be useful and desirable on a national

or regional basis.

o  Documentation of cooperation from industry, unions, or other

participants in the project, where applicable.

SERCA grant applications will be reviewed additionally on the basis

of the following criteria:

o  The review process will consider the applicant's scientific

achievements, the applicant's research career plan in occupational

safety and health, and the degree to which the applicant's

institution offers a superior research environment (supportive

nature, including letter(s) of reference from advisor(s) which should

accompany the application).

Small grant applications will be reviewed additionally on the basis

of the following criteria:

o  The review process will take into consideration the fact that the

applicants do not have extensive experience with the grant process.


In the secondary review, the following factors will be considered for

applications assigned to NIOSH:

o  The results of the initial review.

o  The significance of the proposed study to the mission of NIOSH.

(1) Relevance to occupational safety and health, by contributing to

achievement of the research objectives specified in Section 20(a) of

the Occupational Safety and Health Act of 1970 and Section 501 of the

Federal Mine Safety and Health Amendments Act of 1977,

(2) Magnitude of the problem in terms of numbers of workers affected,

(3) Severity of the disease or injury in the worker population,

(4) Potential contribution to applied technical knowledge in the

identification, evaluation, and/or control of occupational safety and

health hazards,

(5) Program Balance, and

(6) Policy and budgetary considerations.


Written and telephone inquiries are encourages.  The opportunity to

clarify any issues or questions from potential applicants is welcome.

Direct inquiries regarding programmatic issues to:

Roy M. Fleming, Sc.D.

National Institute for Occupational Safety and Health

Centers for Disease Control and Prevention

1600 Clifton Road, N.E.

Building 1, Room 2053, Mail Stop D-30

Atlanta, GA  30333

Telephone:  (404) 639-3343

Direct inquiries regarding fiscal matters to:

Ms. Carole J. Tully

Grants Management Branch, PGO

Centers for Disease Control and Prevention

255 E. Paces Ferry Road, N.E.

Room 300, Mail Stop E-09

Atlanta, GA  30305

Telephone:  (404) 842-6880


This program is authorized under the Public Health Service Act, as

amended, Section 301 (42 U.S.C. 241); the Occupational Safety and

Health Act of 1970, Section 20 (a)(29 U.S.C. 669[a]); and the Federal

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

501(30 U.S.C. 951).  The applicable program regulations are in 42 CFR

Part 52.  Applications are not subject to review as governed by

Executive Order 12372, Intergovernmental Review of Federal Programs.

The Catalog of Federal Domestic Assistance number is 93.262.  This

program is not subject to the Public Health System Reporting



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