STATE-BASED OCCUPATIONAL SAFETY AND HEALTH SURVEILLANCE 

RELEASE DATE:  May 25, 2004

PA NUMBER:   PAR-04-106 

Updates:

July 6, 2009 - This PAR has been reissued as (PAR-09-184).

April 20, 2007  - See Notice (NOT-OH-07-003) The purpose of this 
notice is to notify potential applicants of changes.

-May 26, 2006 (NOT-OH-06-004) - see Notice regarding FY 2007 funding and 
supplemental applications

-Conference call, see NOT-OH-05-004

-See clarification, NOT-OH-05-003 and NOT-OH-04-106

EXPIRATION DATE:  August 7, 2007, unless reissued. 

APPLICATION DUE DATE:  Annually on August 6th

Department of Health and Human Services (DHHS)

PARTICIPATING ORGANIZATION: 
Centers for Disease Control and Prevention (CDC) 
 (http://www.cdc.gov)
 
COMPONENT OF PARTICIPATING ORGANIZATION: 
National Institute for Occupational Safety and Health (NIOSH) 
 (http://www.cdc.gov/NIOSH)

Note:  The policies, guidelines, terms, and conditions stated in this 
announcement may differ from those used by the NIH.

CATALOG OF FEDERAL DOMESTIC ASSISTANCE NUMBER(S):  93.957

THIS PA CONTAINS THE FOLLOWING INFORMATION

o Purpose of the PA
o Objectives
o Mechanism(s) of Support 
o Eligible Institutions
o Individuals Eligible to Become Principal Investigators
o Special Requirements
o Where to Send Inquiries
o Submitting an Application
o Supplementary Instructions
o Peer Review Process
o Review Criteria
o Award Criteria
o Required Federal Citations

PURPOSE OF THIS PA  

NIOSH invites applications for cooperative agreements from state agencies to 
establish, maintain or expand state occupational health surveillance 
capacity.  This program is intended to provide state agencies the resources 
to collect data from existing systems that capture information on 
occupational safety and health hazards and effects on workers, to identify 
new sources of occupational safety and health data, to perform occupational 
health and safety surveillance and to develop interventions for reducing 
worker injuries and illnesses in the state.  The purpose of this announcement 
is two-fold.  The first is to provide states an opportunity to conduct a 
Fundamental Occupational Safety and Health Surveillance Program in their 
state. The second purpose is to provide states with an established 
Fundamental Program the opportunity to expand the Fundamental Program to 
address one or more additional priority health conditions in the state 
(Expanded Program).  Because of the need for a national scope of surveillance 
on occupational safety and health concerns, the collaboration of NIOSH and 
the states through a consortium is needed if the objectives of the program 
are to be achieved. Thus, a Consortium of Occupational State-based 
Surveillance (COSS) will be created to guide efforts to improve worker safety 
and health through assessments of conditions and translation of results into 
the workplace.    

This program announcement is intended to continue initiatives and programs 
developed under one or more of the following announcements:  Development of 
Core State-Based Surveillance Model Programs (OH-00-007), Development of New 
or Enhanced Models for State-Based Occupational Surveillance (OH-00-008), 
Program for the Initiation and Development of State-Based Surveillance 
Capacity in Occupational Safety and Health (OH-02-007).

OBJECTIVES

Purpose of the NIOSH Surveillance Program 

Tracking occupational injuries, illnesses, and hazards has been an integral 
part of the NIOSH since its creation by the Occupational Safety and Health 
Act of 1970.  In collaboration with many of its partners, NIOSH has 
established surveillance programs to help describe the magnitude of 
occupational hazards, diseases, injuries and deaths in the U.S. These 
surveillance activities have often documented the Nation’s progress in 
reducing the burden of work-related diseases and injuries.  They have also 
identified many old and new problems that require additional research and 
prevention efforts.  Such efforts include translation into the workplace of 
successful intervention approaches. 

PROGRAM OBJECTIVES

The intended benefit of supporting surveillance programs is to increase the 
level of prevention activity in the state.  This outcome has as a 
prerequisite the collection of data to estimate the magnitude and trend of 
the selected occupational conditions.  Although significant accomplishments 
have been made in occupational health and safety surveillance in the U.S., 
there are still data gaps.  To address these gaps, NIOSH and collaborators 
have developed strategic goals for a surveillance program.  These are:
o Advance the usefulness of surveillance information at the Federal and state 
level for the prevention of occupational illnesses, injuries, and hazards.
o Strengthen the capacity of state agencies to conduct occupational 
surveillance.
o Strengthen surveillance of high-risk industries and occupations, and of 
populations at high risk, including special populations.
o Promote effective occupational health and safety surveillance conducted by 
employers, unions, and other non-governmental organizations.

This program announcement will most directly help advance the second goal to 
strengthen state-based occupational surveillance, and to a lesser extent, 
other goals, including strengthening surveillance of populations at high 
risk. As noted in the NIOSH Strategic Plan, “states have a critical role to 
play in a comprehensive nationwide surveillance system. State agencies with 
unique and independent state-based health data systems, can provide essential 
information for nationwide occupational surveillance. State-based 
surveillance can target intervention efforts at the local and state level. 
Finally, there is a need to increase the capacity of states to carry out 
surveillance and related prevention activities.”

The concept of a state-based occupational health and safety surveillance 
program involving multiple activities was developed from dialogue between 
NIOSH and its state partners and the mutual interests in integrating 
occupational health into mainstream public health practice.  Guidelines for 
the planning and development of surveillance activities and associated 
policy, intervention, and infrastructure activities are described in the 
publication, Minimum and Comprehensive State-based Activities in Occupational 
Safety and Health (NIOSH, 1995; see references at end).  The role of state-
based occupational safety and health surveillance in worker safety and 
health, and the identification of priority occupational safety and health 
conditions are further described in The Role of States in a Nationwide 
Comprehensive Surveillance System for Work-related Diseases, Injuries and 
Hazards.  More recently, the Council of State and Territorial Epidemiologists 
(CSTE, 2003) and NIOSH have completed a set of occupational health indicators 
that provide information about a population’s health status with respect to 
workplace factors that can influence health, along with a companion guide on 
how to access data for each indicator. Thus, NIOSH believes there is a 
comprehensive vision for occupational safety and health surveillance and it 
is now time to initiate a program which will facilitate the implementation of 
this vision by the states.  

Although NIOSH has provided support for single-condition and multiple-
condition surveillance programs, many states have yet to develop the critical 
infrastructure needed to support fundamental occupational health and safety 
surveillance programs. There is ongoing need to foster the initiation of 
state occupational surveillance.  This program announcement provides support 
for fundamental surveillance and for expanded surveillance program(s).  It 
also provides for surveillance-linked intervention recommendations. An 
expanded program must include fundamental activities. 

As part of this program, all awardees are expected to participate in a 
Consortium of  Occupational State-based Surveillance (COSS) that will meet 
twice annually to share and learn from experiences within the group, work 
through issues of common interest, and work to refine state occupational 
safety and health surveillance activities to maximize impact on worker safety 
and health. It is important that data elements which will be shared between 
awardees are managed in a uniform and compatible format.  In addition, for 
the detailed field observations, the methods and data should have sufficient 
commonality to allow for analyses across the states as well as development of 
prevention recommendations.  The COSS will establish a Coordination Committee 
(CC), comprised of one voting representative from each member of the 
consortium, to serve as the main governing board for the conduct of this 
program.  The CC will serve as an advisory body for common or shared 
protocols that may be used.  NIOSH staff will serve as non-voting members of 
the CC.

FUNDAMENTAL PROGRAM 

State agencies interested in conducting a base level of occupational safety 
and health safety surveillance need the ability to conduct population-based 
surveillance of specified occupational health indicators using existing data 
systems.  The Fundamental Program is intended to provide state agencies the 
resources to initiate or continue activities for a state-based surveillance 
program for occupational injuries, diseases, and hazards.  This Fundamental 
Program will contribute to state and local prevention efforts as well as to 
national data concerning magnitude, trend, and distribution of occupational 
health conditions.   

Based on the availability of the data, the public health importance, and the 
opinion that these conditions should be prevented, the following health 
conditions have been identified for the Fundamental Program.

1.  Non-fatal work related injuries and illnesses reported by employers 
2.  Work-related hospitalization 
3.  Fatal work-related injuries
4.  Work-related amputations with days away from work reported by employers
5.  Amputations filed with the state workers’ compensation system 
6.  Hospitalization for work-related burns 
7.  Work-related musculoskeletal disorders with days away from work reported 
by employers
8.  Carpal tunnel syndrome cases filed with the state workers’ compensation 
system
9.  Hospitalization from or with pneumoconiosis 
10. Mortality from or with pneumoconiosis 
11. Acute work-related pesticide-associated illness and injury reported to 
poison control centers
12. Incidence of malignant mesothelioma
13. Elevated blood lead levels among adults 

Additional information about the Fundamental health indicators can be found 
at http://www.cste.org/ under the occupational health indicators. 

Activities for the Fundamental Program will include but are not limited to 
the following:

o Collect and analyze surveillance data for occupational health indicators, 
information on this process has been developed by NIOSH (NIOSH, 1995) and 
CSTE (CSTE, 2003).  At a minimum, the thirteen health indicators identified 
above must be included in the Fundamental Program. 
o Identify and interact with appropriate state partners, local public health 
agencies, and other stakeholders to obtain input on the priority conditions 
for their state.  
o Participate in the COSS and attend their biannual meetings, 
o Prepare an annual performance review of the accomplishments and impact of 
their surveillance program. 

EXPANDED PROGRAM

To be eligible for an Expanded Program award, an applicant must have a 
Fundamental Program or demonstrate prior public assistance support equivalent 
to this program within the last three years for state-based surveillance. The 
Expanded Program is intended to support Fundamental Program activities as 
well as provide states the resources to obtain more in-depth information 
about a priority health condition(s).  Such information is frequently 
required to understand the circumstances and contributors for an occupational 
health condition in order to develop effective preventive measures. It is 
envisioned that the Expanded Program awards will continue the Fundamental 
Program activities and expand the program to include focused surveillance 
effort(s) on a state priority health condition(s). These focused efforts may 
involve more in-depth analysis and dissemination of information using 
existing data sets, and/or new case finding and case follow-up.  Priority 
health conditions selected should address significant and compelling worker 
health and safety problems, and consider opportunities amenable to guide 
intervention efforts to improve worker health and safety, and to monitor 
progress in improving worker health and safety.  Priority occupational safety 
and health conditions or worker groups may be identified through the 
collection and analysis of key occupational indicators, other state data and 
input of key stakeholders.  An important feature of the Expanded Program is 
the identification of opportunities for intervention and prevention 
activities, the evaluation of these efforts and the translation of effective 
efforts to the state and national workplace. The effectiveness of an Expanded 
Program is meeting these goals may be facilitated through collaboration with 
other states and NIOSH.  These collaborations will be enhanced through 
participation in the COSS and regional surveillance efforts with neighboring 
states. 

The ultimate goal for in-depth surveillance activities is to reduce 
occupational fatalities, injuries and disease within the states and 
throughout the nation.  Thus, Expanded applications should not only include 
the Fundamental activities, but should also assist in building state capacity 
for conducting in-depth occupational surveillance, for performing walk-
through visits and making recommendations regarding hazard abatement, and for 
developing and disseminating hazard prevention strategies.  The objectives of 
the state-based Expanded projects are to (1) identify work environments that 
place workers at high risk occupational disease or injury, (2) identify 
potential risk factors, and (3) formulate and disseminate prevention 
strategies to those who can intervene in the workplace.  Expanded 
applications must demonstrate a high potential for implementing a balanced 
program that includes occupational surveillance, field observation of the 
state priority conditions, and the development and dissemination of 
preventive strategies. 

Applications for the Expanded Program should include additional detailed 
surveillance activity plans in areas such as the following:  

o A surveillance system to be used at the state level.  This surveillance 
system should enable the identification of all the occupational incidents 
related to the condition identified by the state. 
o Development and evaluation of prevention strategies for reducing the 
incidence of occupational disease, injuries and fatalities at the state 
level.  
o Conduct in depth analysis of data on interactions of the worker, the work 
environment, and work processes, prevention/intervention strategies aimed at 
reducing occupational injuries in the workplace.  
o Identify one or more priority occupational health and safety conditions or 
worker groups for focused surveillance efforts. 
o Conduct in-depth analysis of occupational health conditions using existing 
data sets, and/or new case findings and case follow-up.  These surveillance 
results may be used by states to develop and implement intervention and 
prevention activities. 
o Identify one or more priority conditions or worker groups for focused 
occupational health and safety surveillance.
o Establish or maintain procedures and policies for performing case follow-up 
of selected condition(s) or worker populations, including methods for 
identifying associated worksites.
o Establish and implement plans to undertake targeted occupational prevention 
activities suggested by the focused surveillance (this may include promoting 
the use of data by others for intervention through dissemination of findings 
or establishing working relationships with enforcement agencies for 
referrals). 
o Establish an evaluation plan to assess effectiveness and impact of the 
focused surveillance activity, including case follow-up and intervention 
and/or prevention procedures and outcomes.
o Conduct periodic analysis, interpretation, and dissemination of 
surveillance data (which may include a data sources assessment, comprehensive 
occupational disease/injury data analysis or strategic planning).
o Conduct periodic surveys as needed to ascertain reporting compliance, 
surveillance or intervention needs, and surveillance program impact.
o Collaborate with neighboring states to establish regional surveillance 
opportunities and enhancement.
o Prepare an annual report of the accomplishments and impact of their 
surveillance program appropriate for public release, included as part of non-
competing continuation application to NIOSH.

Expanded  projects must include the Fundamental occupational injuries and 
illnesses surveillance program (Fundamental Program) as well as new or 
established occupational health indicator surveillance.  If intervention 
studies are proposed, the study plan should contain an evaluation component 
to determine the significance, worth, or circumstances under which the 
intervention is successful.

CONSORTIUM OF OCCUPATIONAL STATE-BASED SURVEILLANCE

An integral part of this initiative is the establishment of a COSS.  The goal 
for this consortium is to have an integrated state-based surveillance program 
that builds on the results of previous projects which were independent state-
based surveillance programs.  A critical role of the COSS will be to assure 
that the data are uniform and comprehensive in order to achieve consistency 
across state assessments.  In addition, for the detailed investigations, the 
methods and data should have sufficient commonality to allow for analyses 
across the states, as well as development of prevention recommendations.  

In future years a Data Coordination Center (DCC) may be established for this 
program through a competitive, peer-reviewed process. If the DCC is 
established, each recipient will be responsible for providing data to the DCC 
in a uniform fashion.  This center would serve as the data resource for the 
analysis by the consortium investigators of the pooled data from all work 
sites in collaboration with the COSS, and these combined data will be 
available for all members of the COSS.   The DCC and the COSS members would 
work together to establish an integrated occupational safety and health 
state-based surveillance consortium.

The COSS will establish a Coordination Committee (CC), comprised of one 
voting representative from each member of the consortium, to serve as the 
main governing board for the conduct of this program.  The CC will serve as 
an advisory body for the common or shared protocols that may be developed for 
use by the members.  Voting members of the Coordination Committee (CC) will 
include the Principal Investigator (PI) for each occupational safety and 
health state-based surveillance award and the PI of the DCC.  NIOSH staff 
will serve as non-voting members of the CC.  The Chairperson will oversee its 
functions and conduct the Coordination Committee meetings.  The CC will 
develop and ensure compliance with policies and procedures, identify and 
prioritize topics for observation, and evaluate protocols proposed by the 
successful applicants.  The CC will ensure that studies are properly 
conducted and monitored, that data are appropriately analyzed and 
interpreted, and that study results are reported in the scientific literature 
in a timely manner and disseminated.

Through the COSS, it is anticipated that critical risk factors for condition-
specific projects will be better defined at both the state and national 
level, so that prevention and intervention strategies can be developed and 
translated into the workplace.  It is anticipated that practitioners in 
occupational safety and health will be able to use the results from this 
project to more quickly and reliably discriminate job tasks that elevate 
risks for condition-specific projects.  With such knowledge, effective job 
design changes or interventions can be developed that reduce occupational 
injuries.  The COSS will combine the expertise and resources of NIOSH staff 
with those of external collaborators.  Individual investigators are 
encouraged to analyze and publish data on their work as soon as feasible.

MECHANISM(S) OF SUPPORT 

This PA will use the U01 award mechanism, which is a cooperative agreement.  
In the cooperative agreement mechanism, the Principal Investigator retains 
the primary responsibility and dominant role for planning, directing, and 
executing the proposed project, with NIOSH staff being substantially involved 
as a partner with the Principal Investigator, as described under the section 
"Cooperative Agreement Terms and Conditions of Award.”

This PA uses “just-in-time” concepts.  This announcement uses the detailed 
budget format that is described in the 398 application kit. This program does 
not require cost sharing as defined in the current NIH Grants Policy 
Statement at http://grants.nih.gov/archive/grants/policy/nihgps_2003/ 

FUNDS AVAILABLE

NIOSH intends to make two types of awards with the following general limits:  
Fundamental awards may have direct costs up to $100,000 per year for three 
years; Expanded awards may have direct costs up to $400,000 per year for up 
to five years.  If an applicant has special circumstances for requesting more 
than these general limits, they must take the following steps:
(1) Submit a letter to the NIOSH scientific program contact under “Where to 
Send Inquiries”, which must be received by that person at least six weeks 
prior to the application deadline,
(2) Obtain agreement that NIOSH will accept the application for 
consideration, and
(3) Identify, in a cover letter sent with the application, the NIOSH contact 
staff member who agreed to accept the application.  

Because the nature and scope of a surveillance project may vary from 
application to application, it is anticipated that the size and duration of 
each award will also vary.  Although the financial plans of NIOSH provide 
support for this program, awards pursuant to this PA are contingent upon the 
availability of funds and the receipt of a sufficient number of meritorious 
applications.

ELIGIBLE INSTITUTIONS 

State Health and/or Labor Departments or their Bona Fide Agents. A Bona Fide 
Agent is an agency/organization identified by the state as eligible to submit 
an application under the state eligibility, in lieu of a state application.  
If you are applying as a bona fide agent of a state government, you must 
provide a letter from the state as documentation of your status.  Place this 
documentation behind the second page of your application form.

INDIVIDUALS ELIGIBLE TO BECOME PRINCIPAL INVESTIGATORS

Any individual with the skills, knowledge, and resources necessary to carry 
out the proposed project is invited to work with their institution to develop 
an application for support.  Individuals from underrepresented racial and 
ethnic groups as well as individuals with disabilities are always encouraged 
to apply for NIOSH programs.

SPECIAL REQUIREMENTS

COSS AND COORDINATION COMMITTEE (CC) MEETINGS

Applicants should include in their budget support for the PI and one other 
person from their institution integrally involved in the project to attend an 
annual program meeting of the COSS.  The meeting will be of two or three days 
duration and will be held at a site mutually acceptable to study 
collaborators.  The initial meeting will be in Atlanta, Georgia.

The applicant should also budget for attendance by the PI at two CC meetings 
during the first year and two in each subsequent year.  For budget 
preparation and project planning purposes, it should be assumed that these 
meetings will be held in Atlanta, Georgia.  However, the CC will determine 
later where and when future CC meetings will be held.  The CC chair will 
coordinate the meetings to review and assess overall progress and provide the 
opportunity for investigators to exchange information and discuss 
surveillance issues.

TERMS AND CONDITIONS OF AWARD

Cooperative Agreement Terms and Conditions of Award

The cooperative agreement is an award instrument establishing an "assistance" 
relationship (in contrast to an "acquisition" relationship) between NIOSH and 
a recipient, in which substantial NIOSH scientific and/or programmatic 
involvement with the recipient is anticipated during performance of the 
activity.  The purpose of NIOSH involvement is to support and/or stimulate 
the recipient's activity by acting as a "partner", while avoiding a dominant 
role, direction, or prime responsibility.  The awardee agrees to the 
provisions of this cooperative agreement mechanism which involve 
collaborative actions with the NIOSH Scientific Program Administrator to 
achieve the project objectives.  It is anticipated that these terms and 
conditions will enhance the relationship between the NIOSH staff and the 
principal investigator(s), and will facilitate the successful conduct and 
completion of the awards.  These agreements will be in addition to, and not 
in lieu of, the relevant NIOSH procedures for grants administration. 

Consistent with this concept, the dominant role and prime responsibility for 
the activity resides with the awardee(s) for the project as a whole, although 
specific tasks and activities in carrying out the studies will be shared among 
the awardees and the NIOSH collaborators where appropriate, including the 
following:

1. Recipient Responsibilities

The recipient will coordinate project activities, scientifically
and administratively, at the awardee institution (state office that 
administers the award) and at the other sites that may be supported by sub-
contractors to this award. The applicant will have primary authority and 
responsibility to do the following:

o establish and maintain a scientific advisory committee to identify relevant 
state-specific issues and priorities for occupational surveillance;

o define objectives and approaches for establishing and enhancing a state-
based occupational surveillance program;

o establish and maintain contacts with appropriate organizations, groups and 
individuals who may provide or use appropriate surveillance data; 

o conduct a review and analysis of existing surveillance data; and

o publish surveillance results, interpretations, and conclusions under the 
terms and conditions of the cooperative agreement award. 

2. NIOSH Responsibilities

NIOSH anticipates having substantial scientific programmatic involvement 
during conduct of this activity.  However the NIOSH role is limited to 
technical assistance, advice, and coordination. NIOSH will do the following:

o serve as a scientific program administrator between the awardee and other 
program staff at NIOSH with experience in the occupational health issues of 
state surveillance programs; 

o provide expert consultation in the area of surveillance and occupational 
epidemiology, if requested by the awardee;

o provide technical advice on data collection, developing operating 
guidelines, quality control procedures, and developing policies/protocols for 
dealing with recurrent situations, if requested by the awardee; and

o facilitate collaborative efforts to compile and disseminate.

WHERE TO SEND INQUIRIES

We encourage inquiries concerning this PA and welcome the opportunity to 
answer questions from potential applicants. Inquiries may fall into three 
areas: scientific, peer review, and financial or grants management issues:  

o Direct your questions about scientific issues to:

Susan B. Board, M.S.
Scientific Program Administrator
Office of Extramural Programs
Centers for Disease Control and Prevention
National Institute for Occupational Safety and Health 
1600 Clifton Road, N.E.
Building 24, Room 1415, MS E-74
Atlanta, GA  30333
Telephone:  (404) 498-2512
FAX:  (404) 498-2571
Email: sboard@cdc.gov 

o Direct your questions about peer review issues to:

Price Connor, Ph.D.
Office of Extramural Programs
National Institute for Occupational Safety and Health
Centers for Disease Control and Prevention
1600 Clifton Road, N.E.
Executive Park Building 24, Room 1618, MS E-74
Atlanta, GA  30333
Telephone: (404) 498-2511
FAX: (404) 498-2571
Email: pconnor@cdc.gov

o Direct inquiries about financial or grants management matters to:

Mr. David Staudt, Contract Specialist
Acquisition and Assistance Field Branch
Centers for Disease Control and Prevention 
626 Cochrans Mill Road
Pittsburgh, Pennsylvania 15236-0070
Telephone:  (412) 386-4458
Email: dstaudt@cdc.gov

SUBMITTING AN APPLICATION

Applications must be prepared using the PHS 398 research grant application 
instructions and forms (rev. 5/2001). Applications must have a Dun and 
Bradstreet (D&B) Data Universal Numbering System (DUNS) number as the 
Universal Identifier when applying for Federal grants or cooperative 
agreements.  The DUNS number can be obtained by calling (866) 705-5711 or 
through the web site at http://www.dunandbradstreet.com.  The DUNS number should be 
entered on line 11 of the face page of the PHS 398 form.  The PHS 398 is 
available at http://grants.nih.gov/grants/funding/phs398/phs398.html in an 
interactive format.  For further assistance contact GrantsInfo, Telephone 
(301) 435-0714, Email: mailto:GrantsInfo@nih.gov

SUPPLEMENTARY INSTRUCTIONS

Special instructions for defining proposed project plans are included in the 
public health service grant guidelines (PHS 398) and should address the 
following questions: (1) What do you intend to do; (2) Why is the work 
important; (3) What has already been done; and (4) How are you going to do 
the work. Items a-d below should be organized to address these questions in 
detail.

a. Specific Aims. Identify the broad, long-term objectives of the proposed 
project and expected accomplishments.  What are the surveillance activities 
that will be established, continued or expanded?

b. Background and Significance. Briefly provide relevant background 
information related to this project, include a critique of existing knowledge 
on the subject and identify information gaps that the proposed project will 
address. Describe the scope and the nature of target condition(s) in the 
applicant’s state. Specifically address how this project is important and 
relevant to public health by relating the specific aims to the broad, long-
term objectives.

c. Preliminary Studies/Progress Report. Pertinent preliminary 
studies/activities conducted by the principal investigator/program director 
should be included to establish past experience and competence in the project 
area. Include a list of references to report providing a summary of the 
surveillance project’s specific aims and the importance of the findings. 
Provide a statement of published and unpublished results and achievements, 
include a list of titles and references for all publications and manuscripts.

d. Project Design and Methods. Describe in detail the project design and 
methods that will be used to achieve the specific aims of the project.  
Specifically describe how the project design and methodology will conduct 
timely surveillance of the target condition, identify cases for in-depth 
observations, and pursue prevention activities at the state level, including 
new methodologies and expected advantages. Discuss potential limitations and 
anticipated difficulties of the proposed project and provide alternative 
approaches to be used to achieve the defined aims. Include a tentative 
timetable for the project.

APPLICATION RECEIPT DATES: Applications submitted in response to this program 
announcement must be received or mailed on or before August 6 of each year and 
must include the program announcement number on the application face page. 

SENDING AN APPLICATION TO NIOSH: Submit a signed, typewritten original of the 
application, including the checklist, and five signed photocopies in one 
package to:

Center for Scientific Review (CSR) 
National Institutes of Health
6701 Rockledge Drive, Room 1040, MSC 7710
Bethesda, MD  20892-7710
Bethesda, MD  20817 (for express/courier service)

APPLICATION PROCESSING: Applications must be received by or mailed on or 
before the receipt dates described at http://grants.nih.gov/grants/dates.htm.
The CSR will not accept any application in response to this PA that is 
essentially the same as one currently pending initial review unless the 
applicant withdraws the pending application.  The CSR will not accept any 
application that is essentially the same as one already reviewed.  This does 
not preclude the submission of a substantial revision of an application 
already reviewed, but such application must include an Introduction 
addressing the previous critique.

Although there is no immediate acknowledgement of the receipt of an 
application, applicants are generally notified of the review and funding 
assignment within 8 weeks. 

PEER REVIEW PROCESS

Applications submitted for this PA will be assigned to NIOSH.  An appropriate 
scientific review group convened by NIOSH in accordance with the standard NIH 
peer review procedures http://www.csr.nih.gov/refrev.htm will evaluate 
applications for scientific and technical merit.  

As part of the initial merit review, all applications will:

o Be discussed and assigned a priority score
o Receive a written critique
o Receive a programmatic review by the NIOSH Secondary Review Committee

REVIEW CRITERIA 

The goals of NIOSH-supported projects are to advance our understanding of the 
occurrence of adverse health and safety outcomes from occupational hazards, 
improve the prevention of disease and injury, and enhance health and safety.  
In the written comments, reviewers will be asked to discuss the following 
aspects of your application in order to judge the likelihood that the 
proposed project will have a substantial impact on the pursuit of these 
goals. The review group will address and consider each of the following 
criteria in assigning the application’s overall score, weighting them as 
appropriate for each application. 

o Significance 
o Approach 
o Innovation
o Investigator
o Environment

Criteria for Fundamental Applications

SIGNIFICANCE:  Does the project address an important occupational problem? If 
the aims of the project are achieved, how do they advance scientific 
knowledge?  Did the applicant communicate the public health importance of the 
selected condition/indicator in the state?  Is the application relevant to 
the objectives outlined in this announcement?  Does the application describe 
the importance of the proposed surveillance and associated activities in 
evaluating and reducing occupational injuries, illnesses or hazards? If the 
aims of the application are achieved, how will state-based occupational 
health and safety capacity be advanced?

APPROACH:  Are the conceptual framework, design, methods, and analyses 
adequately developed, and appropriate to the aims of the project?  Does the 
Principal Investigator acknowledge potential problem areas and consider 
alternative tactics? Are the purpose and operation of the state-based 
surveillance program adequately described? Does the application provide a 
detailed plan (project design and methods) and a realistic schedule for 
accomplishing each of the activities to be carried out in this program? Are 
the conceptual framework and methods adequately developed and appropriate to 
the aims of the project? Are the resources used to operate the surveillance 
system and intervention activity identified?  Are coordination and 
collaboration with relevant local and state agencies described adequately?  
Does the applicant acknowledge potential problem areas and consider 
alternative approaches? Is the time line proposed for the project suitable 
and realistic?

INNOVATION:   Does the project employ concepts, approaches, or objectives for 
surveillance, intervention, dissemination and other associated activities 
that lead to enhanced efficiencies or cost-effectiveness?  Does the project 
propose any relevant new activities or methodologies to enhance the developed 
state-based surveillance program?

INVESTIGATOR:  Is the work proposed appropriate to your experience level as 
the principal investigator and to that of other investigators (if any)? Are 
the principal investigator and collaborators appropriately trained and well-
suited to carry out this work? Is the surveillance and intervention work 
proposed appropriate to the experience level of the principal investigator 
and other investigators?

ENVIRONMENT:  Does the scientific environment in which the work will be done 
contribute to the probability of success?  Are the applicant's facilities, 
equipment, and other resources adequate for the performance of this project?  
Is there evidence of agency support generally, or specific agency commitment 
to support occupational surveillance and associated activities? Is there 
documentation of cooperation from relevant local agencies, state agencies, or 
other participants in the project, where applicable?

BUDGET:  The reasonableness of the proposed budget and the requested period 
of support in relation to the proposed project.

Criteria for Expanded Applications 

SIGNIFICANCE:  Does the project address an important problem(s)? If the aims 
of the application are achieved, how do they advance scientific knowledge?  
Did the Principal Investigator communicate the public health importance of 
the selected condition in the state?  Is the application relevant to the 
objectives outlined in this announcement?  Have the broad, long-term 
objectives of the project and expected accomplishments been defined?  Are the 
need and approaches to link surveillance and prevention activities well-
described? Does the application describe the importance of the proposed 
surveillance and associated activities in evaluating and reducing 
occupational injuries, illnesses or hazards? If the aims of the application 
are achieved, how will state-based occupational health and safety capacity be 
advanced? Has the applicant described an effective and established 
surveillance program?

APPROACH:  Are the conceptual framework, design, methods, and analyses 
adequately developed, well integrated, and appropriate to the aims of the 
project?  Does the applicant demonstrate the ability to maintain the 
Fundamental occupational health and safety surveillance? Has the applicant 
done a critical review of the past efforts, and made appropriate changes? 
Does the applicant build on past efforts? Does the application provide a 
summary report of the previously funded state-based surveillance program, 
including a synopsis of past related surveillance and intervention activities 
and accomplishments, including a list of reports, presentations, and 
education materials? Has the applicant established a state-based surveillance 
program that is comprehensive, including intervention activities linked to 
surveillance activities? Are the purpose and operation of the state-based 
surveillance program adequately described? Does the application provide a 
detailed plan (project design and methods) and a realistic schedule for 
accomplishing each of the activities to be carried out in this program? Does 
the intervention work have an evaluative component? Are the conceptual 
framework and methods adequately developed and appropriate to the aims of the 
project? Are the resources used to operate the surveillance system and 
intervention activity identified?  Are coordination and collaboration with 
relevant local and state agencies described adequately?  Has the applicant 
provided evidence of successful interactions? Does the applicant acknowledge 
potential problem areas and consider alternative approaches? Is the time line 
proposed for the project suitable and realistic?

INNOVATION:  Does the project improve or develop methodologies or 
technologies? Does the project employ state of the art concepts, approaches, 
or objectives for surveillance, intervention, dissemination and other 
associated activities that may lead to enhanced efficiencies or cost-
effectiveness?  Does the project propose any relevant new activities or 
methodologies to enhance the developed state-based surveillance program?

INVESTIGATOR:  Is the work proposed appropriate to your experience level as 
the principal investigator and to that of other investigators (if any)? Are 
the principal investigator and collaborators appropriately trained and well-
suited to carry out this work? Is the surveillance and intervention work 
proposed appropriate to the experience level of the principal investigator 
and other investigators?

ENVIRONMENT:  Does the scientific environment in which the work will be done 
contribute to the probability of success?  Is there evidence of institutional 
support? Are the applicant's facilities, equipment, and other resources 
adequate for the performance of this project?  Is there evidence of agency 
support generally, or specific agency commitment to support occupational 
surveillance and associated activities? Is there documentation of cooperation 
from relevant local agencies, state agencies, or other participants in the 
project, where applicable?

BUDGET:  The reasonableness of the proposed budget and the requested period 
of support in relation to the proposed project.

ADDITIONAL REVIEW CRITERIA:  In addition to the above criteria, the following 
items will be considered in the determination of scientific merit and the 
priority score.

PROTECTION OF HUMAN SUBJECTS FROM RESEARCH RISK: The involvement of human 
subjects and protections from research risk relating to their participation 
in the proposed project will be assessed (See criteria included in the 
section on Federal Citations, below).

INCLUSION OF WOMEN, MINORITIES AND CHILDREN IN SURVEILLANCE PROJECT:  The 
adequacy of plans to include subjects from both genders, all racial and 
ethnic groups (and subgroups), and children as appropriate for the scientific 
goals of the research will be assessed.  Plans for the recruitment and 
retention of subjects will also be evaluated. (See Inclusion Criteria in the 
sections on Federal Citations, below).

CARE AND USE OF VERTEBRATE ANIMALS IN RESEARCH (if applicable):  If 
vertebrate animals are to be used in the project, the five items described 
under Section f of the PHS 398 research grant application instructions (rev. 
5/2001) will be assessed.

PROGRAMMATIC REVIEW CRITERIA

(1) Magnitude and severity of the condition (problem) in the worker 
population.

(2) The potential to fill gaps in nationwide occupational injury and illness 
surveillance.
 
(3) The potential impact of the surveillance program on the prevention of 
occupational health and safety hazards on a state-wide basis.

(4) The commitment of the state to supporting an occupational health and 
safety surveillance program.

(5) The overall balance in types of awards and in geographic location of the 
awards.

AWARD CRITERIA

Applications submitted in response to a PA will compete for available funds 
with all other recommended applications.  The following will be considered in 
making funding decisions:  

o Scientific merit of the proposed project as determined by peer review
o Availability of funds 
o Relevance to surveillance program priorities and program balance

REQUIRED FEDERAL CITATIONS 

HUMAN SUBJECTS PROTECTION: Federal regulations (45CFR46) require that 
applications and proposals involving human subjects must be evaluated with 
reference to the risks of the subjects, the adequacy of protection against 
these risks, the potential benefits of the research to the subjects and 
others, and the importance of the knowledge gained or to be gained. 

Because public health surveillance is the ongoing systematic collection, 
analysis and interpretation of health data for improving worker health and 
safety, applicants should be aware of the HHS human subjects requirements.  
The web site for HHS human subjects protections is  
http://www.hhs.gov/ohrp/humansubjects/guidance/45cfr46.htm

DATA AND SAFETY MONITORING PLAN:  Data and safety monitoring is required for 
all types of clinical trials, including physiologic, toxicity, and dose-
finding studies (phase I), efficacy studies (phase II), efficacy, 
effectiveness and comparative trials (phase III). The establishment of data 
and safety monitoring boards (DSMBs) is required for multi-site clinical 
trials involving interventions that entail potential risk to the 
participants. NIH Policy for Data Safety and Monitoring, NIH Guide for Grants 
and Contracts, June 12, 1998: 
http://grants.nih.gov/grants/guide/notice-files/not98-084.html.  

INCLUSION OF WOMEN AND MINORITIES IN CLINICAL RESEARCH: It is the policy of 
the NIH that women and members of minority groups and their sub-populations 
must be included in all NIH-supported clinical research projects unless a 
clear and compelling justification is provided indicating that inclusion is 
inappropriate with respect to the health of the subjects or the purpose of 
the research. This policy results from the NIH Revitalization Act of 1993 
(Section 492B of Public Law 103-43).

All investigators proposing clinical research should read the "NIH Guidelines 
for Inclusion of Women and Minorities as Subjects in Clinical Research - 
Amended, October, 2001," published in the NIH Guide for Grants and Contracts 
on October 9, 2001 
(http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-001.html); 
a complete copy of the updated Guidelines are available at 
http://grants.nih.gov/grants/funding/women_min/guidelines_amended_10_2001.htm.
The amended policy incorporates: the use of an NIH definition of clinical 
research; updated racial and ethnic categories in compliance with the new OMB 
standards; clarification of language governing NIH-defined Phase III clinical 
trials consistent with the new PHS Form 398; and updated roles and 
responsibilities of NIH staff and the extramural community.  The policy 
continues to require for all NIH-defined Phase III clinical trials that: a) 
all applications or proposals and/or protocols must provide a description of 
plans to conduct analyses, as appropriate, to address differences by 
sex/gender and/or racial/ethnic groups, including subgroups if applicable; 
and b) investigators must report annual accrual and progress in conducting 
analyses, as appropriate, by sex/gender and/or racial/ethnic group 
differences.

INCLUSION OF CHILDREN AS PARTICIPANTS IN RESEARCH INVOLVING HUMAN SUBJECTS: 
The NIH maintains a policy that children (i.e., individuals under the age of 
21) must be included in all human subjects research, conducted or supported 
by the NIH, unless there are scientific and ethical reasons not to include 
them. 

All investigators proposing research involving human subjects should read the 
"NIH Policy and Guidelines" on the inclusion of children as participants in 
research involving human subjects that is available at 
http://grants.nih.gov/grants/funding/children/children.htm. 

REQUIRED EDUCATION ON THE PROTECTION OF HUMAN SUBJECT PARTICIPANTS: NIOSH 
policy requires education on the protection of human subject participants for 
al investigators submitting NIH proposals for research involving human 
subjects. You will find this policy announcement in the NIH Guide for Grants 
and Contracts Announcement, dated June 5, 2000, at 
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html. 

PUBLIC ACCESS TO RESEARCH DATA THROUGH THE FREEDOM OF INFORMATION ACT: The 
Office of Management and Budget (OMB) Circular A-110 has been revised to 
provide public access to research data through the Freedom of Information Act 
(FOIA) under some circumstances.  Data that are (1) first produced in a 
project that is supported in whole or in part with Federal funds and (2) 
cited publicly and officially by a Federal agency in support of an action 
that has the force and effect of law (i.e., a regulation) may be accessed 
through FOIA.  It is important for applicants to understand the basic scope 
of this amendment.  NIH has provided guidance at 
http://grants.nih.gov/grants/policy/a110/a110_guidance_dec1999.htm. 

Applicants may wish to place data collected under this PA in a public 
archive, which can provide protections for the data and manage the 
distribution for an indefinite period of time.  If so, the application should 
include a description of the archiving plan in the study design and include 
information about this in the budget justification section of the 
application. In addition, applicants should think about how to structure 
informed consent statements and other human subjects procedures given the 
potential for wider use of data collected under this award.

STANDARDS FOR PRIVACY OF INDIVIDUALLY IDENTIFIABLE HEALTH INFORMATION: The 
Department of Health and Human Services (DHHS) issued final modification to 
the “Standards for Privacy of Individually Identifiable Health Information”, 
the “Privacy Rule,” on August 14, 2002.  The Privacy Rule is a federal 
regulation under the Health Insurance Portability and Accountability Act 
(HIPAA) of 1996 that governs the protection of individually identifiable 
health information, and is administered and enforced by the DHHS Office for 
Civil Rights (OCR).  

Decisions about applicability and implementation of the Privacy Rule reside 
with the researcher and his/her institution. The OCR website 
(http://www.hhs.gov/ocr) provides information on the Privacy Rule, including 
a complete Regulation Text and a set of decision tools on “Am I a covered 
entity?”  Information on the impact of the HIPAA Privacy Rule on NIH 
processes involving the review, funding, and progress monitoring of grants, 
cooperative agreements, and research contracts can be found at 
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-03-025.html. 

URLs IN NIOSH GRANT APPLICATIONS OR APPENDICES: All applications and 
proposals for NIOSH funding must be self-contained within specified page 
limitations. Unless otherwise specified in an NIH solicitation, Internet 
addresses (URLs) should not be used to provide information necessary to the 
review because reviewers are under no obligation to view the Internet sites.   
Furthermore, we caution reviewers that their anonymity may be compromised 
when they directly access an Internet site.

LOBBYING RESTRICTIONS: 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, 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 no part of PHS appropriated funds, 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 or local legislature, except in presentation to the Congress or any 
state or local legislature itself. No part of the appropriated funds 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 or local legislature.  

Any activity designed to influence action in regard to a particular piece of 
pending legislation would be considered lobbying.  That is lobbying for or 
against pending legislation, as well as indirect or grass roots: lobbying 
efforts by award recipients that are directed at inducing members of the 
public to contact their elected representatives at the Federal or state 
levels to urge support of, or opposition to, pending legislative proposals is 
prohibited.  As a matter of policy, NIOSH/CDC extends the prohibitions to 
lobbying with respect to local legislation and local legislative bodies.

The provisions are not intended to prohibit all interaction with the 
legislative branch, or to prohibit educational efforts pertaining to public 
health.  Clearly there are circumstances when it is advisable and permissible 
to provide information to the legislative branch in order to foster 
implementation of prevention strategies to promote public health.  However, 
it would not be permissible to influence, directly or indirectly, a specific 
piece of pending legislation.

It remains permissible to use NIOSH/CDC funds to engage in activity to 
enhance prevention; collect and analyze data; publish and disseminate results 
of research and surveillance data; implement prevention strategies; conduct 
community outreach services; provide leadership and training; and foster safe 
and healthful environments.

Recipients of NIOSH/CDC grants and cooperative agreements need to be careful 
to prevent NIOSH/CDC funds from being used to influence or promote pending 
legislation.  With respect to conferences, public events, publication, and 
“grass roots” activities that relate to specific legislation, recipients of 
NIOSH/CDC funds should give attention to isolating and separating the 
appropriate use of NIOSH/CDC funds from non-NIOSH/CDC funds.  NIOSH/CDC also 
cautions recipients of NIOSH/CDC funds to be careful not to give the 
appearance that NIOSH/CDC funds are being used to carry out activities in a 
manner that is prohibited under Federal law.

HEALTHY PEOPLE 2010: CDC is committed to achieving the health promotion and 
disease prevention objectives of "Healthy People 2010," a national activity 
for reducing morbidity and mortality and improve the quality of life. This 
RFA is related to one or more focus areas. Potential applicants may obtain a 
copy of "Healthy People 2010" http://www.healthypeople.gov.

AUTHORITY AND REGULATIONS: This program is described in the Catalog of 
Federal Domestic Assistance at http://www.cfda.gov/ and is not subject to the 
intergovernmental review requirements of Executive Order 12372 or Health 
Systems Agency review.  Awards are made under the authorization of Section 
301 of the Public Health Service Act as amended (42 USC 241 and under Federal 
Regulations 42 CFR 52 and 45 CFR Parts 74 and 92. And under the Occupational 
Safety and Health Act of 1970, Section 20(a) (29 USC 669(a)). All awards are 
subject to the terms and conditions, cost principles, and other 
considerations described in the NIH Grants Policy Statement.  The NIH Grants 
Policy Statement can be found at 
http://grants.nih.gov/grants/policy/policy.htm 

The PHS strongly encourages all grant recipients to provide a smoke-free 
workplace and discourage the use of all tobacco products.  In addition, 
Public Law 103-227, the Pro-Children Act of 1994, prohibits smoking in 
certain facilities (or in some cases, any portion of a facility) in which 
regular or routine education, library, day care, health care, or early 
childhood development services are provided to children.  This is consistent 
with the PHS mission to protect and advance the physical and mental health of 
the American people.

USEFUL REFERENCES

NIOSH [1996]. Cincinnati, OH: U.S. Department of Health and Human Services, 
Public Health Service, Centers for Disease Control and Prevention, National 
Institute for Occupational Safety and Health, DHHS (NIOSH) Publication 
No.96-115 (http://www.cdc.gov/niosh/nora.html). 

Morbidity and Mortality Weekly Report (MMWR). A Framework for Assessing the 
Effectiveness of Disease and Injury Prevention. March 27, 1992/Vol.41/Jn.  
The MMWR can be accessed through the world-wide Web at: 
http://www.cdc.gov/mmwr/preview/mmwrhtml/00016403.htm

NIOSH FACE Program: National Institute for Occupational Safety and Health 
website at:  http://www.cdc.gov/niosh/face/faceweb.html

Stanbury M., Rosenman K., and Anderson H [1995]. Guidelines: Minimum and 
Comprehensive State-based Activities in Occupational Health and safety. 
Occupational and Environmental Health Committee. Council of State and 
Territorial Epidemiologists. Association of State and Territorial Health 
Officials.  Cincinnati, OH:  US Department of Health and Human Services 
Public Health Service, Centers for Disease Control and Prevention, National 
Institute for Occupational Health and safety, DHHS (NIOSH) Publication No. 
95-107.

NIOSH-CSTE Surveillance Planning Working Group [2001].   The Role of States 
in a Nationwide Comprehensive Surveillance System for Work-related Diseases, 
Injuries and Hazards.  Council of State and Territorial Epidemiologists.  
Available at:  
http://www.cste.org/pdffiles/FINREP.pdf.  

NIOSH [2001].  Tracking Occupational Injuries, Illnesses, and Hazards:  The 
NIOSH Surveillance Strategic Plan.  Cincinnati, OH:  US Department of Health 
and Human Services Public Health Service, Centers for Disease Control and 
Prevention, National Institute for Occupational Health and Safety, DHHS 
(NIOSH) Publication No. 2001-118.

CDC [2002].  Notice to Readers:  Occupational Health Indicators for Tracking 
Work-Related Health Effects and Their Determinants.  MMWR, November 29, 
2002/51(47):1073-1074.

CDC [2003]. Assessment of the Epidemiologic Capacity in State and Territorial 
Health Departments – United States, 2001.  MMWR, October 31, 2003/52(43): 
1049-1051.


Weekly TOC for this Announcement
NIH Funding Opportunities and Notices


H H S Department of Health
and Human Services

 
  N I H National Institutes of Health (NIH)
9000 Rockville Pike
Bethesda, Maryland 20892