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

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Centers for Disease Control and Prevention

[ANNOUNCEMENT 648]

National Institute for Occupational Safety and Health; Fatality

Surveillance and Field Investigations at the State Level Using the

NIOSH Fatality Assessment and Control Evaluation (FACE) Model

Introduction

The Centers for Disease Control and Prevention (CDC) announces the

availability of fiscal year (FY) 1996 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.

The CDC is committed to achieving the health promotion and disease

prevention objectives of Healthy People 2000, a national activity to

reduce morbidity and mortality and improve the quality of life. This

announcement is related to the priority areas of Occupational Safety

and Health, and Surveillance and Data Systems. (To order a copy of

Healthy People 2000, see the section Where to Obtain Additional

Information.)

Authority

This program is authorized under section 20(a) of the Occupational

Safety and Health Act of 1970 (29 U.S.C. 669(a)) and sections 301 (42

U.S.C. 241) and 317 (42 U.S.C. 247b) of the Public Health Service Act,

as amended.

Smoke-Free Workplace

The CDC strongly encourages all grant recipients to provide a

smoke-free workplace and to promote the nonuse of all tobacco products,

and Public Law 103-227, the Pro-Children Act of 1994, prohibits smoking

in certain facilities that receive Federal funds in which education,

library, day care, health care, and early childhood development

services are provided to children.

Eligible Applicants

Eligible applicants are State Departments of Health, Departments of

Labor, Departments of Industry, etc., located within any State or

territory of the United States. Program activities, however, may not be

carried out by departmental divisions that are responsible for

enforcement of occupational safety and health standards. Awards will be

limited to

[[Page 26521]]

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.

Stronger consideration will be given to those States or territories

submitting applications which demonstrate coordination among relevant

State agencies.

Availability of Funds

Approximately $600,000 will be available in FY 1996 to fund five to

seven awards. It is expected that the awards will range from $60,000 to

$100,000 with an average award of $80,000. Individual awards may vary

by State, and will be based upon the scope and nature of traumatic

occupational fatalities documented by the respondent, and upon proposed

personnel, administrative, and associated costs. The awards will be

made on or about September 30, 1996, 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.

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 seven years, State level

personnel have shown that the NIOSH FACE model for investigation of

occupational fatalities can be successfully implemented in the States.

The most immediate products of the State level FACE programs have been

accurate and timely surveillance systems for detecting traumatic

occupational fatalities occurring within the State, fatality

investigations identifying causal factors, and recommendations for

prevention strategies. This program will permit awardees to efficiently

integrate resources for prevention of occupational fatalities at the

State and local level. Additionally, States will be encouraged to

target occupational traumatic injury research and prevention programs

based on specific State priority areas. FACE data will be shared with

all award recipients. The specific objectives for this cooperative

agreement are as follows:

1. Develop a timely, comprehensive, multiple source State level

surveillance system for identifying and recording basic epidemiologic

data on all traumatic occupational fatalities occurring within the

State.

2. Conduct on-site investigations of specific traumatic

occupational fatalities using the NIOSH FACE investigative model.

3. Through case investigations, identify factors common to selected

types of traumatic occupational fatalities, leading to development and

prioritization of prevention strategies.

4. Develop and disseminate prevention recommendations to reduce the

risk of fatal occupational injuries within the State.

5. Develop and implement prevention strategies and projects for

reducing State incidence of traumatic occupational injuries and

fatalities.

Program Requirements

In conducting activities to achieve the purpose of this program,

the recipient will be responsible for the activities under A.(Recipient

Activities), and CDC/NIOSH will be responsible for the activities under

B. (CDC/NIOSH Activities).

A. Recipient Activities

1. Develop a comprehensive multiple-source, State-level

surveillance system for prompt identification and reporting of

epidemiologic data on all traumatic occupational fatalities occurring

in the State.

2. Conduct in-depth site investigations of targeted occupational

fatalities as determined by NIOSH. Currently, falls from elevations and

machinery-related incidents are targeted fatality types. These are

among the leading causes of work-place fatalities, as identified by

national surveillance systems; however, they may change over the term

of the agreement. Greatest emphasis must be placed on the determined

targets; however, States may choose, in cooperation with NIOSH, to

conduct in-depth investigations of other fatality types identified.

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 CDC's

DocView, World-Wide Web (http://www.cdc.gov/epo/mmwr/mmwr.html).

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6. Identify entities such as employers, unions, and trade

associations that can effect change in the workplace.

7. Communicate recommended preventions to those who can affect

change in the workplace and to those at risk through targeted

dissemination.

8. Prepare and submit periodic status reports of activities in

designated format and an annual report that summarizes the activities

and progress made by the State toward meeting the objectives for the

State FACE program.

9. Participate in annual NIOSH-conducted FACE project workshop/

conference in Morgantown, West Virginia, or other selected site.

B. CDC/NIOSH Activities

1. Provide formats for data reporting forms, coding formats,

computer software, and State personnel training for electronic

transmission of FACE surveillance and investigative data to the NIOSH

data base.

2. Provide assistance to awardee staff in establishing traumatic

occupational fatality notification networks.

3. Provide initial training in procedures and subsequent technical

assistance for conducting on-site fatality investigations using the

FACE investigative methodology (including the use of FACE investigative

data collection instruments).

4. Provide assistance in identifying sentinel events resulting from

industrial applications of new and emerging technologies.

5. Provide technical assistance in the dissemination of summary

reports and other published findings to State and local health and

labor officials, voluntary health groups, workers, unions, employers

and professional organizations.

6. Provide technical assistance in identifying and evaluating

effective intervention strategies.

7. CDC will provide funds to purchase one IBM-compatible, Pentium-

based personal computer, printer, telecommunications equipment, and

needed software for use on appropriate activities related to this

cooperative agreement, if necessary.

[[Page 26522]]

Evaluation Criteria

Evaluation of the applications will be based on the following

criteria:

1. Ability to communicate the scope and nature of traumatic

occupational fatalities in the State as evidenced by the quality of the

narrative and documented research and experience. (10%)

2. The qualifications and time commitment of proposed project staff

(principal investigator, field investigator (if already identified),

administrative and technical support staff). (30%--Total)

a. The existence of or potential for acquiring expertise in

investigation of occupational fatalities. There should be a full-time

field investigator dedicated to the project. (15%)

b. The existence of or potential for acquiring safety expertise

relevant to formulation of injury prevention strategies. (15%)

3. Applicant's collaborative relationships with various relevant

State or territorial agencies or organizations in addressing the

problem of traumatic occupational fatality surveillance, investigation,

and intervention. (30%--Total)

a. The existence of or potential for establishment of a multiple-

source network for identification and reporting of traumatic

occupational fatalities. (15%)

b. The existence of or potential for establishment of relationships

with public safety departments, safety compliance agencies, and other

entities that can provide background and supplementary data relating to

specific fatality cases. (15%)

4. Demonstrated ability to communicate recommended preventions to

those at risk through targeted dissemination. (25%)

5. Additional personnel/facilities/equipment already in place that

can contribute to successful implementation of the project. (5%)

6. Human Subjects. (Not Scored)

Whether or not exempt from the DHHS regulations, are procedures

adequate for protection of human subjects. Recommendations on the

adequacy of protections include: (1) Protections appear adequate, and

there are no comments to make or concerns to raise, (2) protections

appear adequate, but there are comments regarding the protocol, (3)

protections appear inadequate and the Objective Review Group has

concerns related to human subjects, or (4) disapproval of the

application is recommended because the research risks are sufficiently

serious and protection against the risks are inadequate as to make the

entire application unacceptable.

7. Budget Justification. (Not Scored)

The budget will be evaluated to the extent that it is reasonable,

clearly justified, and consistent with the intended use of funds.

Executive Order 12372 Review

Applications are subject to the Intergovernmental Review of Federal

Programs as governed by Executive Order (E.O.) 12372. E.O. 12372 sets

up a system for State and local government review of proposed Federal

assistance applications. Applicants (other than federally recognized

Indian tribal governments) 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. Indian tribes are strongly encouraged to request tribal

government review of the proposed application. 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 or tribal governments have any State process

recommendations on applications submitted to CDC, they should forward

them to Ron Van Duyne, Grants Management Officer, Grants Management

Branch, Procurement and Grants Office, Centers for Disease Control and

Prevention (CDC), Room 300, 255 East Paces Ferry Road, NE., Atlanta, GA

30305, no later than 60 days after the application deadline date. The

granting agency does not guarantee to ``accommodate or explain'' State

or tribal process 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.

Application Submission and Deadline

The original and two copies of the application PHS Form 5161-1 (OMB

Number 0937-0189) must be submitted to Ron Van Duyne, Grants Management

Officer, Grants Management Branch, Procurement and Grants Office,

Centers for Disease Control and Prevention (CDC), Mailstop E-13, 255

East Paces Ferry Road, NE., Room 300, Atlanta, GA 30305, on or before

July 11, 1996:

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 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.)

2. Late Applications: Applications that do not meet the criteria in

1.(a) or 1.(b) above are considered late applications. Late

applications will not be considered in the current competition 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 Announcement 648. You will receive a complete

program description and information on application procedures and

forms.

If you have questions after reviewing the contents of all the

documents, business management technical assistance may be obtained

from Oppie M. Byrd, Grants Management Specialist, Grants Management

Branch, Procurement and Grants Office, Centers for Disease Control and

Prevention (CDC), Mailstop E-13, Room 300, 255 East Paces Ferry Road,

NE., Atlanta, GA 30305, telephone (404) 842-6546, Internet:

[email protected].

Programmatic technical assistance may be obtained from Ted A.

Pettit, State FACE Project Officer, Chief, Trauma Investigations

Section, Surveillance and Field Investigations Branch, NIOSH/Division

of Safety Research, Mailstop 180P, 1095 Willowdale Road, Morgantown, WV

26505-2888, telephone (304) 285-5972, Internet: [email protected],

or Dr. Nancy Stout, Acting Chief, Surveillance and Field Investigations

Branch, NIOSH/Division of Safety Research, Mailstop 180P, 1095

Willowdale Road, Morgantown, WV 26505-2888, telephone (304) 285-5916.

Please refer to Announcement Number 648 when requesting information

and submitting an application.

There may be delays in mail delivery as well as difficulty in

reaching the CDC Atlanta offices during the 1996 Summer Olympics (July

19-August 4). Therefore,

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CDC suggests the following to get more timely responses to any

questions: use Internet/email, follow all instructions in this

announcement, and leave messages on the contact person's voice 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) referenced in the Introduction

through the Superintendent of Documents, Government Printing Office,

Washington, DC 20402-9325, telephone (202) 512-1800.

Dated: May 17, 1996.

Diane D. Porter,

Acting Director, National Institute for Occupational Safety and Health,

Centers for Disease Control and Prevention (CDC).

[FR Doc. 96-13196 Filed 5-24-96; 8:45 am]

BILLING CODE 4163-19-P