[Federal Register Volume 62, Number 88 (Wednesday, May 7, 1997)]
[Notices]
[Pages 24930-24933]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-11879]



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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Centers for Disease Control and Prevention
National Institute for Occupational Safety and Health
[Announcement Number 736]


Intervention Studies in Agricultural Safety and Health; Notice of 
Availability of Funds for Fiscal Year 1997

Introduction

    The Centers for Disease Control and Prevention (CDC), National 
Institute for Occupational Safety and Health (NIOSH), announces that 
grant applications are being accepted for innovative small projects 
relating to occupational safety and health in the agriculture industry. 
Such projects are intended to develop and evaluate the effectiveness of 
methods or approaches for preventing injuries and illnesses among 
agricultural workers. Thus, this announcement is not intended for 
traditional hypothesis-testing research projects to identify and 
investigate the relationships between health outcomes and occupational 
exposures to hazardous agents.
    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 area of ``Occupational Safety 
and Health.'' (For ordering a copy of ``Healthy People 2000,'' see the 
section Where to Obtain Additional Information.)

Authority

    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)) and Section 22 
(29 U.S.C. 671). The applicable program regulation is 42 CFR Part 52.

Eligible Applicants

    Eligible applicants include nonprofit 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 businesses.

    Note: An organization described in section 501(c)(4) of the 
Internal Revenue Code of 1986 which engages in lobbying activities 
shall not be eligible to receive Federal funds constituting an 
award, grant, contract, loan, or any other form.

Smoke-Free Workplace

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

Availability of Funds

    About $500,000 is available in fiscal year (FY) 1997 to fund 
approximately 3 to 4 project grants. The amount of funding available 
may vary and is subject to change. Awards are anticipated to range from 
$150,000 to $200,000 in total costs (direct and indirect) per year. 
Awards are expected to begin on or about September 1, 1997. 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.

Use of Funds

Restrictions on Lobbying

    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. 1352 (which has been in effect since December 
23, 1989), 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, the FY 1997 HHS Appropriations Act, which became 
effective October 1, 1996, expressly prohibits the use of 1997 
appropriated funds for indirect or ``grass roots'' lobbying efforts 
that are designed to support or defeat legislation pending before State 
legislatures. This new law, Section 503 of Public Law No. 104-208, 
provides as follows:

    Section 503(a) No part of any appropriation contained in this 
Act 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, * * * 
except in presentation to the Congress or any State legislative body 
itself.
    (b) No part of any appropriation contained in this Act 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 legislature.

    Department of Labor, Health and Human Services, and Education, and 
Related Agencies Appropriations Act, 1997, as enacted by the Omnibus 
Consolidated Appropriations Act, 1997, Division A, Title I, Section 
101(e), Public Law 104-208 (September 30, 1996).

Background

    Agricultural workers represent a major workforce in the United 
States. The agricultural industry, by classification, includes those 
involved in farming, agricultural technology, fishing, and forestry. 
The health and safety effects in this industry are diverse, and the 
potential for disease and injury covers a wide range of populations and 
work.
    Hired workers, farm owner-operators, and unpaid family members who 
live in the work environment are exposed to the health and safety 
hazards of farming in the United States. The number of hired workers 
varies widely by season from 600,000 to 950,000 workers (United States 
Department of Agriculture (USDA) National Agricultural Statistics 
Service, Farm Labor, 1995 and 1996). USDA data show 5.9 million persons 
own, operate, and manage farms or are family members who live on these 
farms (Farm Costs and Return Survey, 1993). It is unknown how many 
children and other family members of migrant or seasonal workers who 
are not recorded as working are exposed. These agricultural workers and 
their families experience a disproportionate share of fatalities, 
injuries and diseases associated with many physical, chemical, and 
biological hazards. Because many who work in agriculture are not 
covered by traditional protections (e.g., workers' compensation, 
Occupational Safety and Health Administration regulations), data on 
such injuries are more difficult to reach and available data are likely 
to underestimate the scope of the problem.
    According to the National Traumatic Occupational Fatality 
surveillance system, the fatality rate for agricultural industries is 
2.6 times greater than the national average for all industries; the

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average is more than 740 deaths annually. Data from the Bureau of Labor 
Statistics Annual Survey for 1994 indicate that the rate for injuries 
involving lost workdays in the agricultural industries exceeds all 
industry sectors (including mining) except construction and 
transportation.
    Agricultural workers are also more likely to develop serious work-
related illnesses or disabling conditions. In particular, agricultural 
workers experience increased rates of certain forms of lung disease 
(e.g., occupational asthma and hypersensitivity pneumonitis); 
cumulative trauma disorders such as carpal tunnel syndrome and other 
musculoskeletal disorders; noise-induced hearing loss; and certain 
types of cancer (e.g., leukemia, non-Hodgkin's lymphoma, and multiple 
myeloma).
    In 1989, Congress directed CDC to sponsor broad-based, public 
health initiatives to reduce the significant injuries and illnesses 
among agriculture workers and their families. Through cooperative 
agreement awards, the National Institute for Occupational Safety and 
Health (NIOSH) established cooperative efforts with universities, 
public health departments, and others, to address the research, 
surveillance, and intervention priorities of the agricultural industry. 
These programs included laboratory research, broad-based epidemiology, 
public health surveillance, education and training, and the provision 
of basic health and hazard control services in the agricultural 
community.
    In December 1994, an external review panel evaluated the NIOSH 
Agriculture Initiative. The panel recommended that NIOSH continue its 
strong support of the Agriculture Initiative; and in addition to its 
current efforts, provide for intervention research grants to enable 
current and previous collaborators, as well as other groups, the 
opportunity to propose innovative research or demonstrations projects. 
Interventions include techniques such as engineering control 
technologies, model standards, worker participation programs, training, 
and community programs to prevent disease or injury. Intervention 
research determines the efficacy and efficiency of these techniques or 
combinations of these techniques.
    Although many intervention strategies have been applied to various 
work settings, knowledge about what works best is limited. Employers, 
owner-operators, agricultural workers, public decision makers, 
cooperative extension services agents, and others, need this 
information to make informed decisions about prevention strategies that 
work well and support the use of limited resources. Research is needed 
to pilot and evaluate prevention intervention efforts which, if 
successful, can be adopted on a wider scale in a region or throughout 
the nation. This work should be done in cooperation with agricultural 
workers and employers to assure consideration of the economic and 
organizational factors that determine if interventions will be adopted.

Purpose

    NIOSH seeks to prevent work-related diseases and injuries in the 
agricultural production industry by designing, implementing, and 
evaluating measures to reduce occupational hazards. If prevention 
measures are currently unavailable, new technologies should be 
developed for controlling hazardous exposures. Such new technologies 
must be evaluated to determine if prevention measures are feasible, 
even for smaller agricultural operations.
    Intervention research--including control technology, educational 
programs, health promotion activities, and community-based 
initiatives--examines the utility and impact of new and existing 
preventive measures in the workplace.

Programmatic Interest

    The focus of these grants should facilitate progress in preventing 
adverse effects among agricultural workers. A project that is proposed 
to develop or test the efficacy of an intervention should be designed 
to establish, discover, develop, elucidate, or confirm information 
relating to occupational safety and health, including innovative 
methods, techniques, and approaches for solving occupational safety and 
health problems. These grants should not be directed at the development 
of an intervention, but to test the efficacy of a known intervention.
    A project that is proposed to demonstrate the effectiveness of an 
intervention 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. A demonstration 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.
    NIOSH and its partners in the public and private sectors developed 
the high priority areas identified below to provide a framework to 
guide occupational safety and health research in 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. 
NIOSH intends to support projects that facilitate progress in 
understanding and preventing 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 agricultural safety and 
health, but the rationale for the significance of the research and 
demonstrations to agriculture must be developed in the application.
    The NORA identifies 21 research priorities. These priorities 
reflect a remarkable degree of concurrence among a large number of 
stakeholders. The NORA priority research areas are grouped into three 
categories: Disease and Injury, Work Environment and Workforce, and 
Research Tools and Approaches. This announcement relates primarily to 
the priority research area, Intervention Effectiveness Research, number 
18 on the list. The NORA document is available through the NIOSH Home 
Page: http://www.cdc.gov/niosh/nora.html.

NORA Priority Research Areas

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

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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 contact the programmatic 
technical assistance person identified in this announcement in the 
section WHERE TO OBTAIN ADDITIONAL INFORMATION.

Technical Reporting Requirements

    Progress reports are required annually as part of the continuation 
application (75 days prior to the start of the next budget period). The 
annual progress reports must contain information on accomplishments 
during the previous budget period and plans for each remaining year of 
the project. Financial status reports (FSR) are required no later than 
90 days after the end of the budget period.
    The final performance and financial status reports are required 90 
days after the end of the project period. The final performance report 
should include, at a minimum, a statement of original objectives, a 
summary of research methodology, a summary of positive and negative 
findings, and a list of publications resulting from the project. 
Research papers, project reports, or theses are acceptable items to 
include in the final report. The final report should stand alone rather 
than citing the original application. Three copies of reprints of 
publications prepared under the grant should accompany the report.

Evaluation Criteria

    Upon receipt, applications will be reviewed by CDC for completeness 
and responsiveness. Applications determined to be incomplete or 
unresponsive to this announcement will be returned to the applicant 
without further consideration. 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.
    Applications that are complete and responsive to the announcement 
will be reviewed by an initial review (IRG) group (peer review) in 
which they will be determined to be competitive or noncompetitive based 
on the review criteria. Applications determined to be noncompetitive 
will be withdrawn from further consideration and the principal 
investigator/program director and the official signing for the 
applicant organization will be promptly notified. Applications judged 
to be competitive will be discussed and assigned a priority score.
    Review criteria for technical merit are as follows:
    1. Technical significance and originality of the proposed project.
    2. Appropriateness and adequacy of the study design and methodology 
proposed to carry out the project.
    3. Qualifications and research experience of the Principal 
Investigator and staff, particularly but not exclusively in the area of 
the proposed project.
    4. Availability of resources necessary to perform the project.
    5. Documentation of cooperation from other participants in the 
project, where applicable.
    6. Adequacy of plans to include both sexes and minorities and their 
subgroups as appropriate for the scientific goals of the project. 
(Plans for the recruitment and retention of subjects will also be 
evaluated.)
    7. Appropriateness of budget and period of support.
    8. Human Subjects--Procedures adequate for the protection of human 
subjects must be documented. 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 IRG 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.
    The following will be considered in making funding decisions:
    1. Quality of the proposed project as determined by peer review.
    2. Availability of funds.
    3. Program balance among priority areas of the announcement.

Executive Order 12372 Review

    Applications are not subject to the review requirements of 
Executive Order 12372.

Public Health System Reporting Requirement

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

Catalog of Federal Domestic Assistance Number

    The Catalog of Federal Domestic Assistance number is 93.262.

Other Requirements

Paperwork Reduction Act

    Projects that involve the collection of information from 10 or more 
individuals and funded by the grant will be subject to review and 
approval by the Office of Management and Budget (OMB) under the 
Paperwork Reduction Act.

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Human Subjects

    The applicant must comply with the Department of Health and Human 
Services Regulations, 45 CFR Part 46, regarding the protection of human 
subjects. Assurances 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.

Women and Racial and Ethnic Minorities

    It is the policy of the CDC to ensure that women and 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, Alaskan Native, Asian, Pacific Islander, Black and 
Hispanic. Applicants shall ensure that women and racial and ethnic 
minority populations are appropriately represented in applications for 
research involving human subjects. Where clear and compelling rationale 
exists that inclusion is not feasible, this situation must be explained 
as part of the application. In conducting the review of applications 
for scientific merit, review groups will evaluate proposed plans for 
inclusion of minorities and both sexes as part of the scientific 
assessment and assigned score. 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, Friday, September 15, 1995, pages 
47947-47951.

Application Submission and Deadlines

A. 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 Officer (whose address is 
reflected in section B., ``Applications''). It should be postmarked no 
later than June 9, 1997. The letter should identify the announcement 
number, name of the 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.

B. Applications

    Applicants should use Form PHS-398 (OMB Number 0925-0001) and 
adhere to the ERRATA Instruction Sheet for Form PHS-398 contained in 
the Grant Application Kit. Please submit an original and five copies on 
or before July 15, 1997 to: Ron Van Duyne, Grants Management Officer, 
Grants Management Branch, Procurement and Grants Office, Centers for 
Disease Control and Prevention, (CDC), 255 East Paces Ferry Road, NE., 
Room 321, MS-E13, Atlanta, GA 30305.

C. Deadlines

    1. Applications shall be considered as meeting a deadline if they 
are either:
    A. Received at the above address on or before the deadline date, or
    B. Sent on or before the deadline date to the above address, and 
received in time for the review process. Applicants should 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 shall not be accepted as proof of timely mailings.
    2. Applications which do not meet the criteria above are considered 
late applications and will be returned to the applicant.

Where To Obtain Additional Information

    To receive an application kit, call (404) 332-4561. You will be 
asked to leave your name, address, and telephone number and will need 
to refer to announcement 736. You will receive a complete application 
kit. Business management information may be obtained from Joanne 
Wojcik, Grants Management Specialist, Grants Management Branch, 
Procurement and Grants Office, Centers for Disease Control and 
Prevention (CDC), 255 East Paces Ferry Road, NE., MS-E13, Atlanta, GA 
30305, telephone (404) 842-6535; fax: (404) 842-6513; Internet: 
[email protected].
    Programmatic technical assistance may be obtained from Roy M. 
Fleming, Sc.D., Associate Director for Grants, National Institute for 
Occupational Safety and Health, Centers for Disease Control and 
Prevention (CDC), 1600 Clifton Road, NE., Building 1, Room 3053, MS-
D30, Atlanta, GA 30333, telephone (404) 639-3343; fax: (404) 639-4616; 
Internet: [email protected].

Please Refer to Announcement Number 736 When Requesting Information and 
Submitting an Application

    This and other CDC Announcements can be found on the CDC home page 
at http://www.cdc.gov.
    CDC will not send application kits by facsimile or express mail.
    Potential applicants may obtain a copy of ``Healthy People 2000'' 
(Full Report, Stock No. 017-001-00474-0) or ``Healthy People 2000'' 
(Summary Report, Stock No. 017-001-00473-1) through the Superintendent 
of Documents, Government Printing Office, Washington, DC 20402-9325, 
telephone (202) 512-1800.

    Dated: May 1, 1997.
Diane D. Porter,
Acting Director, National Institute for Occupational Safety and Health, 
Centers for Disease Control and Prevention (CDC).
[FR Doc. 97-11879 Filed 5-6-97; 8:45 am]
BILLING CODE 4163-19-P