NIOSH: Demonstration to Motivate Small Businesses to Adopt Appropriate Hazard Control Technology in a Single Small Business Sector; Fiscal Year 1997 Funds Availability

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