Creating Healthy Work Organizations; Notice of Availability of Funds for Fiscal Year 1998

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Centers for Disease Control and Prevention

[Announcement 98024]

Creating Healthy Work Organizations; Notice of Availability of

Funds for Fiscal Year 1998

Introduction

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

availability of fiscal year (FY) 1998 funds for a cooperative agreement

program to design, implement, and evaluate organizational change

interventions to create healthy work organizations.

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 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

Applications may be submitted by public and private, non-profit and

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

Internal Revenue Code of 1986 which engages in lobbying activities

shall not be eligible to receive Federal funds constituting an

award, a grant, contract, loan, or any other form of funding.

Availability of Funds

Approximately $240,000 is available in FY 1998 to fund one award.

The project period may last up to three years, depending on

availability of funds, with budget periods of 12 months. It is expected

that the award will begin on or about July 1, 1998. The funding

estimate is subject to change.

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 1998 Department of Labor, Health and Human

Services, and Education, and Related Agencies Appropriations Act (Pub.

L. 105-78) states in Section 503(a) and (b) that no part of any

appropriation contained in this Act shall be used, other than for

normal and recognized executive-legislative relationships, for

publicity or propaganda purposes, for the preparation, distribution, or

use of any kit, pamphlet, booklet, publication, radio, television, or

video presentation designed to support or defeat legislation pending

before the Congress, or any State legislature, except in presentation

to the Congress or any State legislative body itself. 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.

Background

Research over the past 25 years has identified job factors and work

routines which are associated with employee stress and ill-health and

has resulted in lengthy lists of both job stressors and stress-related

health outcomes. A recent conceptual development has been a broadening

of the focus from job stressor-health relationships to overall

organizational health. Organizational health is a more inclusive

concept and refers to enhanced organizational performance (productivity

and effectiveness) plus worker good health. A healthy work organization

is one whose culture/climate, values and practices promote employee

health and company effectiveness. This definition accommodates

heretofore opposing goals: (1) Organizational goals of profitability

and competitiveness, and (2) worker goals of health and well-being.

In 1991, NIOSH initiated a program of research to study healthy

work organizations. The research emphasized the interrelationship of

individual worker well-being and organization effectiveness, and

focused on macro-organization characteristics, in addition to job-level

characteristics, as risk factors for ill health and performance

impairment. NIOSH analyzed organizational climate survey data obtained

from one corporate partner during the years 1993-1995. Over 10,000

workers filled out the anonymous questionnaire, which contained

measures of stress and coping, management practices, individual and

team performance, organizational culture, values, and performance.

Statistical analyses of these cross-sectional data identified key

organizational variables associated with low employee stress and high

organizational effectiveness.

Based on these analyses, NIOSH developed a provisional model of a

healthy work organization which contains three broad, interrelated

categories: Organizational values, culture/climate, and management

practices. Healthy work organizations demonstrate commitment to company

values which emphasize employee growth and development, integrity and

honesty in communication, workforce diversity, and view the individual

worker as a valuable human resource. These organizations have a

culture/climate in which workers (a) are personally valued, (b) have

authority to take actions to solve problems, (c) are

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encouraged by management to express opinions and become involved in

decision-making, and (d) resolve group conflicts effectively.

Management practices in an healthy work organization include (1)

management actively engaged in leadership and strategic planning, (2)

management making the necessary changes to follow through on long term

business strategies, (3) workers recognized for problem-solving and

rewarded for doing quality work, and (4) first line supervisors provide

assistance and resources in helping workers plan for their future.

Beyond these empirically determined characteristics, two additional

factors need to be incorporated into the model: External economic/

market conditions and physical work conditions. External market

conditions exert a strong influence on company profitability and

competitiveness independent of the culture/climate, values, and

management practices. Similarly, a healthy work organization should

meet certain minimum standards for physical working conditions in order

to protect the health and safety of employees.

In summary, the job and organizational characteristics listed above

form a provisional profile of a healthy work organization, and can be

used to design interventions for improving organizational health. The

model is provisional because it has not been validated in various

manufacturing settings and has not been tested across other industry

groups. Furthermore, it is not known whether all of the characteristics

listed above are necessary and sufficient measures of a healthy work

organization, or whether certain combinations of characteristics are

more important than others.

Purpose

The application is to conduct field studies which identify

characteristics of healthy work organizations. The program will focus

on worksite primary prevention efforts, which can involve:

A. Examination of on-going studies in companies where changes are

being, or have been, introduced to improve organizational effectiveness

and employee health, or

B. New studies which test models of healthy work organizations.

Interventions can consist of structural and/or functional changes

targeting culture/climate, values or management practices.

The major objectives should be the development, installation, and

evaluation of interventions to create healthy work organizations.

Project results, in combination with other research, will provide the

basis for recommendations on how to create healthy work organizations.

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. Prepare study protocol and obtain required approvals (e.g.,

institutional review board, etc). The protocol should contain a review

of the pertinent literature on healthy work organizations, a

description of the study methodology, data to be collected, and

proposed analyses of the data. Present the protocol to a panel of

scientific peer reviewers (if required) and revise the protocol as

required for final approval.

2. Perform data collection and management. Data will include

subjective and objective measures of worker health and performance,

company health care costs, and performance/productivity indicators.

3. Evaluate the effectiveness of healthy work organization

interventions in reducing health care costs and stress-related health

conditions while improving organizational productivity and

effectiveness.

4. Prepare a report summarizing the study methodology, results

obtained, and conclusions reached. Develop recommendations (e.g., best

practices) for creating healthy work organizations. Report study

results in the scientific community via presentations at professional

conferences and articles in peer-reviewed journals.

B. CDC/NIOSH Activities

1. Provide scientific and technical collaboration for the

successful completion of this project.

2. Identify reviews and/or clearances that must be fulfilled by the

recipient and, if necessary, assist in convening a scientific peer

review panel to review draft study Sec. protocol.

3. Provide technical assistance, if needed, at key stages of the

study including study design, survey instrument design, interpretation

of results and preparation of written reports.

Technical Reporting Requirements

An original and two copies of a progress report are required

annually. An original and two copies of a final performance report and

Financial Status Report are due no later than 90 days after the end of

the project period.

Annual progress report should include:

A. A brief program description.

B. A listing of program goals and objectives accompanied by a

comparison of the actual accomplishments related to the goals and

objectives established for the period.

C. If established goals and objectives to be accomplished were

delayed, describe both the reason for the deviation and anticipated

corrective action or deletion of the activity from the project.

D. Other pertinent information, including the status of

completeness, timeliness and quality of data.

Application Content

The entire application, including appendices, should not exceed 40

pages and the application 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 future-years objectives and activities.

A. Title Page

The heading should include the title of the program, project title,

organization, name and address, project director's name address 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 and number of

this program agreement, project title, organization, name and address

and telephone number of the project director. This abstract should

include a work plan identifying activities to be developed, specific

activities to be completed, and a time-line 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

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be addressed and the purpose of this project. Prepare a draft protocol

for the study.

2. Include a description of the intervention or change strategy and

an evaluation plan which includes both subjective and objective

measures of antecedent factors and outcomes.

3. Describe clearly the objectives of the project, the steps and

timelines to be taken in planning and implementing the project, and the

respective responsibilities of the applicant for carrying out those

steps.

4. Provide a proposed method of evaluating the accomplishments.

5. Provide documentation of access to potential study sites, and

provide documentation of management and labor support for the study.

6. Document the applicant's expertise in the area of organizational

behavior, organization development, job stress, and psychosocial risk

factors as they pertain to healthy work organization research.

7. 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 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 available facilities including space.

8. Human Subjects: State whether or not Humans are subjects in this

proposed project. (See Human Subjects in the Evaluation Criteria and

Other Requirements sections.)

9. 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.)

10. Provide a detailed budget which indicates: (a) Anticipated

costs for personnel, travel, communications, postage, equipment,

supplies, etc., and (b) all sources of funds to meet those needs.

Evaluation Criteria

The application will be reviewed and evaluated according to the

following criteria:

A. Understanding of the Problem (25%)

Responsiveness to the objective of the program including: (1)

Applicant's understanding of the general objectives of the proposed

cooperative agreement, and (2) evidence of ability to design and

evaluate healthy work organization interventions.

B. Program Personnel (20%)

1. Applicant's technical experience (e.g., in the areas of healthy

work organizations, job stress, organizational behavior, organization

development), and

2. The qualifications and time allocation of the professional staff

to be assigned to this project.

C. Study Design (30%)

1. Adequacy of the study design and methodology for accomplishing

the stated objectives. Steps proposed for implementing this project and

the respective responsibilities of the applicant for carrying out those

steps. Evidence of the applicant's access to companies who will serve

as the study populations (e.g., commitment from company sites for

installing and evaluating the interventions and for providing objective

data for evaluation).

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 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.

D. Project Planning (15%)

The applicant's schedule proposed for accomplishing the activities

to be carried out in this project and for evaluating the

accomplishments.

E. Facilities and Resources (10%)

The adequacy of the applicant's facilities, equipment, and other

resources available for performance of this project.

F. 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.

G. 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

This program is 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

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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, Alaska Native, Asian, Black or African American,

Hispanic or Latino, and Native Hawaiian or other Pacific Islander.

Applicants shall ensure that women, racial and ethnic minority

populations are appropriately represented in applications for research

involving human subjects. Where clear and compelling rationale exists

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 Deadline

1. 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 Sepe, Grants Management Branch,

Procurement and Grants Office, CDC at the address listed in this

section. It should be postmarked no later than April 3, 1998. The

letter should identify Program Announcement number 98024, name of

principal investigator, and address of 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.

2. 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 May 15, 1998.

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 and will be returned to the

applicants.

Where To Obtain Additional Information

Application Packet

To receive additional written information call 1-888-GRANTS4. You

will be asked to leave your name, address, and phone number and will

need to refer to Announcement 98024. 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 98024 when requesting

information and submitting an application.

Internet

This and other CDC announcements are available through the CDC

homepage on the Internet. The address for the CDC homepage is: http://

www.cdc.gov. For your convenience, you may be able to retrieve a copy

of the PHS Form 5161-1 (OMB Number 0937-0189) from http://

mercury.psc.dhhs.gov.

Business Management Technical Assistance

If you have questions after reviewing the contents of all the

documents, business management technical assistance may be obtained

from Victoria Sepe, Grants Management Specialist, Grants Management

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

Prevention (CDC), Mailstop E-13, Room 321, 255 East Paces Ferry Road,

NE., Atlanta, GA 30305, telephone (404) 842-6804, Internet:

[email protected].

Programmatic Technical Assistance

If you have programmatic technical assistance questions you may

obtain information from Lawrence R. Murphy, Ph.D., Motivation and

Stress Research Section, Applied Psychology and Ergonomics Branch,

Division of Biomedical and Behavioral Science, National Institute for

Occupational Safety and Health, Centers for Disease Control and

Prevention (CDC), Mailstop C-24, 4676 Columbia Parkway, Cincinnati, OH

45226-1998, telephone (513) 533-8171, Internet: [email protected].

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: March 5, 1998.

Diane D. Porter,

Acting Director, National Institute For Occupational Safety and Health

Centers for Disease Control and Prevention (CDC).

[FR Doc. 98-6197 Filed 3-10-98; 8:45 am]

BILLING CODE 4163-19-P