FEDERAL AGENCY:

CENTERS FOR DISEASE CONTROL AND PREVENTION, DEPARTMENT OF HEALTH AND HUMAN SERVICES

AUTHORIZATION:

Public Health Service Act, as amended, Section 301(a), 42 U.S.C. 241(a); Occupational Safety and Health Act of 1970, Section 20(a), 29 U.S.C. 669(a).

OBJECTIVES:

To develop knowledge that can be used in preventing occupational diseases and injuries. Small Business Innovation Research (SBIR) objectives are: to stimulate technological innovation; use small business to meet Federal research and development needs; increase private sector commercialization of innovations derived from Federal research and development; and foster and encourage participation by minority and disadvantaged persons in technological innovation.

USES AND USE RESTRICTIONS:

Funds are available for costs directly attributed to the performance of the research plus certain indirect costs of the institution or agency in accordance with established policies of the Public Health Service. SBIR Phase I grants (of approximately 6-month's duration) are to establish the technical merit and feasibility of a proposed research effort that may lead to a commercial product or process. Phase II grants are for the continuation of the research initiated in Phase I and which are likely to result in commercial products or processes. Only Phase I awardees are eligible to apply for Phase II support.

ELIGIBILITY REQUIREMENTS:

Applicant Eligibility:   Eligible applicants include domestic and foreign, public and private nonprofit and for-profit organizations and by governments and their agencies; that is, universities, colleges, research institutions, hospitals, and other public and private organizations, including State and local governments or their bona fide agents, and federally recognized Indian tribal governments, Indian tribes, or Indian tribal organizations. Racial/ethnic minority individuals, women, and persons with disabilities are encouraged to apply as Principal Investigators.

Beneficiary Eligibility:   Research institutions and agencies as well as workers affected by occupational hazards. SBIR grants can be awarded only to domestic small businesses (entities that are independently owned and operated for profit, are not dominant in the field in which research is proposed, and have no more than 500 employees). Primary employment (more than one-half time) of the principal investigator must be with the small business at the time of the award and during the conduct of the proposed project. In both Phase I and Phase II, the research must be performed in the U.S. and its possessions. To be eligible for funding, a grant application must be approved for scientific merit and program relevance by a scientific review group and a programmatic review committee.

Credentials/Documentation:   Nonprofit Institutions: Costs will be determined by HHS Regulations 45 CFR 74, Subpart Q for nonprofit organizations. State and Local Governments: Costs will be determined in accordance with OMB Circular No. A-87. Profit Institutions: Costs will be determined by Federal Procurement Regulations 48 CFR, Chapter 1, Parts 1 - 31.

Pre-application Coordination:   Not applicable. This program is excluded from coverage under E.O. 12372.

Application Procedure:   Applications should be submitted on Form PHS-398 (rev. 4/98) or the SBIR application forms for the SBIR grants. An original and five copies of the PHS 398 application must be submitted to the Center for Scientific Review, National Institutes of Health, Room 1040, 6701 Rockledge Drive - MSC 7710, Bethesda, MD 20892-7710 or Bethesda, MD 20817 (for express/courier service). A cover letter requesting assignment to the National Institute for Occupational Safety and Health should be included. The PHS-398 Forms should be available from the institutional offices of sponsored research or from the Division of Extramural Outreach and Information Resources, National Institutes of Health, 6701 Rockledge Drive, MSC-7910, Bethesda, MD 20892-7910. Telephone: (301) 435-0714, Internet: http://www.nih.gov/grants/forms.htm. SBIR: Application forms and the Phase I solicitation may be obtained from Peace Technology, 13687, Baltimore Avenue, Laurel, MD 20707-5083. Telephone: (301) 206-9385.

Award Procedure:   Approved grants are funded based on priority score from a scientific review and on program priorities and are made approximately three times per year. Initial award provides funds for first budget period (usually 12 months); a Notice of Grant Award indicates allocations of Federal funds by budget categories, and special conditions, if any; and support recommended for remainder of project period.

Deadlines:   New applications: February 1, June 1, and October 1. Career Development, Small Grants, and Competing Renewal and revised Applications: March 1, July 1, and November 1; SBIR: August 1.

Range of Approval/Disapproval Time:   From 4 to 5 months, with an additional 4 to 5 months for program review and funding.

Appeals:   None.

Renewals:   Applications for renewal will be reviewed in the same manner as a new application and will compete for available funds with other applications.

ASSISTANCE CONSIDERATIONS:

Formula and Matching Requirements:   This program has no statutory formula or matching requirements.

Length and Time Phasing of Assistance:   From 1 to 5 years (renewable, based on competitive applications). SBIR: Phase I SBIR awards are generally for 6 months; Phase II awards normally may not exceed 2 years.

POST ASSISTANCE REQUIREMENTS:

Reports:   Financial status reports (annual); interim progress report (annual); terminal progress report (3 months after end of project); invention statement (annual); and reprints and copies of resulting publications.

Audits:   In accordance with the provisions of OMB Circular No. A- 133 (Revised, June 24, 1997), "Audits of States, Local Governments, and Nonprofit Organizations," nonfederal entities that expend financial assistance of $400,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $400,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular No. A-133. In addition, grants and cooperative agreements are subject to inspection and audits by DHHS and other Federal government officials.

Records:   Financial records, including documents to support entries on accounting records and to substantiate charges to each grant, must be kept readily available for review by personnel authorized to examine PHS grant accounts. Records must be maintained for 3 years after end of each budget period. If questions still remain, such as those raised as a result of audit, related records should be retained until the matter is completely resolved.

FINANCIAL INFORMATION:

Account Identification:   75-0943-0-1-550.

Obligations:   (Grants) FY 01 $38,877,366; FY 02 est $39,000,000; and FY 03 est $39,000,000.

Range and Average of Financial Assistance:   From $30,000 to $400,000; Average: $220,000.

In fiscal year 2001, 75 new and 123 continuation research grants were awarded. In fiscal year 2002, it is estimated that 85 new and 107 continuation research grants will be awarded. It is estimated that 65 new and 125 continuations will be awarded in fiscal year 2003.

REGULATIONS, GUIDELINES, AND LITERATURE:

42 CFR 87, "Grants for Research and Demonstration Relating to Occupational Safety and Health"; PHS Grants Policy Statement, DHHS Publication No. (OASH) 94-50,000, (Rev.) April 1, 1994. SBIR: Public Health Service Omnibus Solicitation for Small Business Innovation Research.

INFORMATION CONTACTS:

Regional or Local Office:  
None. Program Contact: Office of Extramural Programs, National Institute for Occupational Safety and Health, Centers for Disease Control and Prevention, Public Health Service, Department of Health and Human Services, 1600 Clifton Road, NE., MS-E74, Atlanta, GA 30329-4027. Telephone: (404) 498-2530. Grants Management Contact: Office of Financial Resources (OFR), Office of Grants Services, Centers for Disease Control and Prevention, Department of Health and Human Services, 1600 Clifton Road, Mail Stop D-03, Atlanta, GA 30329-4027. Telephone: (770) 488-2700.

Headquarters Office:  
Stephanie L. Shack, 1600 Clifton Rd., NE, Cubicle 4201.23, Mailstop E-74, Atlanta, Georgia 30333 Email: SShack@cdc.gov Phone: (404) 498-2530.

Web Site Address:  
http://www.cdc.gov/niosh/oep

EXAMPLES OF FUNDED PROJECTS:

(1) Dermal Absorption of Cutting Fluid Mixtures - To study interactions between various types of metal working fluids and their effects on skin; (2) Understanding Vibration Injury - To understand the cellular and molecular mechanisms of vibration syndrome in order to define rational counter measures to prevent injury and promote safer use of power tools at work; (3) Force- Repetition Interaction in a Rat Injury Model of C.T.D. - To use a rat injury model of cumulative trauma disorder to examine the interaction between multiple risk factors that contribute to the development of CTD; (4) Electrostatic Sampling of Airborne Microorganisms - To use electrostatic mechanisms to collect the airborne microorganisms, thus collecting the organisms more gently than is currently achievable by the inertial forces in conventional impactors and impingers; (5) Health Disparities Among Health Workers - To determine how job-related physical and psychosocial factors combine to produce disparity in occupationally related musculoskeletal injuries and illnesses between races and socioeconomic classes.

CRITERIA FOR SELECTING PROPOSALS:

Research grant applications will be reviewed on the basis of scientific merit and significance of the project; availability, adequacy, and competence of personnel, facilities, and other resources needed to carry out the project in relation to the type of project proposed; feasibility of accomplishing the project, including the cooperation expected from industry, unions, or other participants in the project, where applicable; likelihood of the project producing meaningful results in terms of contributing to prevention of work-related diseases and injuries; appropriateness of the proposed project period; and appropriateness of the budget.