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

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## Record

- **Collection:** Federal Register
- **Document type:** Notice
- **Published:** June 6, 1997
- **Citation:** 62 FR 31112

## Text

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

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/fr%3A97-14768. Public record. Not legal advice.