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

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Centers for Disease Control and Prevention

National Institute for Occupational Safety and Health

[Announcement Number 736]

Intervention Studies in Agricultural Safety and Health; Notice of

Availability of Funds for Fiscal Year 1997

Introduction

The Centers for Disease Control and Prevention (CDC), National

Institute for Occupational Safety and Health (NIOSH), announces that

grant applications are being accepted for innovative small projects

relating to occupational safety and health in the agriculture industry.

Such projects are intended to develop and evaluate the effectiveness of

methods or approaches for preventing injuries and illnesses among

agricultural workers. Thus, this announcement is not intended for

traditional hypothesis-testing research projects to identify and

investigate the relationships between health outcomes and occupational

exposures to hazardous agents.

CDC is committed to achieving the health promotion and disease

prevention objectives of ``Healthy People 2000,'' a national activity

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

announcement is related to the priority area of ``Occupational Safety

and Health.'' (For ordering a copy of ``Healthy People 2000,'' see the

section Where to Obtain Additional Information.)

Authority

This program is authorized under the Public Health Service Act, as

amended, Section 301(a) (42 U.S.C. 241(a)), and the Occupational Safety

and Health Act of 1970, Section 20(a) (29 U.S.C. 669(a)) and Section 22

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

Eligible Applicants

Eligible applicants include nonprofit and for-profit organizations,

universities, colleges, research institutions, and other public and

private organizations, including State and local governments and small,

minority- and/or woman-owned businesses.

Note: An organization described in section 501(c)(4) of the

Internal Revenue Code of 1986 which engages in lobbying activities

shall not be eligible to receive Federal funds constituting an

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

Smoke-Free Workplace

CDC strongly encourages all grant recipients to provide a smoke-

free workplace and promote the non-use of all tobacco products, and

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

certain facilities that receive Federal funds in which education,

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

services are provided to children.

Availability of Funds

About $500,000 is available in fiscal year (FY) 1997 to fund

approximately 3 to 4 project grants. The amount of funding available

may vary and is subject to change. Awards are anticipated to range from

$150,000 to $200,000 in total costs (direct and indirect) per year.

Awards are expected to begin on or about September 1, 1997. Awards will

be made for a 12-month budget period within a project period not to

exceed 3 years. Continuation awards within the project period will be

made on the basis of satisfactory progress and availability of funds.

Use of Funds

Restrictions on Lobbying

Applicants should be aware of restrictions on the use of HHS funds

for lobbying of Federal or State legislative bodies. Under the

provisions of 31 U.S.C. 1352 (which has been in effect since December

23, 1989), recipients (and their subtier contractors) are prohibited

from using appropriated Federal funds (other than profits from a

Federal contract) for lobbying Congress or any Federal agency in

connection with the award of a particular contract, grant, cooperative

agreement, or loan. This includes grants/cooperative agreements that,

in whole or in part, involve conferences for which Federal funds cannot

be used directly or indirectly to encourage participants to lobby or to

instruct participants on how to lobby.

In addition, the FY 1997 HHS Appropriations Act, which became

effective October 1, 1996, expressly prohibits the use of 1997

appropriated funds for indirect or ``grass roots'' lobbying efforts

that are designed to support or defeat legislation pending before State

legislatures. This new law, Section 503 of Public Law No. 104-208,

provides as follows:

Section 503(a) No part of any appropriation contained in this

Act shall be used, other than for normal and recognized executive-

legislative relationships, for publicity or propaganda purposes, for

the preparation, distribution, or use of any kit, pamphlet, booklet,

publication, radio, television, or video presentation designed to

support or defeat legislation pending before the Congress, * * *

except in presentation to the Congress or any State legislative body

itself.

(b) No part of any appropriation contained in this Act shall be

used to pay the salary or expenses of any grant or contract

recipient, or agent acting for such recipient, related to any

activity designed to influence legislation or appropriations pending

before the Congress or any State legislature.

Department of Labor, Health and Human Services, and Education, and

Related Agencies Appropriations Act, 1997, as enacted by the Omnibus

Consolidated Appropriations Act, 1997, Division A, Title I, Section

101(e), Public Law 104-208 (September 30, 1996).

Background

Agricultural workers represent a major workforce in the United

States. The agricultural industry, by classification, includes those

involved in farming, agricultural technology, fishing, and forestry.

The health and safety effects in this industry are diverse, and the

potential for disease and injury covers a wide range of populations and

work.

Hired workers, farm owner-operators, and unpaid family members who

live in the work environment are exposed to the health and safety

hazards of farming in the United States. The number of hired workers

varies widely by season from 600,000 to 950,000 workers (United States

Department of Agriculture (USDA) National Agricultural Statistics

Service, Farm Labor, 1995 and 1996). USDA data show 5.9 million persons

own, operate, and manage farms or are family members who live on these

farms (Farm Costs and Return Survey, 1993). It is unknown how many

children and other family members of migrant or seasonal workers who

are not recorded as working are exposed. These agricultural workers and

their families experience a disproportionate share of fatalities,

injuries and diseases associated with many physical, chemical, and

biological hazards. Because many who work in agriculture are not

covered by traditional protections (e.g., workers' compensation,

Occupational Safety and Health Administration regulations), data on

such injuries are more difficult to reach and available data are likely

to underestimate the scope of the problem.

According to the National Traumatic Occupational Fatality

surveillance system, the fatality rate for agricultural industries is

2.6 times greater than the national average for all industries; the

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average is more than 740 deaths annually. Data from the Bureau of Labor

Statistics Annual Survey for 1994 indicate that the rate for injuries

involving lost workdays in the agricultural industries exceeds all

industry sectors (including mining) except construction and

transportation.

Agricultural workers are also more likely to develop serious work-

related illnesses or disabling conditions. In particular, agricultural

workers experience increased rates of certain forms of lung disease

(e.g., occupational asthma and hypersensitivity pneumonitis);

cumulative trauma disorders such as carpal tunnel syndrome and other

musculoskeletal disorders; noise-induced hearing loss; and certain

types of cancer (e.g., leukemia, non-Hodgkin's lymphoma, and multiple

myeloma).

In 1989, Congress directed CDC to sponsor broad-based, public

health initiatives to reduce the significant injuries and illnesses

among agriculture workers and their families. Through cooperative

agreement awards, the National Institute for Occupational Safety and

Health (NIOSH) established cooperative efforts with universities,

public health departments, and others, to address the research,

surveillance, and intervention priorities of the agricultural industry.

These programs included laboratory research, broad-based epidemiology,

public health surveillance, education and training, and the provision

of basic health and hazard control services in the agricultural

community.

In December 1994, an external review panel evaluated the NIOSH

Agriculture Initiative. The panel recommended that NIOSH continue its

strong support of the Agriculture Initiative; and in addition to its

current efforts, provide for intervention research grants to enable

current and previous collaborators, as well as other groups, the

opportunity to propose innovative research or demonstrations projects.

Interventions include techniques such as engineering control

technologies, model standards, worker participation programs, training,

and community programs to prevent disease or injury. Intervention

research determines the efficacy and efficiency of these techniques or

combinations of these techniques.

Although many intervention strategies have been applied to various

work settings, knowledge about what works best is limited. Employers,

owner-operators, agricultural workers, public decision makers,

cooperative extension services agents, and others, need this

information to make informed decisions about prevention strategies that

work well and support the use of limited resources. Research is needed

to pilot and evaluate prevention intervention efforts which, if

successful, can be adopted on a wider scale in a region or throughout

the nation. This work should be done in cooperation with agricultural

workers and employers to assure consideration of the economic and

organizational factors that determine if interventions will be adopted.

Purpose

NIOSH seeks to prevent work-related diseases and injuries in the

agricultural production industry by designing, implementing, and

evaluating measures to reduce occupational hazards. If prevention

measures are currently unavailable, new technologies should be

developed for controlling hazardous exposures. Such new technologies

must be evaluated to determine if prevention measures are feasible,

even for smaller agricultural operations.

Intervention research--including control technology, educational

programs, health promotion activities, and community-based

initiatives--examines the utility and impact of new and existing

preventive measures in the workplace.

Programmatic Interest

The focus of these grants should facilitate progress in preventing

adverse effects among agricultural workers. A project that is proposed

to develop or test the efficacy of an intervention should be designed

to establish, discover, develop, elucidate, or confirm information

relating to occupational safety and health, including innovative

methods, techniques, and approaches for solving occupational safety and

health problems. These grants should not be directed at the development

of an intervention, but to test the efficacy of a known intervention.

A project that is proposed to demonstrate the effectiveness of an

intervention should address, either on a pilot or full-scale basis, the

technical or economic feasibility of implementing a new/improved

innovative procedure, method, technique, or system for preventing

occupational safety or health problems. A demonstration project should

be conducted in an actual workplace where a baseline measure of the

occupational problem will be defined, the new/improved approach will be

implemented, a follow-up measure of the problem will be documented, and

an evaluation of the benefits will be conducted.

NIOSH and its partners in the public and private sectors developed

the high priority areas identified below to provide a framework to

guide occupational safety and health research in the next decade--not

only for NIOSH but also for the entire occupational safety and health

community. Approximately 500 organizations and individuals outside

NIOSH provided input into the development of the National Occupational

Research Agenda (NORA). This attempt to guide and coordinate research

nationally is responsive to a broadly perceived need to address

systematically those topics that are most pressing and most likely to

yield gains to the worker and the nation. Fiscal constraints on

occupational safety and health research are increasing, making even

more compelling the need for a coordinated and focused research agenda.

NIOSH intends to support projects that facilitate progress in

understanding and preventing adverse effects among workers. The

conditions or examples listed under each category are selected

examples, not comprehensive definitions of the category. Investigators

may also apply in other areas related to agricultural safety and

health, but the rationale for the significance of the research and

demonstrations to agriculture must be developed in the application.

The NORA identifies 21 research priorities. These priorities

reflect a remarkable degree of concurrence among a large number of

stakeholders. The NORA priority research areas are grouped into three

categories: Disease and Injury, Work Environment and Workforce, and

Research Tools and Approaches. This announcement relates primarily to

the priority research area, Intervention Effectiveness Research, number

18 on the list. The NORA document is available through the NIOSH Home

Page: http://www.cdc.gov/niosh/nora.html.

NORA Priority Research Areas

Disease and Injury

1. Allergic and Irritant Dermatitis

2. Asthma and Chronic Obstructive Pulmonary Disease

3. Fertility and Pregnancy Abnormalities

4. Hearing Loss

5. Infectious Diseases

6. Low Back Disorders

7. Musculoskeletal Disorders of the Upper Extremities

8. Traumatic Injuries

Work Environment and Workforce

9. Emerging Technologies

[[Page 24932]]

10. Indoor Environment

11. Mixed Exposures

12. Organization of Work

13. Special Populations at Risk

Research Tools and Approaches

14. Cancer Research Methods

15. Control Technology and Personal Protective Equipment

16. Exposure Assessment Methods

17. Health Services Research

18. Intervention Effectiveness Research

19. Risk Assessment Methods

20. Social and Economic Consequences of Workplace Illness and Injury

21. Surveillance Research Methods

Potential applicants with questions concerning the acceptability of

their proposed work are strongly encouraged to contact the programmatic

technical assistance person identified in this announcement in the

section WHERE TO OBTAIN ADDITIONAL INFORMATION.

Technical Reporting Requirements

Progress reports are required annually as part of the continuation

application (75 days prior to the start of the next budget period). The

annual progress reports must contain information on accomplishments

during the previous budget period and plans for each remaining year of

the project. Financial status reports (FSR) are required no later than

90 days after the end of the budget period.

The final performance and financial status reports are required 90

days after the end of the project period. The final performance report

should include, at a minimum, a statement of original objectives, a

summary of research methodology, a summary of positive and negative

findings, and a list of publications resulting from the project.

Research papers, project reports, or theses are acceptable items to

include in the final report. The final report should stand alone rather

than citing the original application. Three copies of reprints of

publications prepared under the grant should accompany the report.

Evaluation Criteria

Upon receipt, applications will be reviewed by CDC for completeness

and responsiveness. Applications determined to be incomplete or

unresponsive to this announcement will be returned to the applicant

without further consideration. If the proposed project involves

organizations or persons other than those affiliated with the applicant

organization, letters of support and/or cooperation must be included.

Applications that are complete and responsive to the announcement

will be reviewed by an initial review (IRG) group (peer review) in

which they will be determined to be competitive or noncompetitive based

on the review criteria. Applications determined to be noncompetitive

will be withdrawn from further consideration and the principal

investigator/program director and the official signing for the

applicant organization will be promptly notified. Applications judged

to be competitive will be discussed and assigned a priority score.

Review criteria for technical merit are as follows:

1. Technical significance and originality of the proposed project.

2. Appropriateness and adequacy of the study design and methodology

proposed to carry out the project.

3. Qualifications and research experience of the Principal

Investigator and staff, particularly but not exclusively in the area of

the proposed project.

4. Availability of resources necessary to perform the project.

5. Documentation of cooperation from other participants in the

project, where applicable.

6. Adequacy of plans to include both sexes and minorities and their

subgroups as appropriate for the scientific goals of the project.

(Plans for the recruitment and retention of subjects will also be

evaluated.)

7. Appropriateness of budget and period of support.

8. Human Subjects--Procedures adequate for the protection of human

subjects must be documented. Recommendations on the adequacy of

protections include: (1) protections appear adequate and there are no

comments to make or concerns to raise, (2) protections appear adequate,

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

inadequate and the IRG has concerns related to human subjects, or (4)

disapproval of the application is recommended because the research

risks are sufficiently serious and protection against the risks are

inadequate as to make the entire application unacceptable.

The following will be considered in making funding decisions:

1. Quality of the proposed project as determined by peer review.

2. Availability of funds.

3. Program balance among priority areas of the announcement.

Executive Order 12372 Review

Applications are not subject to the review requirements of

Executive Order 12372.

Public Health System Reporting Requirement

This program is not subject to the Public Health System Reporting

Requirements.

Catalog of Federal Domestic Assistance Number

The Catalog of Federal Domestic Assistance number is 93.262.

Other Requirements

Paperwork Reduction Act

Projects that involve the collection of information from 10 or more

individuals and funded by the grant will be subject to review and

approval by the Office of Management and Budget (OMB) under the

Paperwork Reduction Act.

[[Page 24933]]

Human Subjects

The applicant must comply with the Department of Health and Human

Services Regulations, 45 CFR Part 46, regarding the protection of human

subjects. Assurances must be provided to demonstrate that the project

will be subject to initial and continuing review by an appropriate

institutional review committee. The applicant will be responsible for

providing assurance in accordance with the appropriate guidelines

provided in the application kit.

Women and Racial and Ethnic Minorities

It is the policy of the CDC to ensure that women and racial and

ethnic groups will be included in CDC supported research projects

involving human subjects, whenever feasible and appropriate. Racial and

ethnic groups are those defined in OMB Directive No. 15 and include

American Indian, Alaskan Native, Asian, Pacific Islander, Black and

Hispanic. Applicants shall ensure that women and racial and ethnic

minority populations are appropriately represented in applications for

research involving human subjects. Where clear and compelling rationale

exists that inclusion is not feasible, this situation must be explained

as part of the application. In conducting the review of applications

for scientific merit, review groups will evaluate proposed plans for

inclusion of minorities and both sexes as part of the scientific

assessment and assigned score. This policy does not apply to research

studies when the investigator cannot control the race, ethnicity and/or

sex of subjects. Further guidance to this policy is contained in the

Federal Register, Vol. 60, No. 179, Friday, September 15, 1995, pages

47947-47951.

Application Submission and Deadlines

A. Preapplication Letter of Intent

Although not a prerequisite of application, a non-binding letter of

intent-to-apply is requested from potential applicants. The letter

should be submitted to the Grants Management Officer (whose address is

reflected in section B., ``Applications''). It should be postmarked no

later than June 9, 1997. The letter should identify the announcement

number, name of the principal investigator, and specify the priority

area to be addressed by the proposed project. The letter of intent does

not influence review or funding decisions, but it will enable CDC to

plan the review more efficiently, and will ensure that each applicant

receives timely and relevant information prior to application

submission.

B. Applications

Applicants should use Form PHS-398 (OMB Number 0925-0001) and

adhere to the ERRATA Instruction Sheet for Form PHS-398 contained in

the Grant Application Kit. Please submit an original and five copies on

or before July 15, 1997 to: Ron Van Duyne, Grants Management Officer,

Grants Management Branch, Procurement and Grants Office, Centers for

Disease Control and Prevention, (CDC), 255 East Paces Ferry Road, NE.,

Room 321, MS-E13, Atlanta, GA 30305.

C. Deadlines

1. Applications shall be considered as meeting a deadline if they

are either:

A. Received at the above address on or before the deadline date, or

B. Sent on or before the deadline date to the above address, and

received in time for the review process. Applicants should request a

legibly dated U.S. Postal Service postmark or obtain a legibly dated

receipt from a commercial carrier or the U.S. Postal Service. Private

metered postmarks shall not be accepted as proof of timely mailings.

2. Applications which do not meet the criteria above are considered

late applications and will be returned to the applicant.

Where To Obtain Additional Information

To receive an application kit, call (404) 332-4561. You will be

asked to leave your name, address, and telephone number and will need

to refer to announcement 736. You will receive a complete application

kit. Business management information may be obtained from Joanne

Wojcik, Grants Management Specialist, Grants Management Branch,

Procurement and Grants Office, Centers for Disease Control and

Prevention (CDC), 255 East Paces Ferry Road, NE., MS-E13, Atlanta, GA

30305, telephone (404) 842-6535; fax: (404) 842-6513; Internet:

[email protected].

Programmatic technical assistance may be obtained from Roy M.

Fleming, Sc.D., Associate Director for Grants, National Institute for

Occupational Safety and Health, Centers for Disease Control and

Prevention (CDC), 1600 Clifton Road, NE., Building 1, Room 3053, MS-

D30, Atlanta, GA 30333, telephone (404) 639-3343; fax: (404) 639-4616;

Internet: [email protected].

Please Refer to Announcement Number 736 When Requesting Information and

Submitting an Application

This and other CDC Announcements can be found on the CDC home page

at http://www.cdc.gov.

CDC will not send application kits by facsimile or express mail.

Potential applicants may obtain a copy of ``Healthy People 2000''

(Full Report, Stock No. 017-001-00474-0) or ``Healthy People 2000''

(Summary Report, Stock No. 017-001-00473-1) through the Superintendent

of Documents, Government Printing Office, Washington, DC 20402-9325,

telephone (202) 512-1800.

Dated: May 1, 1997.

Diane D. Porter,

Acting Director, National Institute for Occupational Safety and Health,

Centers for Disease Control and Prevention (CDC).

[FR Doc. 97-11879 Filed 5-6-97; 8:45 am]

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