[Federal Register Volume 62, Number 109 (Friday, June 6, 1997)]
[Notices]
[Pages 31108-31112]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-14766]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Centers for Disease Control and Prevention
[Announcement 753]


NIOSH: Creating Healthy Work Organizations; Fiscal Year 1997 
Funds Availability

Introduction

    The Centers for Disease Control and Prevention (CDC) announces the 
availability of fiscal year (FY) 1997 funds for a cooperative agreement 
program to design, implement, and evaluate organizational change 
interventions to create healthy work organizations.
    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 Sections 20(a) and 22(e)(7) of the 
Occupational Safety and Health Act of 1970 [29 U.S.C. 669(a) and 
671(e)(7)].

Smoke-Free Workplace

    CDC strongly encourages all grant recipients to provide a smoke-
free workplace and 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

    Applications may be submitted by public and private, non-profit and 
for-profit organizations and governments, and their agencies. Thus, 
universities, colleges, research institutions, hospitals, other public 
and private organizations, State and local health departments or their 
bona fide agents, federally recognized Indian tribal governments,

[[Page 31109]]

Indian tribes or Indian tribal organizations, and small, minority- and/
or women-owned businesses are eligible to apply.

    Note: Public Law 104-65, dated December 19, 1995, prohibits an 
organization described in section 501(c)(4) of the IRS Code of 1986, 
that engages in lobbying activities to influence the Federal 
Government, from receiving Federal funds.

Availability of Funds

    Approximately $150,000 is available in FY 1997 to fund one award. 
The project period may last up to three years, depending on 
availability of funds, with budget periods of 12 months. It is expected 
that the award will begin on or about September 30, 1997. The funding 
estimate is subject to change.
    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. Section 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 Pub. L. No. 104-208, 
provides as follows:
    Sec. 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), Pub. L. No. 104-208 (September 30, 1996).

Background

    Much research over the past 25 years has identified stressful job 
factors and work routines which are associated with employee stress and 
ill-health and has resulted in lengthy lists of both job stressors and 
stress-related health outcomes. A recent conceptual development has 
been a broadening of the focus from job stressor-health relationships 
to global organizational health. Organizational health is a broader, 
more inclusive concept and refers to enhanced organizational 
performance (productivity and effectiveness) plus worker good health 
and well-being. A healthy work organization is one whose culture/
climate, values and practices promote employee well-being as well as 
company productivity and effectiveness. This broad definition suggests 
an accommodation of heretofore opposing goals: (1) the organizational 
goals of profitability and competitiveness, and (2) individual worker 
goals of health and well-being.
    In 1991, NIOSH initiated a program of research to study healthy 
work organizations. The research emphasized the interrelationship of 
individual worker well-being and organization effectiveness, and 
focused on macro-organization characteristics, in addition to job-level 
characteristics, as risk factors for ill health and performance 
impairment. Working with industry partners, NIOSH analyzed 
organizational climate survey data obtained from one corporate partner 
during the years 1993-1995. Over 10,000 workers filled out the 
anonymous questionnaire, which contained measures of stress and coping, 
management practices, individual and team performance, organizational 
culture/climate, values, and organizational performance/effectiveness. 
Statistical analyses of these cross-sectional data identified several 
key organizational variables associated with low employee stress and 
high organizational productivity.
    Based on these analyses, NIOSH developed a provisional model of 
healthy work organizations which contains three broad, interrelated 
categories: organizational values, culture/climate, and management 
practices. Healthy work organizations have a set of company values 
which emphasize integrity and honesty in communication, workforce 
diversity, view the individual worker as a valuable human resource, and 
have a commitment to employee growth/development. These organizations 
have a culture/climate in which workers (a) feel personally valued, (b) 
have authority to take actions to solve problems, (c) are encouraged by 
management to express opinions and become involved in decision-making, 
and (d) resolve group conflicts effectively. Management practices in a 
healthy work organization include (1) management is actively engaged in 
leadership and strategic planning, (2) management makes the necessary 
changes to follow through on long term business strategies, (3) workers 
are recognized for problem-solving and rewarded for doing quality work, 
and (4) first line supervisors provide assistance and resources in 
helping workers plan for their future.
    Beyond these empirically determined characteristics, two additional 
factors need to be incorporated into the model: external economic/
market conditions and physical work conditions. External market 
conditions exert a strong influence on company profitability and 
competitiveness independent of the culture/climate, values, and 
management practices. Similarly, a healthy work organization should 
meet certain minimum standards for physical working conditions in order 
to protect the health and safety of employees. Measures or indicators 
of these characteristics need to be included in future studies.
    In summary, the job and organizational characteristics listed above 
form a provisional profile of a healthy work organization, and can be 
used to design preventive interventions aimed at creating healthy work 
organizations. The model is provisional because it has not been 
validated in other manufacturing settings and has not been tested 
across other industry groups. Furthermore, it is not known whether all 
of the characteristics listed above are necessary and sufficient 
measures of a healthy work organization or whether certain combinations 
of characteristics are more important than others.

[[Page 31110]]

    Proposals are being solicited to conduct field studies which 
identify characteristics of healthy work organizations.

Purpose

    The purpose of this program is to focus on worksite primary 
prevention efforts, which can involve:
    A. Examination of on-going studies in companies where changes are 
being, or have been, introduced to improve organizational effectiveness 
and employee health, or
    B. New studies which test models of healthy work organizations.
    Interventions can consist of structural and/or functional changes 
targeting culture/climate, values or management practices.
    The major objectives should be development, installation, and 
evaluation of interventions to create healthy work organizations.
    Project results, in combination with other research, will provide 
the basis for recommendations on how to create healthy work 
organizations.

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 activities 
under B. (CDC/NIOSH Activities).

A. Recipient Activities

    1. Evaluate the effectiveness of healthy work organization 
interventions in reducing health care costs and stress-related health 
conditions while improving productivity and effectiveness.
    2. Implement the study protocol that reviews the pertinent 
literature on healthy work organizations and describes the study 
methodology, data to be collected, and proposed analysis of the data. 
Present the protocol to a panel of scientific peer reviewers (if 
required) and revise the protocol as required for final approval.
    3. Perform data collection and management. Data will include 
subjective and objective measures of worker health and performance, 
company health care costs, and performance/productivity indicators.
    4. Prepare a report summarizing the study methodology, results 
obtained, and conclusions reached. Develop recommendations (e.g., best 
practices) for creating healthy work organizations.
    5. Report study results to the scientific community via 
presentations at professional conferences and articles in peer-reviewed 
journals.

B. CDC/NIOSH Activities

    1. Provide scientific and technical collaboration for the 
successful completion of this project.
    2. Identify reviews and/or clearances that must be fulfilled by the 
recipient and, if necessary, assist in convening a scientific peer 
review panel to review draft study protocol.
    3. Provide technical assistance, if needed, at key stages of the 
study including study design, survey instrument design, interpretation 
of results and preparation of written reports.

Technical Reporting Requirements

    An original and two copies of a progress report are required 
annually. An original and two copies of a final performance report and 
Financial Status Report are due no later than 90 days after the end of 
the project period.
    Annual progress report should include:
    A. A brief program description.
    B. A listing of program goals and objectives accompanied by a 
comparison of the actual accomplishments related to the goals and 
objectives established for the period.
    C. If established goals and objectives to be accomplished were 
delayed, describe both the reason for the deviation and anticipated 
corrective action or deletion of the activity from the project.
    D. Other pertinent information, including the status of 
completeness, timeliness and quality of data.

Application Content

    The entire application, including appendices, should not exceed 40 
pages and the Proposal Narrative section contained therein should not 
exceed 25 pages. Pages should be clearly numbered and a complete index 
to the application and any appendices included. The original and each 
copy of the application must be submitted unstapled and unbound. All 
materials must be typewritten, double-spaced, with unreduced type (font 
size 12 point) on 8\1/2\'' by 11'' paper, with at least 1'' margins, 
headers, and footers, and printed on one side only. Do not include any 
spiral or bound materials or pamphlets.
    The applicant should provide a detailed description of first-year 
activities and briefly describe future-years objectives and activities.

A. Title Page

    The heading should include the title of grant program, project 
title, organization, name, and address, project director's name address 
and telephone number.

B. 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 include a work plan identifying 
activities to be developed, specific activities to be completed, and a 
time-line for completion of these activities.

C. Proposal Narrative

    The narrative of each application must:
    1. Briefly state the applicant's understanding of the need or 
problem to be addressed and the purpose of this project. Prepare a 
draft protocol for the study.
    2. Proposals must include a description of the intervention or 
change strategy and an evaluation plan which includes both subjective 
and objective measures of antecedent factors and outcomes.
    3. Describe clearly the objectives of this project, the steps and 
timelines to be taken in planning and implementing this project, and 
the respective responsibilities of the applicant for carrying out those 
steps.
    4. Provide a proposed method of evaluating the accomplishments.
    5. Provide documentation of access to potential study sites, and 
provide documentation of management and labor support for the study.
    6. Document the applicant's expertise in the area of organizational 
behavior, organization development, job stress, and psychosocial risk 
factors as they pertain to healthy work organization research.
    7. Provide the name, qualifications, and proposed time allocation 
of the Project Director who will be responsible for administering the 
project. Describe staff, experience, facilities, equipment available 
for performance of this project, and other resources that define the 
applicant's capacity or potential to accomplish the requirements stated 
above. List the names (if known), qualifications, and time allocations 
of the existing professional staff to be assigned to (or recruited for) 
this project, the support staff available for performance of this 
project, and the available facilities including space.
    8. Human Subjects: State whether or not Humans are subjects in this 
proposal. (See Human Subjects in the Evaluation Criteria and Other 
Requirements sections.)

[[Page 31111]]

    9. Inclusion of women, ethnic, and racial groups: Describe how the 
CDC policy requirements will be met regarding the inclusion of women, 
ethnic, and racial groups in the proposed research. (See Women, Racial 
and Ethnic Minorities in the Evaluation Criteria and Other Requirements 
sections.)
    10. Provide a detailed budget which indicates: (a) anticipated 
costs for personnel, travel, communications, postage, equipment, 
supplies, etc., and (b) all sources of funds to meet those needs.

Evaluation Criteria

    The application will be reviewed and evaluated according to the 
following criteria:

A. Understanding of the Problem (25%)

    Responsiveness to the objective of the cooperative agreement 
including: (a) applicant's understanding of the general objectives of 
the proposed cooperative agreement, and (b) evidence of ability to 
design and evaluate organizational change interventions.

B. Program Personnel (15%)

    1. Applicant's technical experience (e.g., in the areas of healthy 
work organizations, job stress, organizational behavior, organization 
development), and
    2. The qualifications and time allocation of the professional staff 
to be assigned to this project.

C. Study Design (35%)

    1. Adequacy of the study design and methodology for accomplishing 
the stated objectives. Steps proposed for implementing this project and 
the respective responsibilities of the applicant for carrying out those 
steps. Evidence of the applicant's access to companies who will serve 
as the study populations (e.g., commitment from company sites for 
installing and evaluating the interventions and for providing objective 
data for evaluation).
    2. The degree to which the applicant has met the CDC policy 
requirements regarding the inclusion of women, ethnic, and racial 
groups in the proposed project. This includes: (a) The proposed plan 
for the inclusion of both sexes and racial and ethnic minority 
populations for appropriate representation; (b) The proposed 
justification when representation is limited or absent; (c) A statement 
as to whether the design of the study is adequate to measure 
differences when warranted; and (d) A statement as to whether the plan 
for recruitment and outreach for study participants include the process 
of establishing partnerships with community(ies) and recognition of 
mutual benefits.

D. Project Planning (15%)

    The applicant's schedule proposed for accomplishing the activities 
to be carried out in this project and for evaluating the 
accomplishments.

E. Facilities and Resources (10%)

    The adequacy of the applicant's facilities, equipment, and other 
resources available for performance of this project.

F. Human Subjects (Not Scored)

    Whether or not exempt from the Department of Health and Human 
Services (DHHS) regulations, are procedures adequate for the 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.

G. 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

    This program is not subject to the Executive Order 12372 review.

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 number for this project 
is 93.283)

Other Requirements

Paperwork Reduction Act

    Projects that involve the collection of information from ten or 
more individuals and funded by this cooperative agreement 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 DHHS Regulations, 45 CFR Part 46, 
regarding the protection of human subjects. Assurance must be provided 
to demonstrate 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 and form provided in the application kit.
    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 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.

Women, Racial and Ethnic Minorities

    It is the policy of the Centers for Disease Control and Prevention 
(CDC) and the Agency for Toxic Substances and Disease Registry (ATSDR) 
to ensure that individuals of both sexes and the various racial and 
ethnic groups will be included in CDC/ATSDR-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, 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.

Application Submission and Deadline

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 Victoria Sepe, Grants Management Branch, 
Procurement and Grants Office, CDC at the address listed in this 
section. It should be postmarked no later than July 8, 1997. The letter

[[Page 31112]]

should identify Program Announcement number 753, name of principal 
investigator, and address of 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

    The original and two copies of the application PHS Form 5161-1 
(Revised 7/92, OMB Number 0937-0189) must be submitted to Victoria 
Sepe, Grants Management Specialist, Grants Management Branch, 
Procurement and Grants Office, Centers for Disease Control and 
Prevention (CDC), 255 East Paces Ferry Road, NE., Room 321, Atlanta, GA 
30305, on or before July 24, 1997.
    1. 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 receipt from a 
commercial carrier or the U.S. Postal Service. Private metered 
postmarks will not be acceptable as proof of timely mailing.)
    2. Late Applicants: 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.

Where To Obtain Additional Information

    To receive additional written information call (404) 332-4561. You 
will be asked to leave your name, address, and telephone number and 
will need to refer to NIOSH Announcement 753. You will receive a 
complete program description, information on application procedures, 
and application forms. CDC will not send application kits by facsimile 
or express mail. Please refer to announcement number 753 when 
requesting information and submitting an application.
    If you have questions after reviewing the contents of all the 
documents, 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 Lawrence R. 
Murphy, Ph.D., Motivation and Stress Research Section, Applied 
Psychology and Ergonomics Branch, Division of Biomedical and Behavioral 
Science, National Institute for Occupational Safety and Health, Centers 
for Disease Control and Prevention (CDC), Mailstop C-24, 4676 Columbia 
Parkway, Cincinnati, OH 45226-1998, telephone (513) 533-8171, Internet: 
[email protected].
    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.
    This and other CDC announcements are available through the CDC 
homepage on the Internet. The address for the CDC homepage is: http://
www.cdc.gov.

    Dated: May 30, 1997.
Diane D. Porter,
Acting Director, National Institute for Occupational Safety and Health 
Centers for Disease Control and Prevention (CDC).
[FR Doc. 97-14766 Filed 6-5-97; 8:45 am]
BILLING CODE 4163-19-P