[Federal Register Volume 62, Number 11 (Thursday, January 16, 1997)]
[Notices]
[Pages 2369-2373]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-1030]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES
[Announcement 713]


National Institute for Occupational Safety and Health; Fatality 
Surveillance and Field Investigations at the State Level Using the 
NIOSH Fatality Assessment and Control Evaluation Model

Introduction

    The Centers for Disease Control and Prevention (CDC) announces the 
availability of fiscal year (FY) 1997 funds for cooperative agreements 
to

[[Page 2370]]

build State capacity for conducting traumatic occupational fatality 
surveillance, investigation, and intervention activities through the 
National Institute for Occupational Safety and Health (NIOSH) Fatality 
Assessment and Control Evaluation (FACE) Model.
    CDC is committed to achieving the health promotion and disease 
prevention objectives of Healthy People 2000, a national activity to 
reduce morbidity and mortality and improve the quality of life. This 
announcement is related to the priority areas of Occupational Safety 
and Health, and Surveillance and Data Systems. (To order a copy of 
Healthy People 2000, see the section Where To Obtain Additional 
Information.)

Authority

    This program is authorized under section 20(a) of the Occupational 
Safety and Health Act of 1970 (29 U.S.C. 669(a)) and sections 301 (42 
U.S.C. 241) and 317 (42 U.S.C. 247b) of the Public Health Service Act, 
as amended.

Smoke-Free Workplace

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

Eligible Applicants

    Eligible applicants are State Departments of Health, Departments of 
Labor, Departments of Industry, etc., located within any State or 
territory of the United States. Program activities, however, may not be 
carried out by departmental divisions that are responsible for 
enforcement of occupational safety and health standards. Awards will be 
limited to those organizations that can exercise public health 
authority for intervention into occupational safety and health 
problems. Only one application per State will be accepted under this 
announcement.

Availability of Funds

    Approximately $315,615 will be available in FY 1997 to fund three 
to four awards. It is expected that the awards will range from $60,000 
to $100,000 with an average award of $80,000. Individual awards may 
vary by State, and will be based upon the scope and nature of traumatic 
occupational fatalities documented by the respondent, and upon proposed 
personnel, administrative, and associated costs. The awards will be 
made on or about May 30, 1997, with 12-month budget periods within 
project periods of up to 5 years. Funding estimates may vary and are 
subject to change.
    Continuation awards within the project period will be determined on 
the basis of satisfactory progress and the availability of funds.

Background

    Traumatic occupational fatalities represent a public health problem 
of significant proportion. Based on data from the National Traumatic 
Occupational Fatalities (NTOF) surveillance system, nearly 6500 workers 
die each year in the U.S. from traumatic injuries sustained in the 
workplace. The four highest risk industries for fatal injury are: 
mining, construction, transportation/communication/public utilities, 
and agriculture/ forestry/fishing. Each of these industrial sectors has 
a traumatic fatality rate that is at least twice the overall civilian 
workforce rate of 7.0 deaths per 100,000 workers. The leading causes of 
death for all industries are motor vehicles, machinery, homicide, 
falls, and electrocutions. These categories account for nearly 60 
percent of the occupational fatalities each year. In order to 
adequately develop and implement intervention strategies aimed at 
reducing fatal injuries in the workplace, more specific data pertaining 
to the interaction of the worker, the work environment, and work 
processes are needed.

Purpose

    The purpose of funding these cooperative agreements is to expand 
the State-based FACE project and significantly strengthen the 
occupational public health infrastructure. This will be accomplished by 
integrating resources for occupational safety and health research and 
public health prevention programs at the State and local levels. The 
ultimate goal of the project is to reduce traumatic occupational 
fatalities within the States.
    Over the past eight years, State-level personnel have shown that 
the NIOSH FACE model for investigation of occupational fatalities can 
be successfully implemented in the States. The most immediate products 
of the State-level FACE programs have been accurate and timely 
surveillance systems for detecting traumatic occupational fatalities 
occurring within the State, fatality investigations identifying causal 
factors, and recommendations for prevention strategies. This program 
will permit awardees to efficiently integrate resources for prevention 
of occupational fatalities at the State and local level. Additionally, 
States will be encouraged to target occupational traumatic injury 
research and prevention programs based on specific State priority 
areas. FACE data will be shared with all award recipients.
    The specific objectives for this cooperative agreement are as 
follows:
    1. Develop a timely, comprehensive, multiple-source State-level 
surveillance system for identifying and recording basic epidemiologic 
data on all traumatic occupational fatalities occurring within the 
State.
    2. Conduct on-site investigations of specific traumatic 
occupational fatalities using the NIOSH FACE investigative model.
    3. Through case investigations, identify factors common to selected 
types of traumatic occupational fatalities leading to development and 
prioritization of prevention strategies.
    4. Develop and disseminate prevention recommendations to reduce the 
risk of fatal occupational injuries within the State.
    5. Develop and implement prevention strategies and projects for 
reducing State incidence of traumatic occupational injuries and 
fatalities.

Program Requirements

    In conducting activities to achieve the purpose of this program, 
the recipient will be responsible for the activities under A. 
(Recipient Activities), and CDC/NIOSH will be responsible for the 
activities under B. (CDC/NIOSH Activities):

A. Recipient Activities

    1. Develop a comprehensive multiple-source, State-level 
surveillance system for prompt identification and reporting of 
epidemiologic data on all traumatic occupational fatalities occurring 
in the State.
    2. Conduct in-depth site investigations of targeted occupational 
fatalities as determined by NIOSH. Currently, falls from elevations and 
machinery-related incidents are targeted fatality types. These are 
among the leading causes of work-place fatalities, as identified by 
national surveillance systems; however, they may change over the term 
of the agreement. Greatest emphasis must be placed on the determined 
targets; however, States may choose, in cooperation with NIOSH, to 
conduct in-depth investigations of other fatality types identified.

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    3. In specified format, develop and submit to NIOSH a narrative 
report of each in-depth fatality investigation which describes the 
fatal incident and includes recommendations for preventing future 
similar occurrences.
    4. Submit first reports of fatalities, investigative narrative 
reports, and supplementary investigative data electronically to NIOSH 
through CDC's WONDER/PC system.
    5. Evaluate surveillance data and investigative findings to 
identify specific worker populations to which prevention programs 
should be addressed. \1\
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    \1\ A Framework for Assessing the Effectiveness of Disease and 
Injury Prevention. Morbidity and Mortality Weekly Report (MMWR), 
March 27, 1992/Vol.41/Jn. The MMWR can be accessed through World-
Wide Web (http://www.cdc.gov/epo/mmwr/mmwr.html).
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    6. Identify entities such as employers, unions, and trade 
associations that can effect change in the workplace.
    7. Communicate recommended preventions to those who can affect 
change in the workplace and to those at risk through targeted 
dissemination.
    8. Prepare and submit periodic status reports of activities in 
designated format and an annual report that summarizes the activities 
and progress made by the State toward meeting the objectives for the 
State FACE program.
    9. Participate in annual NIOSH-conducted FACE project workshop/
conference in Morgantown, West Virginia, or other selected site.

B. CDC/NIOSH Activities

    1. Provide formats for data reporting forms, coding formats, 
computer software, and State personnel training for electronic 
transmission of FACE surveillance and investigative data to the NIOSH 
data base.
    2. Provide assistance to awardee staff in establishing traumatic 
occupational fatality notification networks.
    3. Provide initial training in procedures and subsequent technical 
assistance for conducting on-site fatality investigations using the 
FACE investigative methodology (including the use of FACE investigative 
data collection instruments).
    4. Provide assistance in identifying sentinel events resulting from 
industrial applications of new and emerging technologies.
    5. Provide technical assistance in the dissemination of summary 
reports and other published findings to State and local health and 
labor officials, voluntary health groups, workers, unions, employers 
and professional organizations.
    6. Provide technical assistance in identifying and evaluating 
effective intervention strategies.
    7. CDC will provide funds to purchase one IBM-compatible, Pentium-
based personal computer, printer, telecommunications equipment, and 
needed software for use on appropriate activities related to this 
cooperative agreement, if necessary.

Technical Reporting Requirements

    An original and two copies of a progress and Financial Status 
Report (FSR) are required no later than 90 days after the end of each 
budget period. A final progress report and FSR are due no later than 90 
days after the end of the project period. Monthly electronically 
transmitted CDC WONDER/PC FACE status reports are due to NIOSH no later 
than the 10th of the following month. All other reports are submitted 
to the Grants Management Branch, CDC.

Application

1. Preapplication Letter of Intent

    Although not a prerequisite of application, a non-binding letter-
of-intent to apply is requested from potential applicants. The letter 
should be submitted to the Grants Management Branch, CDC. (See 
``Application Submission and Deadline'' Section for the address.) It 
should be postmarked no later than February 15, 1997. The letter should 
identify the announcement number, name of principal investigator, and 
specify the priority area to be addressed by the proposed project. The 
letter-of-intent does not influence review or funding decisions, but it 
will enable CDC to plan the review more efficiently and will ensure 
that each applicant receives timely and relevant information prior to 
application submission.

2. Application Content

A. Abstract
    A one-page, singled-spaced, typed abstract must be submitted with 
the application. The heading should include the title of grant program, 
project title, organization, name and address, project director and 
telephone number. This abstract should be included in the APPLICATION 
CONTENT Section of the application, under INTRODUCTION. This abstract 
is not in lieu of (but in addition to) the INTRODUCTION Section.
B. Narrative
    The narrative of the application should:
    1. Document the applicant's understanding of the objectives of the 
project and the proposed agreement.
    2. Describe the scope and nature of occupational fatalities in the 
applicant's State.
    3. Describe the applicant's ability to provide qualified and 
appropriate staff and other resources necessary to implement the 
project. This may be supported by documentation of the applicant's 
experience in conducting similar research efforts, including 
surveillance activities.
    4. Describe an implementation plan and provide a proposed schedule 
for accomplishing each of the activities to be carried out in this 
project including the implementation of the surveillance, field 
investigations, dissemination, and prevention components, and a method 
for evaluating the accomplishments.
    5. Provide the names, qualifications, and time allocations of the 
principal investigator, professional staff to be assigned to this 
project; the support staff available for performance of this project; 
and the facilities, space, and equipment available for performance of 
this project.
    6. Provide a detailed description of the proposed first year 
activities, as well as a brief description of future year activities.
    7. Not exceed 20 double-spaced typewritten pages exclusive of 
budget and biographical information and addenda. Information that 
should be part of the narrative will not be accepted if placed in the 
appendices.
C. Budget
    Completed budget forms should be placed at the beginning of the 
application. The applicant should provide a detailed budget, with 
accompanying justification of all operating expenses, that is 
consistent with the stated objectives and planned activities of the 
project. CDC may not approve or fund all proposed activities. 
Applicants should be precise about the program purpose of each budget 
item, providing anticipated costs for personnel, travel (including 
travel expenses for annual NIOSH-conducted FACE project workshop/ 
conference in Morgantown, West Virginia, or other selected site), 
communications, postage, equipment (see Item 7 under CDC/NIOSH 
Activities), supplies, etc., and all sources of funds to meet those 
needs.
    For contracts described within the application budget, if known, 
applicants should name the contractor; describe the service(s) to be 
performed; provide an itemized breakdown and justification for the 
estimated costs of the contract; the kinds of organizations or parties 
to be selected; the period of performance; and the method of selection. 
Budget

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narrative pages showing, in detail, how funds in each object class will 
be spent should be placed directly behind form 424A. Do not put these 
pages in the body of the application.
    The application pages must be clearly numbered, and a complete 
index to the application and its appendices must be included. Please 
begin each section of the application on a new page. The original and 
each copy of the application set must be submitted UNSTAPLED and 
UNBOUND. All material must be typewritten (observing same type size 
throughout the application), double spaced on 8\1/2\'' by 11'' paper 
with at least 1'' margins, heading and footers, and printed on one side 
only. All graphics, maps, overlays, etc., should be in black and white 
and meet the above criteria.

3. Application Submission and Deadline

    The original and two copies of the application PHS Form 5161-1 (OMB 
Number 0937-0189) must be submitted to Ron Van Duyne, Grants Management 
Officer, Grants Management Branch, Procurement and Grants Office, 
Centers for Disease Control and Prevention (CDC), Mailstop E-13, 255 
East Paces Ferry Road, NE., Room 300, Atlanta, GA 30305, on or before 
March 21, 1997.
    Deadline: Applications will be considered as meeting the deadline 
if they are either:
    (a) Received on or before the deadline date, or
    (b) Sent on or before the deadline date and received in time for 
submission to the objective review group. (The applicants must request 
a legibly dated U.S. Postal Service postmark or obtain a legibly dated 
receipt from a commercial carrier or the U.S. Postal Service. Private 
metered postmarks will not be acceptable as proof of timely mailing.)
    Late Applications: Applications that do not meet the criteria in 
1.(a) or 1.(b) above are considered late applications. Late 
applications will not be considered and will be returned to the 
applicants.

Evaluation Criteria

    Evaluation of the applications will be based on the following 
criteria:
    1. Ability to communicate the scope and nature of traumatic 
occupational fatalities in the State as evidenced by the quality of the 
narrative and documented research and experience. (10%)
    2. The qualifications and time commitment of proposed project staff 
(principal investigator, field investigator (if already identified), 
administrative and technical support staff). (30%--Total)
    a. The existence of or potential for acquiring expertise in 
investigation of occupational fatalities. There should be a full-time 
field investigator dedicated to the project. (15%)
    b. The existence of or potential for acquiring safety expertise 
relevant to formulation of injury prevention strategies. (15%)
    3. Applicant's collaborative relationships with various relevant 
State or territorial agencies or organizations in addressing the 
problem of traumatic occupational fatality surveillance, investigation, 
and intervention.(30%--Total)
    a. The existence of or potential for establishment of a multiple-
source network for identification and reporting of traumatic 
occupational fatalities. (15%)
    b. The existence of or potential for establishment of relationships 
with public safety departments, safety compliance agencies, and other 
entities that can provide background and supplementary data relating to 
specific fatality cases. (15%)
    4. Demonstrated ability to communicate recommended preventions to 
those at risk through targeted dissemination. (25%)
    5. Additional personnel/facilities/equipment already in place that 
can contribute to successful implementation of the project. (5%)
    6. Human Subjects (Not Scored)
    Whether or not exempt from the DHHS regulations, are procedures 
adequate for protection of human subjects? Recommendations on the 
adequacy of protections include: (1) protections appear adequate, and 
there are no comments to make or concerns to raise, (2) protections 
appear adequate, but there are comments regarding the protocol, (3) 
protections appear inadequate and the Objective Review Group has 
concerns related to human subjects, or (4) disapproval of the 
application is recommended because the research risks are sufficiently 
serious and protection against the risks are inadequate as to make the 
entire application unacceptable.
    7. Budget Justification (Not Scored)
    The budget will be evaluated to the extent that it is reasonable, 
clearly justified, and consistent with the intended use of funds.

Executive Order 12372 Review

    Applications are subject to the Intergovernmental Review of Federal 
Programs as governed by Executive Order (E.O.) 12372. E.O. 12372 sets 
up a system for State and local government review of proposed Federal 
assistance applications. Applicants should contact their State Single 
Point of Contact (SPOC) as early as possible to alert them to the 
prospective applications and receive any necessary instructions on the 
State process. For proposed projects serving more than one State, the 
applicant is advised to contact the SPOC for each affected State. A 
current list of SPOCs is included in the application kit.
    If SPOCs have any State process recommendations on applications 
submitted to CDC, they should forward them to Ron Van Duyne, Grants 
Management Officer, Grants Management Branch, Procurement and Grants 
Office, Centers for Disease Control and Prevention (CDC), Room 300, 255 
East Paces Ferry Road, NE., Atlanta, GA 30305, no later than 60 days 
after the application deadline date. The granting agency does not 
guarantee to ``accommodate or explain'' State recommendations it 
receives after that date.

Public Health System Reporting Requirements

    This program is not subject to the Public Health System Reporting 
Requirements.

Catalog of Federal Domestic Assistance Number

    The Catalog of Federal Domestic Assistance for this program is 
93.283.

Other Requirements

Paperwork Reduction Act

    Projects funded through a cooperative agreement that involve 
collection of information from ten or more individuals will be subject 
to review and approval by the Office of Management and Budget (OMB) 
under the Paperwork Reduction Act.

Human Subjects

    If the proposed project involves research on human subjects, the 
applicant must comply with the Department of Health and Human Services 
Regulation, 45 CFR Part 46, regarding the protection of human subjects. 
Assurance must be provided to demonstrate that the project will be 
subject to initial and continuing review by an appropriate 
institutional review committee. The applicant will be responsible for 
providing assurance in accordance with the appropriate guidelines 
provided in the application kit.

Where to Obtain Additional Information

    A complete program description and information on application 
procedures are contained in the application

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package. Business management technical assistance may be obtained from
    Victoria Sepe, Grants Management Specialist, Grants Management 
Branch, Procurement and Grants Office, Centers for Disease Control and 
Prevention (CDC), Mailstop E-13, Room 321, 255 East Paces Ferry Road, 
NE., Atlanta, GA, 30305, telephone (404) 842-6804, Internet: 
[email protected].
    Programmatic technical assistance may be obtained from Ted A. 
Pettit, State FACE Project Officer, Chief, Trauma Investigations 
Section, Surveillance and Field Investigations Branch, Division of 
Safety Research, National Institute for Occupational Safety and Health, 
Centers for Disease Control and Prevention (CDC), Mailstop 180P, 1095 
Willowdale Road, Morgantown, WV, 26505-2888, telephone (304) 285-5972, 
Internet: [email protected] or Dr. Nancy Stout, Acting Chief, 
Surveillance and Field Investigations Branch (at the same address), 
telephone (304) 285-5916.
    Please refer to Announcement Number 713 when requesting information 
and submitting an application.
    Potential applicants may obtain a copy of Healthy People 2000 (Full 
Report, Stock Number 017-001-00474-0) or Healthy People 2000 (Summary 
Report, Stock Number 017-001-00473-1) referenced in the INTRODUCTION 
through the Superintendent of Documents, Government Printing Office, 
Washington, DC 20402-9325, telephone (202) 512-1800.

    Dated: January 9, 1997.
Diane D. Porter,
Acting Director, National Institute for Occupational Safety and Health, 
Centers for Disease Control and Prevention (CDC).
[FR Doc. 97-1030 Filed 1-15-97; 8:45 am]
BILLING CODE 4163-19-P