[Federal Register: February 7, 2003 (Volume 68, Number 26)]
[Notices]
[Page 6467-6471]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr07fe03-74]
-----------------------------------------------------------------------
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Centers for Disease Control and Prevention
[Program Announcement 03033]
Grants for Dissemination Research of Effective Interventions To
Prevent Unintentional Injuries; Notice of Availability of Funds
Application Deadline: April 8, 2003.
A. Authority and Catalog of Federal Domestic Assistance Number
This program is authorized under section 301(a) (42 U.S.C. 241(a))
of the Public Health Service Act and section 391(a) (42 U.S.C. 280b(a))
of the Public Health Service Act, as amended. The catalog of Federal
Domestic Assistance number is 93.136.
B. Purpose
The Centers for Disease Control and Prevention (CDC) announces the
availability of fiscal year (FY) 2003 funds for grants for
Dissemination Research of Effective Interventions to Prevent
Unintentional Injuries. This program addresses the ``Healthy People
2010'' focus area of Injury and Violence Prevention.
The purposes of the program are to:
1. Solicit research applications that address the priorities
reflected under the ``Programmatic Requirements.''
2. Build the scientific base for the prevention and control of
injuries, disabilities, and deaths.
3. Encourage professionals from a wide spectrum of disciplines of
engineering, epidemiology, medicine, biostatistics, public health, law
and criminal justice, behavioral, and social sciences to perform
research in order to prevent and control injuries more effectively.
4. Encourage investigators to propose research that involves
intervention development and testing as well as research on methods; to
encourage individuals, organizations, or communities to adopt and
maintain effective intervention strategies.
Measurable outcomes of the program will be in alignment with the
following performance goal for the National Center for Injury
Prevention and Control (NCIPC): Develop new or improved approaches for
preventing and controlling death and disability due to injuries.
C. Eligible Applicants
Applications may be submitted by public and private nonprofit and
for-profit organizations and by governments and their agencies; that
is, universities, colleges, research institutions and institutes,
hospitals, managed care organizations, other public and private
nonprofit and for-profit organizations, faith-based organizations,
State and local governments or their bona fide agents, including the
District of Columbia, the Commonwealth of Puerto Rico, the Virgin
Islands, the Commonwealth of the Northern Mariana Islands, American
Samoa, Guam, the Federated States of Micronesia, the Republic of the
Marshall Islands, and the Republic of Palau, federally recognized
Indian tribal governments, Indian tribes, or Indian tribal
organizations, and small, minority, and/or women-owned businesses.
Note: Title 2 of the United States Code section 1611 states that
an organization described in section 501(c)(4) of the Internal
Revenue Code that engages in lobbying activities is not eligible to
receive Federal funds constituting an award, grant or loan.
Applications that are incomplete or non-responsive to the below
requirements will be returned to the applicant without further
consideration:
1. A principal investigator who has conducted research, published
the findings in peer-reviewed journals, and has specific authority and
responsibility to carry out the proposed project.
2. Demonstrated experience on the applicant's project team in
conducting, evaluating, and publishing injury prevention and
dissemination research in peer-reviewed journals.
3. Effective and well-defined working relationships within the
performing organization and with outside entities which will ensure
implementation of the proposed activities.
4. The ability to carry out injury prevention and dissemination
research projects as defined under Attachment 2 (1.a-c). The attachment
is posted with this announcement on the CDC Web site: http://www.cdc.gov/ncipc/ncipchm.htm
.
5. The overall match between the applicant's proposed theme and
research objectives, and the program interests as described under the
heading, ``Program Requirements.''
D. Funding
Availability of Funds
Approximately $450,000 is available in FY 2003 to fund two awards
for this grant program. It is expected that the awards will begin on or
about September 1, 2003, and will be made for a 12-month budget period
within a project period of up to three years. The maximum funding level
for each project will not exceed $225,000 (including both direct and
indirect costs) per year or $675,000 for a three-year project period.
Applications that exceed the funding caps noted above will be
excluded from the competition and returned to the applicant. The
availability of Federal funding may vary and is subject to change.
Consideration will also be given to current grantees who submit a
competitive supplement requesting one year of funding to enhance or
expand existing projects, or to conduct one-year pilot studies. These
awards will not exceed $150,000, including both direct and indirect
costs. Supplemental awards will be made for the budget period to
coincide with the actual budget period of the grant and are based on
the availability of funds.
Continuation awards made after FY 2003, but within the approved
project period, will be made on the basis of the availability of funds
and the following criteria:
a. The accomplishments reflected in the progress report of the
continuation application indicate that the applicant is meeting
previously stated objectives or milestones contained in the project's
annual work plan and satisfactory progress demonstrated through
presentations at work-in-progress monitoring workshops.
b. The objectives for the new budget period are realistic,
specific, and measurable.
c. The methods described will clearly lead to achievement of these
objectives.
d. The evaluation plan will allow management to monitor whether the
methods are effective.
e. The budget request is clearly explained, adequately justified,
reasonable and consistent with the intended use of grant funds.
Use of Funds
Grant funds will not be made available to support the provision of
direct care. Eligible applicants may enter into contracts, including
consortia agreements, as necessary to meet the requirements of the
program and strengthen the overall application.
[[Page 6468]]
Recipient Financial Participation
Matching funds are not required for this program.
E. Program Requirements
Types of Research
The focus of dissemination research sought in this solicitation is
to determine what methods and factors influence the successful adoption
of safety practices or safety policies by individuals, organizations,
or institutions. Dissemination research examines strategies for
promoting uptake, widespread adoption and maintenance of effective
interventions and programs. Interventions are defined as systematic
mechanisms or specific strategies designed to change the knowledge,
attitudes, beliefs, behaviors, or practices of individuals and
populations in order to reduce risk and improve health their health
risk. Effective interventions are defined as interventions that have
credible scientific evidence of effectiveness. Evidence of
effectiveness (for an intervention) refers to the results from a
completed study that has been evaluated by appropriate statistical
methods, through research with control or comparison groups with whom
pre- and post-intervention behavioral outcomes are measured, and found
to have significantly influenced the adoption of safer behaviors or the
reduction of risky behaviors. Uptake refers to the process in which an
individual or population perceives a need for change, acquires
information about interventions, assesses the fit between their need
and the interventions, makes a selection, and prepares relevant others
for implementation of the intervention. This program announcement is
not intended to support just dissemination of effective programs
without research on the process or outcomes, nor is it intended to
support program development or replication studies. Studies can focus
on methods to encourage practitioners and policy makers to adopt
science-based programs, policies and laws that reduce unintentional
injuries. Studies can also examine factors that increase or impede the
individual adoption or organizational and community capacity for
implementing and sustaining effective interventions.
Dissemination research can vary in its application in several ways.
At the level of the individual, family or small group, a safety
innovation typically involves changes in behaviors or lifestyle
practices so that uptake and implementation of the innovation may be
achieved. At the organizational level, such as the workplace, school or
managed care organization, successful uptake may require the
introduction of new programs, or changes in policies, enforcement, or
management support. At a broader community level, facilitation of
uptake may require a planned dissemination process. Dissemination
activities might include the targeted use of mass media or the planned
use of peer leaders to promote the development of new health standards
that many in the community will endorse. Also, policy or legislative
change may be relevant.
The following are the research themes of this solicitation:
1. Product-related dissemination research. Where there are
effective safety products available that are not being sufficiently
used (e.g., bicycle helmets or hip pads for hip fracture prevention in
a fall), achieving satisfactory diffusion of the innovation (whether at
the individual, social or organizational level) requires an
understanding of the barriers and facilitators for change, and
mechanisms for overcoming resistance to change, including in the
marketplace.
2. Social marketing-related dissemination research. Where effective
interventions are being used successfully in one locale, but their
diffusion throughout the culture is non-existent or slow, social
marketing strategies may be effective to influence social norms and
accelerate widespread adoption. It may be useful to select or target
people and institutions at various stages in their willingness to
change, such as early adopters, late adopters, and those who lag behind
in adopting any innovation. Select methods may be necessary to reach
and influence these audiences, such as those who are first
contemplating the possibility of change or those who already intend to
change but have not yet done so. Also, it may be useful to identify
communication channels and systems to support legislation or other
activities that promote widespread adoption. For any dissemination or
diffusion activity, recruiting early adopters to assist in these
efforts might provide role models for others and prove useful to
enhance uptake of the intervention.
Examples
To assist the preparation of the application, note the following
are examples where there is evidence of effective interventions and for
which dissemination research is needed:
1. Increasing the use of bicycle helmets among adolescents.
2. Reducing fall-related injuries among older adults (exercise
programs, medication review programs, hip protectors).
3. Reducing injuries due to residential fires.
4. Increasing the use of safety belts by high risk groups.
5. Reducing alcohol-impaired driving.
6. Increasing the use of booster seats.
7. Reducing young driver crash risks.
(Additional examples of effective strategies and several theory-based
frameworks for dissemination and diffusion research can be found in
Attachment 3, ``Resources,'' of this announcement as posted on the CDC
Web site.)
F. Content
Letter of Intent (LOI)
A LOI is optional for this program. The narrative should be no more
than two single-spaced pages, printed on one side, with one-inch
margins, and unreduced 12-point font. The letter should identify the
announcement number, the name of the principal investigator, and
briefly describe the scope and intent of the proposed research work.
The letter of intent does not influence review or funding decisions,
but the number of letters received will enable CDC to plan the review
more effectively and efficiently.
Applications
The Program Announcement title and number must appear in the
application. Use the information in the Program Requirements, Other
Requirements, and Evaluation Criteria sections to develop the
application content. Your application will be evaluated on the criteria
listed, so it is important to follow them in laying out your program
plan. The narrative should be no more than 25 single-spaced pages,
printed on one side, with one-inch margins, and unreduced 12-point
font.
Applications should follow the PHS-398 (Rev. 5/2001) application
and Errata sheet (see Attachment 4 of this announcement as posted on
the CDC Web site), and the narrative should include the following
information:
1. The project's focus that justifies the research needs and
describes the scientific basis for the research, the expected outcome,
and the relevance of the findings to reduce injury morbidity,
mortality, disability, and economic losses. This focus should be based
on recommendations in ``Healthy People 2010'' and the ``CDC Injury
Research Agenda'' and should seek creative approaches that will
contribute to a national program for injury control.
[[Page 6469]]
2. Specific, measurable, and time-framed objectives.
3. A detailed plan describing the methods by which the objectives
will be achieved, including their sequence. A comprehensive evaluation
plan is an essential component of the application.
4. A description of the principal investigator's role and
responsibilities.
5. A description of all the project staff regardless of their
funding source. It should include their title, qualifications,
experience, percentage of time each will devote to the project, as well
as that portion of their salary to be paid by the grant.
6. A description of those activities related to, but not supported
by the grant.
7. A description of the involvement of other entities that will
relate to the proposed project, if applicable. It should include
commitments of support and a clear statement of their roles.
8. A detailed first year's budget for the grant with future annual
projections, if relevant.
9. An explanation of how the research findings will contribute to
the national effort to reduce the morbidity, mortality and disability
caused by violence-related injuries within three to five years from
project start-up.
An applicant organization has the option of having specific salary
and fringe benefit amounts for individuals omitted from the copies of
the application which are made available to outside reviewing groups.
To exercise this option: on the original and two copies of the
application, the applicant must use asterisks to indicate those
individuals for whom salaries and fringe benefits are not shown;
however, the subtotals must still be shown. In addition, the applicant
must submit an additional copy of page 4 of Form PHS-398, completed in
full, with the asterisks replaced by the salaries and fringe benefits.
This budget page will be reserved for internal staff use only.
G. Submission and Deadline
Letter of Intent (LOI) Submission
On or before March 10, 2003, submit the LOI to the Grants
Management Specialist identified in the ``Where to Obtain Additional
Information'' section of this announcement.
Application Forms
Submit the signed original and two copies of PHS 398 (OMB Number
0925-0001) (adhere to the instructions on the Errata Instruction Sheet
for PHS 398). Forms are available at the following Internet address:
http://www.cdc.gov/od/pgo/forminfo.htm.
If you do not have access to the Internet, or if you have
difficulty accessing the forms on-line, you may contact the CDC
Procurement and Grants Office Technical Information Management Section
(PGO-TIM) at: 770-488-2700. Application forms can be mailed to you.
The application must be received by 4 p.m. eastern time April 8,
2003. Submit the application to: Technical Information Management--
PA03033, CDC Procurement and Grants Office, 2920 Brandywine Road,
Atlanta, GA 30341-4146.
Applications may not be submitted electronically.
CDC Acknowledgment of Application Receipt
A postcard will be mailed by PGO-TIM, notifying you that CDC has
received your application.
Deadline
Letters of intent and applications shall be considered as meeting
the deadline if they are received before 4 p.m. eastern time on the
deadline date. Applicants sending applications by the United States
Postal Service or commercial delivery services must ensure that the
carrier will be able to guarantee delivery of the application by the
closing date and time. If an application is received after closing due
to (1) carrier error, when the carrier accepted the package with a
guarantee for delivery by the closing date and time, or (2) significant
weather delays or natural disasters, CDC will upon receipt of proper
documentation, consider the application as having been received by the
deadline.
Applications which do not meet the above criteria will not be
eligible for competition and will be discarded. Applicants will be
notified of their failure to meet the submission requirements.
H. Evaluation Criteria
Applications
Upon receipt, applications will be reviewed by CDC staff for
completeness and responsiveness as outlined under the ``Eligible
Applicants'' section (items 1-5). Incomplete applications and
applications that are not responsive will be returned to the applicant
without further consideration. It is especially important that the
applicant's abstract reflects the project's focus, because the abstract
will be used to help determine the responsiveness of the application.
Applications which are complete and responsive may be subjected to
a preliminary evaluation (streamline review) by a peer review
committee, the Injury Research Grant Review Committee (IRGRC), to
determine if the application is of sufficient technical and scientific
merit to warrant further review by the IRGRC; CDC will withdraw from
further consideration applications judged to be noncompetitive and
promptly notify the principal investigator/program director and the
official signing for the applicant organization. Those applications
judged to be competitive will be further evaluated by a dual review
process.
Competing supplemental grant awards may be made, when funds are
available, to support research work or activities not previously
approved by the IRGRC. Applications should be clearly labeled to denote
their status as requesting supplemental funding support. These
applications will be reviewed by the IRGRC and the secondary review
group.
All awards will be determined by the Director of the NCIPC based on
priority scores assigned to applications by the primary review
committee IRGRC, recommendations by the secondary review committee of
the Science and Program Review Subcommittee of the Advisory Committee
for Injury Prevention and Control (ACIPC), consultation with NCIPC
senior staff, and the availability of funds.
1. The primary review will be a peer review conducted by the IRGRC.
A committee of reviewers with appropriate expertise will review all
applications for scientific merit using current National Institutes of
Health (NIH) criteria (a scoring system of 100-500 points) to evaluate
the methods and scientific quality of the application. All categories
are of equal importance, however, the application does not need to be
strong in all categories to be judged likely to have a major scientific
impact.
Factors to be considered will include:
a. Significance. Does this study address an important problem? If
the aims of the application are achieved, how will scientific knowledge
be advanced? What will be the effect of these studies on the concepts
or methods that drive this field?
b. Approach. Are the conceptual framework, design, methods, and
analyses adequately developed, well-integrated, and appropriate to the
aims of the project? Does the applicant acknowledge potential problem
areas and consider alternative tactics? Does the project include plans
to measure progress toward achieving the stated objectives? Is there an
appropriate work plan included?
[[Page 6470]]
c. Innovation. Does the project employ novel concepts, approaches
or methods? Are the aims original and innovative? Does the project
challenge or advance existing paradigms, or develop new methodologies
or technologies?
d. Investigator. Is the principal investigator appropriately
trained and well-suited to carry out this work? Is the proposed work
appropriate to the experience level of the principal investigator and
other significant investigator participants? Is there a prior history
of conducting injury-related research?
e. Environment. Does the scientific environment in which the work
will be done contribute to the probability of success? Does the
proposed research take advantage of unique features of the scientific
environment or employ useful collaborative arrangements? Is there
evidence of institutional support? Is there an appropriate degree of
commitment and cooperation of other interested parties as evidenced by
letters detailing the nature and extent of the involvement?
f. Ethical Issues. What provisions have been made for the
protection of human subjects and the safety of the research
environments? How does the applicant plan to handle issues of
confidentiality and compliance with mandated reporting requirements,
(e.g., suspected child abuse)? Does the application adequately address
the requirements of 45 CFR part 46 for the protection of human
subjects? (An application can be disapproved if the research risks are
sufficiently serious and protection against risks is so inadequate as
to make the entire application unacceptable.) The degree to which the
applicant has met the CDC Policy requirements regarding the inclusion
of women, ethnic, and racial groups in the proposed research (see
Attachment 1, AR-2). This includes:
(1) The proposed plan for the inclusion of both sexes and racial
and ethnic minority populations for appropriate representation.
(2) The proposed justification when representation is limited or
absent.
(3) A statement as to whether the design of the study is adequate
to measure differences when warranted.
(4) A statement as to whether the plans for recruitment and
outreach for study participants include the process of establishing
partnerships with community or communities and recognition of mutual
benefits.
g. Study Samples. Are the samples rigorously defined to permit
complete independent replication at another site? Have the referral
sources been described, including the definitions and criteria? What
plans have been made to include women and minorities and their
subgroups as appropriate for the scientific goals of the research? How
will the applicant deal with recruitment and retention of subjects?
h. Dissemination. What plans have been articulated for sharing the
research findings?
i. Measures of Effectiveness. The Peer Review Panel shall assure
that measures set forth in the application are in accordance with CDC's
performance plans. How adequately has the applicant addressed these
measures?
The IRGRC will also examine the appropriateness of the proposed
project budget and duration in relation to the proposed research and
the availability of data required for the project.
2. The secondary review will be conducted by the Science and
Program Review Subcommittee (SPRS) of the ACIPC. ACIPC Federal agency
experts will be invited to attend the secondary review and will receive
modified briefing books (i.e., abstracts, strengths and weaknesses from
summary statements, and project officer's briefing materials). ACIPC
Federal agency experts will be encouraged to participate in
deliberations when applications address overlapping areas of research
interest so that unwarranted duplication in federally funded research
can be avoided and special subject area expertise can be shared. The
NCIPC Division Associate Directors for Science (ADS) or their designees
will attend the secondary review in a similar capacity as the ACIPC
Federal agency experts to assure that research priorities of the
announcement are understood and to provide background regarding current
research activities. Only SPRS members will vote on funding
recommendations, and their recommendations will be carried to the
entire ACIPC for voting by the ACIPC members in closed session. If any
further review is needed by the ACIPC, regarding the recommendations of
the SPRS, the factors considered will be the same as those considered
by the SPRS.
The committee's responsibility is to develop funding
recommendations for the NCIPC Director based on the results of the
primary review, the relevance and balance of proposed research relative
to the NCIPC programs and priorities, and to assure that unwarranted
duplication of federally funded research does not occur. The secondary
review committee has the latitude to recommend to the NCIPC Director,
to reach over better ranked proposals in order to assure maximal impact
and balance of proposed research. The factors to be considered will
include:
a. The results of the primary review including the application's
priority score as the primary factor in the selection process.
b. The relevance and balance of proposed research relative to the
NCIPC programs and priorities.
c. The significance of the proposed activities in relation to the
priorities and objectives stated in ``Healthy People 2010,'' the
Institute of Medicine report, ``Reducing the Burden of Injury,'' and
the ``CDC Injury Research Agenda.''
d. Budgetary considerations.
I. Other Requirements
Technical Reporting Requirements
Provide CDC with an original plus two copies of:
1. Annual progress report. The progress report will include a data
requirement that demonstrates measures of effectiveness.
2. A financial status report, no more than 90 days after the end of
the budget period.
3. Final financial report and performance report, no more than 90
days after the end of the project period.
4. At the completion of the project, the grant recipient will
submit a brief (2,500 to 4,000 words written in non-scientific
(laymen's) terms) summary highlighting the findings and their
implications for injury prevention programs, policies, environmental
changes, etc. The grant recipient will also include a description of
the dissemination plan for research findings. This plan will include
publications in peer-reviewed journals and ways in which research
findings will be made available to stakeholders outside of academia,
(e.g., state injury prevention program staff, community groups, public
health injury prevention practitioners, and others). CDC will place the
summary report and each grant recipient's final report with the
National Technical Information Service (NTIS) to further the agency's
efforts to make the information more available and accessible to the
public.
Send all reports to the Grants Management Specialist identified in
the ``Where to Obtain Additional Information'' section of this
announcement.
Additional Requirements
The following additional requirements are applicable to this
program. For a complete description of each see Attachment 1 of the
application kit, as posted on the CDC Web site.
[[Page 6471]]
AR-1 Human Subjects Certification
AR-2 Requirements for inclusion of Women and Racial and Ethnic
Minorities in Research
AR-3 Animal Subjects Requirement
AR-9 Paperwork Reduction Requirements
AR-10 Smoke-Free Workplace Requirement
AR-11 Healthy People 2010
AR-12 Lobbying Restrictions
AR-13 Prohibition on Use of CDC funds for Certain Gun Control
Activities
AR-21 Small, Minority, and Women-owned Business
AR-22 Research Integrity
Executive Order 12372 does not apply to this program.
J. Where To Obtain Additional Information
This and other CDC announcements, the necessary applications, and
associated forms can be found on the CDC home page Internet address:
http://www.cdc.gov.
Click on ``Funding,'' then ``Grants and Cooperative Agreements.''
For general questions about this announcement, contact: Technical
Information Management, CDC Procurement and Grants Office, 2920
Brandywine Road, Atlanta, GA 30341-4146. Telephone: (770) 488-2700.
For business management and budget assistance, contact: Van King,
Grants Management Specialist, CDC Procurement and Grants Office, 2920
Brandywine Road, Atlanta, GA 30341-4146. Telephone: (770) 488-2751. E-
mail address: vbk5@cdc.gov.
For program technical assistance, contact: Tom Voglesonger, Program
Manager, Office of the Director, National Center for Injury Prevention
and Control, Centers for Disease Control and Prevention (CDC), 4770
Buford Highway, NE., Mail Stop K-02, Atlanta, GA 30341-3724.
Telephone: (770) 488-4823. E-mail address: TVoglesonger@cdc.gov.
Dated: February 1, 2003.
Sandra R. Manning,
CGFM, Director, Procurement and Grants Office, Centers for Disease
Control and Prevention.
[FR Doc. 03-3025 Filed 2-6-03; 8:45 am]
BILLING CODE 4163-18-P