Release Date:  February 23, 2000

RFA:  OH-00-002

National Institute for Occupational Safety and Health
Letter of Intent Date:     March 23, 2000
Application Receipt Date:  April 26, 2000



The Centers for Disease Control and Prevention (CDC) announces the 
availability of fiscal year (FY) 2000 funds for grant applications 
to accomplish research in the National Occupational Research 
Agenda (NORA) Priority area of intervention effectiveness.  
Information about NORA is available through the NIOSH Home Page;  The purpose of this 
initiative is to stimulate research on the effectiveness of 
intervention techniques that have been implemented or proposed for 
reducing or preventing workplace injuries and illnesses.  While 
many workplace interventions have been implemented, there has been 
little research on the effectiveness of these activities.  Before 
work place intervention strategies can be universally applied, 
there is a critical need for information on the effectiveness of 
the many strategies and approaches currently used or planned.  The 
results of these investigations will contribute significantly to 
improving worker health and safety by identifying intervention 
strategies that are effective.  Because the issue of intervention 
effectiveness is of importance to many membership groups (unions, 
professional associations, etc), industries, and state health 
departments,  collaborative research projects between these 
organizations and academic researchers are particularly 


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


Applications may be submitted by domestic and foreign, public and 
private nonprofit and for-profit organizations and by governments 
and their agencies; that is, universities, colleges, research 
institutions, hospitals, other public and private nonprofit and 
for-profit organizations, State and local governments or their 
bona fide agents, and federally recognized Indian tribal 
governments, Indian tribes, or Indian tribal organizations.


Approximately $1,200,000 is available in fiscal year (FY) 2000 to 
fund 5-7 research project grants under this RFA.  Approximately 
$500,000 of this amount is planned for mine safety and health 
research, and $200,000 is planned for research on violence against 
women in health care.  Approximately $500,000 is for the other 
areas identified in this RFA.  Awards are anticipated to range 
from $150,000 to $250,000 in total costs (direct and facilities 
and administrative) per year.  A higher budget may be requested, 
but only if the applicant first corresponds with program staff 
(see contact in the INQUIRIES section) and receives written 
approval prior to the submission deadline.  Applicants should 
include in their budgets funds for one trip per year for an annual 
meeting of grantees to be held in Atlanta, Georgia.
Awards will be made for a 12-month budget period within a project 
period not to exceed 3 years.  Continuation awards within the 
project period will be made on the basis of satisfactory progress 
and availability of funds in future years. 
Awards are expected to begin in August 2000.  Only applications 
that are found to be of high scientific merit will be considered 
for funding, and not all of the funds will be spent if there are 
not enough highly meritorious applications. 

The mechanism of support will be the individual research project 
grant (R01).  The total requested project period for an 
application submitted in response to this RFA may not exceed three 
years.  However, specific application instructions have been 
modified to reflect "MODULAR GRANT" and "JUST-IN-TIME" 
streamlining efforts.  The modular grant concept establishes 
specific modules in which direct costs may be requested as well as 
a maximum level for requested budgets. Only limited budgetary 
information is required under this approach. The just-in-time 
concept allows applicants to submit certain information only when 
there is a possibility for an award.  It is anticipated that these 
changes will reduce the administrative burden for the applicants, 
reviewers and Institute staff. Complete and detailed instructions 
and information on Modular Grants can be found at

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

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

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

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

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

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



Many workplace prevention and intervention programs have been 
developed and implemented, yet few have undergone systematic 
evaluation to determine their impact on health and safety 
outcomes.  Evaluations of the effectiveness of intervention 
efforts can provide crucial guidance and corrective feedback for 
current and future occupational safety and health intervention 
efforts.  Evaluation research, whether descriptive or 
experimental, can provide a firm base of evidence for what works, 
what does not, and why, and assure better use of limited resources 
in the implementation of preventive and control strategies.

Research Goals

Research applications are sought that focus on the systematic 
evaluation of the effectiveness of interventions that address any 
of the following disease or injury areas:
o  Allergic and Irritant Dermatitis
o  Asthma and Chronic Obstructive Pulmonary Disease
o  Fertility and Pregnancy Abnormalities
o  Hearing Loss
o  Infectious Diseases
o  Low Back Disorders
o  Musculoskeletal Disorders of the Upper Extremities
o  Traumatic Injuries

Within the overall research goals for intervention effectiveness 
in this RFA, two areas with targeted funds (see FUNDS AVAILABLE) 

1.  Mine safety and health

Examples of intervention research needs in mine safety and health 
include the following (which may involve evaluation of new 
training methods, such as virtual reality):

o  Recurring areas of high fatalities: powered haulage (in
   underground and surface mines, for all sectors of the mining
   industry), working in and around machinery (likewise, in
   underground and surface mines, for all sectors of the
   industry), and underground mine ground control (all sectors)
o  Recurring areas of high injury incidence: handling materials,
   slips/falls, and musculoskeletal disorders (especially among
   aging miners)
o  Recurring areas of unacceptable disease prevalence: silicosis
   among coal mine drill operators, and coal workers'
   pneumoconiosis (needing especially some breakthrough technology
   for controlling dust on longwall panels)

2.  Violence against women in health care

Examples of intervention research needs related to violence 
against women in health care include evaluation of programs 
designed to reduce violence against:

o  Nurses and nursing aides in hospitals (including private and
   public general care, psychiatric, and forensic hospitals) and
   nursing homes
o  Home health care workers
o  Workers in community mental health clinics

Violence prevention programs to be evaluated could include some or 
all of the following elements:

o  Worksite analysis to identify existing hazards and potential
o  Engineering controls such as alarm systems, metal detectors, or
   video monitoring systems
o  Administrative and work practice controls
o  Medical management and counseling
o  Recordkeeping and evaluation
o  Training and education

Regardless of the occupational situation addressed in an 
application, of interest are fully-developed interventions which 
are ready for implementation as well as evaluations of the 
effectiveness of interventions which have already been 
implemented.  Applications for comparative analyses of the 
effectiveness of alternate options (e.g., cost effectiveness) are 
also solicited.  The interventions to be evaluated could be 
defined at any level of complexity, and range from a regulatory or 
voluntary occupational safety or health standard to the change of 
a single, specific work process, control technology, training 
program, or informational campaign.  Evaluations may address (1) 
the practicality and usability of specific control strategies, 
technologies and/or personal protective equipment in the 
elimination or reduction of hazards; (2) the identification of 
critical factors for implementing and conducting effective 
occupational safety and health programs; (3) the components of 
effective occupational safety and health programs, including 
worker participation programs, training or other organizational 
and administrative aspects, as well as engineering solutions; and 
(4) identification and elimination of barriers to the 
implementation of interventions, such as a lack of acceptance due 
to practicality, perception that cost is prohibitive, etc.

Interdisciplinary applications are encouraged which include, as 
appropriate, the fullest complement possible of  outcome measures. 
 These measures could include health and safety outcomes (e.g., 
reductions in injury, disability, stress, or hazard exposure); 
economic outcomes (e.g, the effect of the intervention on 
productivity, employee turnover, income, medical, and or societal 
costs); and/or social outcomes (e.g., social roles and 
relationships at work and in the family and other aspects of the 
work-family interface).  These examples of potential health, 
economic, and social outcome measures, are provided only to 
illustrate a range of outcomes of interest, rather than an 
exclusive listing.

Useful References 

National Institute for Occupational Safety and Health. National 
Occupational Research Agenda. Cincinnati, OH: U.S. Department of 
Health and Human Services, Public Health Service, Centers for 
Disease Control and Prevention, National Institute for 
Occupational Safety and Health, DHHS (NIOSH) Publication No.96-115 

National Institute for Occupational Safety and Health.  A Model 
for Research on Training Effectiveness.  Cincinnati, OH: U.S. 
Department of Health and Human Services, Public Health Service, 
Centers for Disease Control and Prevention, National Institute for 
Occupational Safety and Health, DHHS (NIOSH) Publication No.96-142 


Access to work sites and/or worker groups 

Since  the proposed studies are expected to be conducted in actual 
work places, the applicant organizations should provide written 
documentation of collaborative relationships with participating 
companies/membership groups concerning access to work locations 
and/or worker records.  Applications that do not have documented 
evidence of these arrangements may be returned without review. 

Human Subjects

If a project involves research on human subjects, assurance (in 
accordance with Department of Health and Human Services 
Regulations, 45 CFR Part 46) of the protection of human subjects 
is required.  In addition to other applicable committees, Indian 
Health Service (IHS) institutional review committees also must 
review the project if any component of IHS will be involved with 
or will support the research.  If any American Indian community is 
involved, its tribal government must also approve that portion of 
the project applicable to it.  Unless the grantee holds a Multiple 
Project Assurance, a Single Project Assurance is required, as well 
as an assurance for each subcontractor or cooperating institution 
that has immediate responsibility for human subjects.  The Office 
for Protection from Research Risks (OPRR) at the National 
Institutes of Health (NIH) negotiates assurances for all 
activities involving human subjects that are supported by the 
Department of Health and Human Services.

Animal Subjects Requirements

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 for the Protection from Research Risks (OPRR) 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 Centers for Disease Control and Prevention 
(CDC) to ensure that individuals of both sexes and the various 
racial and ethnic groups will be included in CDC-supported 
research projects involving human subjects, whenever feasible and 
appropriate. Racial and ethnic groups are those defined in OMB 
Directive No. 15 and include American Indian or Alaska Native, 
Asian, Black or African American, Hispanic or Latino, Native 
Hawaiian or Other Pacific Islander.  Applicants shall ensure that 
women, racial and ethnic minority populations are appropriately 
represented in applications for research involving human subjects. 
 Where clear and compelling rationale exist that inclusion is 
inappropriate or not feasible, this situation must be explained as 
part of the application.  This policy does not apply to research 
studies when the investigator cannot control the race, ethnicity, 
and/or sex of subjects.  Further guidance to this policy is 
contained in the Federal Register, Vol. 60, No. 179, pages 
47947-47951, and dated Friday, September 15, 1995. 

This policy was published in the NIH Guide for Grants and 
Contracts, March 18, 1994, and is available at:


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

All investigators proposing research involving human subjects 
should read the "NIH Policy and Guidelines on the Inclusion of 
Children as Participants in Research Involving Human Subjects" 
that was published in the NIH Guide for Grants and Contracts, 
March 6, 1998, and is available at the following URL address:


Prospective applicants are asked to submit, by March 23, 2000, a 
letter of intent that includes the number and title of the RFA, a 
descriptive title of the proposed research, the name, address, and 
telephone number of the Principal Investigator, and the identities 
of other key personnel and participating institutions.  Although a 
letter of intent is not required, is not binding, and it not used 
in the review of an application, the information that it contains 
is used to estimate the potential review workload and avoid 
conflict of interest in the review.

The letter of intent is to be submitted to: 

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


Applicants must use Form PHS 398 (rev. 4/98).  Application kits 
are available at most institutional offices of sponsored research 
and may be obtained from the Division of Extramural Outreach and 
Information Resources, National Institutes of Health, 6701 
Rockledge Drive, MSC 7910, Bethesda, MD 20892-7910, telephone 
301/710-0267,  Email:  Application kits are 
also available at:


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

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

Form Page 4 of the PHS 398. It is not required and will not be 
accepted with the application.

complete the categorical budget table on Form Page 5 of the PHS 
398. It is not required and will not be accepted with the 

Narrative page. 
(See for 
sample pages.) At the top of the page, enter the total direct 
costs requested for each year.

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

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

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

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 honora;
- Provide information, including overall goals and 
responsibilities, on research projects ongoing or completed during 
the last three years.
- List selected peer-reviewed publications, with 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 

Applicants not conforming to these guidelines will be considered 
unresponsive to this RFA and will be returned without further 

The RFA label found in the PHS 398 (rev. 4/98) application form 
must be affixed to the bottom of the face page of the application 
and must display the number of this RFA (OH-00-02).  A sample RFA 
label is available at:
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 (Intervention 
Effectiveness Research in Occupational Safety and Health) and 
number (OH-00-02)must be typed on line 2 of the face page of the 
application form and the YES box must be marked.

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

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

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

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

Applications must be received by April 26, 2000.  If an 
application is received after that date, it will be returned to 
the applicant without review.  The Center for Scientific Review 
(CSR) will not accept any application in response to this RFA that 
is essentially the same as one currently pending initial review, 
unless the applicant withdraws the pending application.  The CSR 
will not accept any application that is essentially the same as 
one already reviewed.  This does not preclude the submission of 
substantial revisions of applications already reviewed, but such 
applications must include an introduction addressing the previous 


Upon receipt, applications will be reviewed for completeness by 
CSR and responsiveness by NIOSH (applicants should clearly 
indicate in the project Description, on page 2 of application, 
which priority area of this RFA is being addressed by their 
proposal).  Applications determined to be incomplete or 
unresponsive to this RFA will be returned to the applicant without 
further consideration, including applications that do not provide 
written documentation of collaboration with the work sites where 
the research will be conducted.

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

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

Scientific Review Criteria

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

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

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

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

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

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

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

Programmatic Review Criteria:

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


Final funding decisions are based on the recommendations of the 
scientific and programmatic reviews, balance of awards across the 
areas of research goals of this RFA, and availability of funds.  
In addition, special consideration for funding will be given to 
applications that are collaborations between academic 
investigators and industry, membership groups or state health 


Inquiries concerning this RFA are encouraged.  The opportunity to 
clarify any issues or questions from potential applicants is 
welcome.  This RFA and other CDC Announcements can be found on the 
CDC HomePage ( under the "Funding" section (see 
AGrants and Cooperative Agreements scroll down to AOccupational 
Safety and Health).  This RFA can also be found on the NIOSH 
HomePage ( under "Extramural Programs, ACurrent 
Funding Opportunities.

Direct inquiries regarding programmatic issues to:

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

Direct inquiries regarding grants management matters to:

Joanne Wojcik
Grants Management Branch
Procurement and Grants Office
CDC Announcement 00035
Centers for Disease Control and Prevention
2920 Brandywine Road, Suite 3000
Atlanta, GA 30341-4146
Telephone: 770/488-2717
FAX: 770/488-2777


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 
to 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 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 
Safety and Health Act of 1970, Section 20(a) [29 U.S.C. 669(a)].  
The applicable program regulation is 42 CFR Part 52.   


CDC strongly encourages all grant recipients to provide a 
smoke-free workplace and promote the non-use of all tobacco 
products, and Public Law 103- 227, the Pro-Children Act of 1994, 
prohibits smoking in certain facilities that receive Federal funds 
in which education, library, day care, health care, and early 
childhood development services are provided to children.

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