[Federal Register Volume 62, Number 109 (Friday, June 6, 1997)]
[Notices]
[Pages 31112-31116]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-14768]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Centers for Disease Control and Prevention
[Announcement 755]


NIOSH: Demonstration to Motivate Small Businesses to Adopt 
Appropriate Hazard Control Technology in a Single Small Business 
Sector; 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 demonstrate approaches to motivating small businesses to 
adopt hazard control technology.
    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 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.

Eligible Applicants

    Applications may be submitted by public and private, non-profit or 
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, 
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 $120,000 is available in FY 1997 to fund 
approximately three awards. It is expected that the average award will 
be $40,000, ranging from $25,000 to $55,000. It is expected that the 
awards will begin on or about September 1, 1997, with 12-month budget 
periods within project periods of up to two years. The funding estimate 
is subject to change.
    Continuation awards within the project period will be determined on 
the basis of satisfactory progress and the 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

[[Page 31113]]

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

    One of the biggest challenges faced by occupational health 
researchers and industrial hygiene engineers is the translation of the 
results of control research into actual improvements in the workplace 
beyond the individual sites studied. This is particularly difficult in 
the case of small businesses that require understandable and easy to 
use occupational safety and health information about cost-effective 
control technology. Small businesses do not have resources to develop 
or assess control technology on their own, and since the likelihood of 
smaller businesses being inspected by the Occupational Safety and 
Health Administration is much lower than it is for larger businesses, 
there is less regulatory incentive to investigate and implement control 
technologies.
    The variety of problems in small business makes it particularly 
difficult to develop effective prevention strategies. Further, serious 
accident rates are not likely to be recognized, because a single injury 
will be seen as a rare occurrence. For instance, with an injury rate of 
two per hundred person years, a firm with 10 employees could expect a 
single accident every five years while a firm with 100 employees could 
expect to have two accidents a year. Small businesses are grouped 
together for actuarial purposes which masks the workers compensation 
injury and illness expenses. Large firms, on the other hand, keep 
better records because their experience rating (based on one's injury 
and illness rate) will affect their workers' compensation costs. 
Overwhelming evidence exists that health and safety problems are very 
serious in small work sites. Innovative means will be required to reach 
small businesses.
    Because of the frequency of their problems, small businesses were 
identified in Healthy People 2000 Occupational Goals as a group in need 
of special assistance. Development, identification and implementation 
of engineering controls and the conduct of intervention research have 
been both identified as a National Occupational Research Agenda (NORA) 
priority. This project will address those priorities by testing new 
approaches. (For ordering a copy of NORA, see section WHERE TO OBTAIN 
ADDITIONAL INFORMATION.)

Purpose

    This program will address health and safety problems affecting 
small business by identifying and verifying control solutions. It will 
develop and carry out a marketing strategy for outreach to affected 
small businesses. The experiences will be used to develop case studies 
which will be used individually to expand the adoption of control 
solutions nationwide and will also be combined to produce a document on 
general ``lessons learned'' in conducting this type of work. This 
document will provide guidance for future prevention efforts with small 
businesses.

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. Will identify an occupational hazard affecting a particular 
small business sector.
    2. Plan and implement a demonstration project to identify and/or 
develop ``best hazard control practices'' for the selected business 
sector and implement a marketing strategy for outreach to a targeted 
affected small business sector. The targeted sector should be from 
among those known to have a high risk of occupational disease or injury 
or high levels of exposure to toxic materials. (Example: radiator 
repair shops, autobody repair shops, furniture strippers, dental 
offices)
    3. Identify the appropriate control technology to reduce the risk 
of occupational disease in the selected small business sector. The 
control should be inexpensive enough to be acceptable by small 
businesses.
    4. Plan, implement and evaluate the outreach strategy including 
audio-visual or printed materials, work with trade associations, labor 
groups, equipment or material suppliers or manufacturers, State or 
local government agencies, or other factors especially suited to the 
selected business sector. Document the success in communicating with, 
as well as encouraging the sector to take recommended controls/actions 
to reduce risk.
    5. Develop a written case study of the outreach project.

B. CDC/NIOSH Activities

    1. Collaborate and provide technical assistance if needed, in the 
selection of appropriate small business sector for the outreach;
    2. Provide technical assistance and consultation, with identifying 
needs and the selection of appropriate control technology;
    3. Collaborate and provide technical assistance if needed, in the 
preparation of the case study of the outreach project.

Technical Reporting Requirements

    An original and two copies of semi-annual progress reports are 
required. Timelines for the semi-annual reports will be established at 
the time of award. Final financial status and performance reports are 
required no later than 90 days after the end of the project period. All 
reports are submitted to the Grants Management Branch, Procurement and 
Grants Office, CDC.
    Semi-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

[[Page 31114]]

accomplishments related to the goals and objectives established for the 
period.
    C. If established goals and objectives that were 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, timelines 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 the second-year objective and 
activities.

A. Title Page

    The heading should include the title of grant program, project 
title, organization, name and address, project director, 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, activities to be completed, and a timeline 
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, the purpose, and goals over the 2-year period 
of this cooperative agreement. This may be reflected in a draft 
protocol for the study.
    2. Describe the proposed small business sector, including the type 
of business, proposed geographical area for outreach, the number of 
businesses in the proposed geographic area for outreach, hazard(s) to 
be addressed and rationale for selecting the sector. Describe the 
proposed criteria to be used for selection of the control technology to 
be recommended, and outreach strategy. Describe how the project will be 
monitored.
    3. Program Objectives and evaluation.
    a. Describe in detail the objectives and methods used to achieve 
the objectives. The objectives should be specific, time-phased, 
measurable, and achievable during each budget period. The objectives 
should directly relate to the program goals. Identify the steps to be 
taken in planning and implementing the objectives and the 
responsibilities of the applicant for carrying out the steps.
    b. Describe in detail the extent to which an evaluation plan 
describes the method and design for evaluation the outreach strategy.
    4. 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 would 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 facilities including space.
    5. Document the applicant's expertise, length, and magnitude of 
involvement in the area of conducting small business sector 
intervention efforts.
    6. Human Subjects: State whether or not Humans are subjects in this 
proposal. (See Human Subjects in the Evaluation Criteria and Other 
Requirements sections.)
    7. 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.)

D. Budget

    Provide a detailed budget which indicates anticipated costs for 
personnel, equipment, travel, communications, supplies, postage, and 
the sources of funds to meet these needs. The applicant should be 
precise about the program purpose of each budget item. For contracts 
described within the application budget, applicants should name the 
contractor, if known; describe the services to be performed; and 
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. Place the 
budget narrative pages showing, in detail, how funds in each object 
class will be spent, directly behind form 424A. Do not put these pages 
in the body of the application. CDC may not approve or fund all 
proposed activities.

Evaluation Criteria

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

A. Understanding of the Problem (20%)

    Responsiveness to the objectives including:
    1. Applicant's understanding of the general objectives of the 
proposed cooperative agreement, and
    2. Evidence of ability to understand the problem and to conceive/
design effective outreach strategies.

B. Program Personnel (25%)

    The extent of the applicant's documented experience and prior work 
in the area of small business occupational health and safety 
interventions issues is documented, including length of time committed 
to conducting intervention effort; and collaboration with other 
individuals or groups is included.

C. Study Design (25%)

    1. Steps proposed in planning and implementing this project and the 
respective responsibilities of the applicant for carrying out those 
steps. This must include how the control technology is to be identified 
and the process to develop the outreach strategy; and
    2. The adequacy of the applicant's evidence of access to the small 
business sector selected.

D. Project Planning (15%)

    1. The extent to which the proposed goals and objectives are 
clearly stated, time-phased, and measurable. The extent to which the 
methods are sufficiently detailed to allow for assessment of whether 
the objectives can be achieved for the budget period.
    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

[[Page 31115]]

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.

E. Collaboration (5%)

    The extent to which the applicant provides evidence (e.g., letters 
of support and/or memoranda of understanding) of support from industry 
groups, and (or) labor groups, and (or) material/equipment supplier 
groups and (or) other appropriate groups with whom this collaboration 
will take place.

F. Project Management and Staffing Plan (5%)

    The extent to which the management staff and their working partners 
are clearly described, appropriately assigned, and have pertinent 
skills and experiences. The extent to which the applicant proposes to 
involve appropriate personnel who have the needed qualifications to 
implement the proposed plan. The extent to which the applicant has the 
capacity to design, implement, and evaluate the proposed intervention 
program.

G. Facilities and Resources (5%)

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

H. 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.

I. 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 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 
rationales 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 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 Victoria F. Sepe, Grants Management Specialist, 
Grants Management Branch, CDC at the address listed in this section. It 
should be postmarked no later than July 3, 1997. The letter should 
identify program announcement number 755 and the name of the principal 
investigator. 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. 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 22, 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 in the current competition and will 
be returned to the applicants.

[[Page 31116]]

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 Announcement 755. 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 755 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), 255 East Paces Ferry Road, NE., Room 321, Mailstop E-
13, Atlanta, GA 30305, telephone (404) 842-6804; Internet: 
[email protected].
    Programmatic technical assistance may be obtained from James H. 
Jones, CIH, Associate Director for Science, Division of Physical 
Sciences and Engineering, National Institute for Occupational Safety 
and Health, Centers for Disease Control and Prevention (CDC), Mailstop 
R-2, 4676 Columbia Parkway, Cincinnati, OH 45226-1998, telephone (513) 
841-4371, Internet: [email protected].
    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.
    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) referenced in the introduction 
section through the Superintendent of Documents, Government Printing 
Office, Washington, DC 20402-9325, telephone (202) 512-1800.

The National Occupational Research Agenda

    Copies of this publication may be obtained from the National 
Institute for Occupational Safety and Health, Publications Office, 4676 
Columbia Parkway, Cincinnati, OH 45226-1998 or telephone 1-800-356-
4674, and is available through the NIOSH Home Page; http://www.cdc.gov/
niosh/nora.html.

    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. 97-14768 Filed 6-5-97; 8:45 am]
BILLING CODE 4163-19-P