[Federal Register Volume 63, Number 28 (Wednesday, February 11, 1998)]
[Notices]
[Pages 6941-6945]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-3406]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Centers for Disease Control and Prevention
[Announcement 98015]


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; Notice of 
Availability of Funds for Fiscal Year 1998

Introduction

    The Centers for Disease Control and Prevention (CDC) announces the 
availability of fiscal year (FY) 1998 funds for cooperative agreements 
to 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 the Public Health Service Act, as 
amended, Section 301(a) [42 U.S.C. 241(a)]; the Occupational Safety and 
Health Act of 1970, Section 20(a) [29 U.S.C. 669(a)]. The applicable 
program regulation is 42 CFR Part 52.

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, and Departments of Industry 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.

    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, a grant, contract, loan, or any other form.

Availability of Funds

    Approximately $190,000 will be available in FY 1998 to fund two or 
three awards. It is expected that the awards will range from $60,000 to 
$100,000. 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 July 1, 1998, 
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.

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

[[Page 6942]]

funds cannot be used directly or indirectly to encourage participants 
to lobby or to instruct participants on how to lobby.
    In addition, the current HHS Appropriations Act expressly prohibits 
the use of appropriated funds for indirect or ``grass roots'' lobbying 
efforts that are designed to support or defeat legislation pending 
before state legislatures. Section 503 of the law 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, or any State 
legislature, 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 No. 104-208 (September 30, 1996).

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:
    A. 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.
    B. Conduct on-site investigations of specific traumatic 
occupational fatalities using the NIOSH FACE investigative model.
    C. Through case investigations, identify factors common to selected 
types of traumatic occupational fatalities leading to development and 
prioritization of prevention strategies.
    D. Develop and disseminate prevention recommendations to reduce the 
risk of fatal occupational injuries within the State.
    E. 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.
    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 effect 
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/

[[Page 6943]]

 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 an ANNUAL progress report are due no 
later that 30 days after the end of each budget period. A Financial 
Status Report (FSR) is required no later than 90 days after the end of 
each budget period. FINAL progress report and FSR are due no later than 
90 days after the end of the project period (October 31, 2003). 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.
    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.

Application

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 Branch, CDC. (See 
``Application Submission and Deadline'' section for the address.) It 
should be postmarked no later than February 25, 1998. 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.

B. Application Content

    The entire application, including appendices, should not exceed 40 
pages and the Proposal Narrative section contained therein should not 
exceed 25 double-spaced 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. All 
graphics, maps, overlaps, etc. should be in black and white and meet 
the above criteria.

C. 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.

D. 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.

E. Narrative

    The narrative of the application should:
    1. Document the applicant's understanding of the objectives of the 
project and the proposed agreement and the goals over the 5-year period 
of the 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. Provide letters of support or other documentation demonstrating 
collaboration of the applicant's ability to work with diverse groups, 
establish linkages, and facilitate awareness information.

F. 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

[[Page 6944]]

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 
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.

Evaluation Criteria

    Evaluation of the applications will be based on the following 
criteria:
    A. Goals and Objectives
    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. (15%)
    B. The qualifications and time commitment of proposed project staff 
(principal investigator, field investigator (if already identified), 
administrative and technical support staff). (25%-Total)
    1. 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%)
    2. The existence of or potential for acquiring safety expertise 
relevant to formulation of injury prevention strategies. (10%)
    C. 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)
    1. The existence of or potential for establishment of a multiple-
source network for identification and reporting of traumatic 
occupational fatalities. (15%)
    2. 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%)
    D. Demonstrated ability to communicate recommended preventions to 
those at risk through targeted dissemination. (25%)
    E. Additional personnel/facilities/equipment already in place that 
can contribute to successful implementation of the project. (5%)
    F. 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, ATTN: Victoria Sepe no 
later than 60 days after the application deadline date. The program 
announcement number 98015 and program title FACE should be referenced 
on the document. 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.

Application Submission and Deadline

    The original and two copies of the application PHS Form 5161-1 (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), Mailstop E-13, 255 
East Paces Ferry Road, NE., Room 300, Atlanta, GA 30305, on or before 
March 31, 1998.
    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 A. 
or B. above are considered late applications. Late applications will 
not be considered and will be returned to the applicants.

Where to Obtain Additional Information

Application Packet

    To receive additional written information call 1-888-GRANTS4. You 
will be asked to leave your name, address, and phone number and will 
need to refer to NIOSH Announcement 98015. 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 NIOSH ANNOUNCEMENT NUMBER 98015 WHEN 
REQUESTING INFORMATION AND SUBMITTING AN APPLICATION.

Internet

    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. For your convenience, you may be able to retrieve a copy 
of the PHS Form 5161-1 (OMB Number 0937-0189) from http://
mercury.psc.dhhs.gov.

Business Management Technical Assistance

    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

    If you have programmatic technical assistance questions you may 
obtain

[[Page 6945]]

information from Paul H. Moore, State FACE Project Officer, telephone 
(304) 285-6016, Internet: [email protected]; Stephanie G. Pratt, State FACE 
Technical Officer, telephone (304) 285-5992, Internet: [email protected], 
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), 1095 Willowdale Road, Mailstop 180P, Morgantown, WV 
26505-2888, or Nancy A. Stout, Ed.D., Director, telephone (304) 285-
5894, Division of Safety Research, National Institute for Occupational 
Safety and Health, Centers for Disease Control and Prevention (CDC), 
1095 Willowdale Road, Mailstop 1172, Morgantown, WV 26505-2888.
    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 5, 1998.
Diane Porter,
Acting Director, National Institute For Occupational Safety and Health 
Centers for Disease Control and Prevention (CDC).
[FR Doc. 98-3406 Filed 2-10-98; 8:45 am]
BILLING CODE 4163-19-P