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Grant Analysis

Purpose & Target

This grant, the NIOSH Small Research Grant Program (R03), aims to support small-scale research projects focused on occupational safety and health (OSH). Its core objectives are to understand occupational risks, develop methods to reduce hazards, and translate scientific findings into practical prevention measures. It is SECTOR-SPECIFIC, focusing on areas impacting worker health and safety, guided by the National Occupational Research Agenda (NORA) and NIOSH strategic goals. The target recipients are diverse U.S.-based organizations capable of conducting research, benefiting workers across various industries. The geographic scope is limited to the United States. This is a recurring grant opportunity, part of a larger funding opportunity announcement (FOA) that covers a five-year period.

Financial Structure

This grant operates with a strict budget ceiling: you can request up to $50,000 in total direct costs (including consortium F&A costs) per budget period (typically one year). For the full 2-year project duration, the total direct costs cannot exceed $100,000. The grant does not require any matching funds or cost sharing from the applicant's side. Regarding eligible and ineligible costs, funds are generally not provided for renovation of existing facilities or for purchasing substantial amounts of equipment. Other typical research-related direct costs are generally allowable. Pre-award costs may be permitted under specific conditions as per the HHS Grants Policy Statement. Financial reporting includes submitting an Annual Federal Financial Report (FFR) SF 425 within 90 days after the end of each budget period, and a final FFR 90 days after the project period ends. Awardees must also comply with FFATA (Federal Funding Accountability and Transparency Act) requirements for reporting subawards over $25,000. While not explicitly detailed, standard indirect cost policies for the primary recipient will apply outside the direct cost cap, while consortium F&A costs are explicitly included within the direct cost cap.

Eligibility Requirements

To be eligible for this grant, your organization must be based in the United States. Foreign institutions, non-domestic components of U.S. organizations, and foreign collaborators/consultants are not permitted. Eligible organization types are broad and include:

Higher Education Institutions: Public/State Controlled and Private Institutions of Higher Education. This includes Hispanic-serving Institutions, Historically Black Colleges and Universities (HBCUs), Tribally Controlled Colleges and Universities (TCCUs), Alaska Native and Native Hawaiian Serving Institutions, and Asian American Native American Pacific Islander Serving Institutions (AANAPISIs).
Nonprofit Organizations: Both those with and without 501(c)(3) IRS status.
For-Profit Organizations: This includes Small Businesses and other For-Profit Organizations.
Government Entities: State, County, City or Township, Special District Governments, Federally Recognized and Other Indian/Native American Tribal Governments, Eligible Agencies of the Federal Government, and U.S. Territories or Possessions.
Other Entities: Independent School Districts, Public Housing Authorities/Indian Housing Authorities, Native American Tribal Organizations (other than Federally recognized tribal governments), Faith-based or Community-based Organizations, and Regional Organizations.
Bona Fide Agents: If applying as a bona fide agent of a state or local government, a legal, binding agreement documenting this status is required.
Federally Funded Research and Development Centers (FFRDCs).

All applicant organizations and the designated Program Directors/Principal Investigators (PD/PIs) must complete and maintain active registrations with: DUNS (Dun and Bradstreet Universal Numbering System), SAM (System for Award Management), eRA Commons, and Grants.gov. These registrations can take 6 weeks or more, so it's crucial to start this process early. Applications that exceed the specified 2-year performance limit or the direct cost limit of $50,000 per year (including consortium F&A costs) will be considered non-responsive and will not be reviewed.

Application Process

The application process for the NIOSH Small Research Grant Program (R03) is entirely electronic. You must submit your proposal via Grants.gov using one of the following systems: NIH ASSIST, an institutional system-to-system (S2S) solution, or Grants.gov Workspace. After submission, you'll track your application status through eRA Commons. Key Dates & Deadlines:

Expiration Date: 2025-11-21 23:59:59. This is the last date that applications will be accepted under this funding opportunity announcement. Specific application due dates for new, resubmission, and revision applications follow standard NIH/CDC receipt dates up until this FOA expiration.
Project Period: The total duration of your project may not exceed 2 years.

Required Documentation & Materials:

Adherence to the SF424 (R&R) Application Guide instructions is critical.
PHS 398 Research Plan: This is a core component, limited to 6 pages for the Research Strategy section.
Detailed Budget: A comprehensive budget is required for both the initial and second year of support.
Data Management Plan (DMP): If your project involves collecting or generating public health data, a detailed DMP is mandatory. This plan should describe the data, how it will be accessed (including privacy/security), data standards used, and plans for archival/preservation. A rationale must be provided if data cannot be released.
PHS Human Subjects and Clinical Trials Information form: Required if human subjects are involved.
Appendices: Only limited materials are allowed; do not use them to bypass page limits.

Application Support:

The eRA Service Desk, Grants.gov Customer Support, and GrantsInfo provide assistance with technical submission issues. You can also contact the CDC Technical Information Management Section (TIMS) for form access and general instructions.

Post-Award Requirements:

Annual Research Performance Progress Reports (RPPR) are required.
Annual Federal Financial Reports (FFR) SF 425 must be submitted within 90 days after the end of each budget period.
A final progress report, invention statement, equipment/inventory report, and final FFR are due 90 days after the project ends.
You'll need to submit annual updates on intermediate and end outcomes for a period of 5 years after the project performance period to demonstrate the long-term impact of your research.
Compliance with various federal regulations and policies (e.g., civil rights, data protection, whistleblower protections) is mandatory throughout the award period.

Evaluation Criteria

Applications are rigorously evaluated for their scientific and technical merit through a multi-stage review process. Reviewers will assign an overall impact score, reflecting the project's potential to significantly influence the research field. Key scored review criteria include:

Significance: Does the project address a critical problem in occupational safety and health? Is there a strong scientific basis? How will it improve scientific knowledge, technical capability, or clinical practice? Does it clearly address the Burden, Need, and Impact (BNI) of occupational exposures and hazards, and is it likely to have a practical impact on OSH needs?
Investigator(s): Are the PD(s)/PI(s), collaborators, and other researchers well-suited and experienced for the project? For collaborative projects, is their expertise complementary and is the leadership structure appropriate?
Innovation: Does the application propose novel theoretical concepts, approaches, methodologies, instrumentation, or interventions? Does it challenge existing paradigms or offer significant refinements/improvements?
Approach: Are the overall strategy, methodology, and analyses sound and appropriate for achieving the project aims? Are plans robust and unbiased, managing potential problems and risky aspects effectively? For human subjects or animal studies, are protections and inclusion/exclusion plans justified? For clinical trials, is the study design appropriate, powered adequately, and are data management and statistical analysis plans sound?
Environment: Will the scientific environment and available institutional support, equipment, and resources contribute to project success? Does the project benefit from unique features or collaborative arrangements?

Additional Review Considerations (not separately scored, but crucial):

NORA Sectors and Health and Safety Cross-sectors: Applicants must clearly state which NORA sector(s) and cross-sector(s) the proposed work addresses and how it contributes to specified priority areas.
Research to Practice (r2p): The proposal should demonstrate how it addresses the 'Research to Practice' approach, focusing on translating research findings into effective workplace prevention practices.
Outcomes and Outputs: Clear articulation of expected immediate outputs (e.g., publications, tools) and longer-term intermediate and end outcomes (e.g., policy changes, reduction in injuries/illnesses).
Human Subjects/Vertebrate Animals/Biohazards: Adherence to regulations and ethical guidelines for research involving human subjects, vertebrate animals, or biohazardous materials. This includes justification for their involvement and proposed protections.
Resource Sharing Plans: Reviewers assess the reasonableness of plans for sharing data, model organisms, and genomic data, or the rationale for not sharing.
Budget and Period of Support: Justification for the requested budget and project duration in relation to the proposed research.

Compliance & Special Requirements

This grant comes with significant compliance obligations and special requirements, primarily stemming from its nature as a U.S. federal research grant:

Regulatory Compliance: All awards are subject to the HHS Grants Policy Statement, 45 CFR Part 75, the Occupational Safety and Health Act of 1970, Federal Mine Safety and Health Act, and Section 301 of the Public Health Service Act.
Data Protection and Privacy: If your project involves public health data, a detailed Data Management Plan (DMP) is required, outlining provisions for privacy, confidentiality, and security. The Federal Information Security Management Act (FISMA) applies if you handle federal data.
Ethical Standards: Strict adherence to ethical standards for research involving human subjects (requiring IRB approval) and vertebrate animals (requiring IACUC approval). This includes specific guidelines for the inclusion of women, minorities, and children in research.
Dual Use Research of Concern (DURC): If your research involves certain agents or toxins, it will be reviewed for DURC potential, and you'll need to develop risk mitigation strategies if applicable.
Intellectual Property: A Copyright Interests Provision ensures public access to final, peer-reviewed manuscripts of any work developed under the award, to be made publicly available no later than 12 months after publication via NIH Manuscript Submission (NIHMS) and PubMed Central (PMC).
Inclusion and Accessibility: Recipients must ensure equal access to their programs without discrimination based on race, color, national origin, disability, age, sex, or religion. This also includes providing meaningful access for persons with limited English proficiency.
Specific Exclusions: Funds are generally not provided for facility renovation or substantial equipment purchases.
Unique Aspect - Research to Practice (r2p): A strong emphasis is placed on ensuring your research findings can be translated into practical applications that reduce occupational illness and injury in the workplace. Your proposal must explicitly address how it contributes to this initiative.
Unique Aspect - Burden, Need, Impact (BNI): Proposals are evaluated on how well they describe the burden of the occupational health problem, the need for the proposed research to fill knowledge gaps, and the potential impact of the research in alleviating this burden.

Grant Details