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.
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.
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.”
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. Start Printed 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.
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.)
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.
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. Start Printed 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.
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.
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
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?Start Printed 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.
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. Start Printed 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: firstname.lastname@example.org.
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.Start Signature
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