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Science Administration at the United States National Institute for Occupational Safety and Health
Atlanta Conference on Science and Innovation Policy
September 15-17, 2011
Section 8.a: Global Experiences in Innovation Policy
Maryann D’Alessandro, Ph.D.
Associate Director for Science, NPPTL
NIOSH PPT Program Coordinator
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Case study objective
• Gather information regarding NIOSH strategies and processes to generate annual research plans, priorities, across operating units.
• Use information to generate a consolidated description of these processes.
• Develop and recommend best practices across the Institute
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Overall goals of effective science administration
• Provides a concentrated source for coherent management information (Sandia report, 2010)
• Conveys consistent information for decision making (Sandia report, 2010)
• Links inputs to outputs and outcomes (NIOSH logic model, 2007)
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NIOSH
The mission of NIOSH is to generate new knowledge in the field of occupational safety and health and to transfer that knowledge into practice for the betterment of workers.
The National Institute for Occupational Safety and Health (NIOSH) is the U.S. federal agency responsible for conducting research and making recommendations for the prevention of work-related injury and illness.
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HHSHHS
CDCCDC
NIOSHNIOSH
Department of Health and Human Services
Centers for Disease Control and Prevention
National Institute for Occupational Safety and Health
NIOSH resources
~$6.5 billion
~$294.1 million
~$910.7 billion
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• Office of the Director, NIOSH• Office of Extramural Programs (OEP)• National Personal Protective Technology
Laboratory (NPPTL)• Office of Mine Safety and Health Research
(OMSHR)• Alaska Pacific Regional Office (APRO)
• Division of Respiratory Disease Studies (DRDS)
• Division of Safety Research (DSR)• Health Effects Laboratory Division (HELD)• Education and Information Division (EID)• Division of Applied Research and
Technology (DART)• Division of Surveillance Hazard
Evaluation and Field Studies (DSHEFS)• Division of Compensation Analysis and
Support (DCAS)• Western States Office (WSO)
NIOSH Divisions, Laboratories and Offices
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NIOSH Program Portfolio NIOSH
Industry Sectors (10)
NIOSH
Cross Sector Programs (24)
• Agriculture, forestry, and fishing *
• Construction *• Healthcare and social
assistance• Manufacturing
• Mining *• Oil and Gas Extraction• Public Safety• Services• Transportation,
warehousing, and utilities• Wholesale and retail trade
• Authoritative recommendations development
• Cancer, reproductive, and cardiovascular diseases
• Communications and information dissemination
• Economics• Emergency preparedness
and response• Engineering controls• Exposure assessment• Global collaborations• Health hazard evaluation
(HHE) *• Hearing loss prevention *• Immune, dermal and
infectious diseases
• Musculoskeletal disorders• Nanotechnology• Occupational health
disparities• Personal Protective
Technology (PPT) *• Prevention through design• Radiation dose
reconstruction• Respiratory diseases *• Small business assistance
and outreach• Surveillance• Total worker health• Training grants• Traumatic injury *• Work organization and
stress-related disorders
* Program recently reviewed by the National Academies
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Federal legislation, evaluations and stakeholder involvement help prioritize initiatives
• Federal legislation – OSH Act of 1970
• Evaluations– National Academies reviews of 8 NIOSH programs – Additional National Academies initiatives – NIOSH Board of Scientific Counselors
• Stakeholder involvement– 1977 - First nine Education Research Centers (ERCs) awarded – 1980 - First State-based OSH cooperative agreements established– 1996 - National Occupational Research Agenda (NORA) established– 2006 - Second Decade of NORA begins (Program Portfolio Structure established)
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NIOSH funding mechanisms
• Base budget• Competitive• Reimbursable
– CDC Foundation– External Funding sources
• Other
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NIOSH Project Management and Planning System (NPPM)• Developed in 2004 to account for all funds expended
by project• Evolved to a project management system to track
multiple project dimensions– Project activities – Outputs – Outcomes – Partners – Funding – Milestone tracking
• Reports generated from NPPM support Program and Project reviews
Congressional budget process drives the timing of the planning process
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Number of FY11 NIOSH Intramural Projects by Funding Category
NIOSH Base Budget Competitive ReimbursableCDC
FoundationOther Total
Variability across DLOs 0 - 86 1 - 43 0 - 14 0 - 11 0 1 - 109
Total 367 187 47 18 0 619
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NIOSH Science administration challenges
• There are many needs across all NIOSH sector research programs
• Prioritizing agency resources during tight budgetary times is important
• Approaches to maximize relevance and impact while sustaining innovation are needed
• Dual structure introduces activity alignment complexities
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Questionnaire design
• Dimensions used to survey operational units– Documentation of current processes – Schedule – Roles – Evaluation criteria– Ongoing projects– New starts– Emergency response activities– Emerging issues
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Sample survey questions
• How well documented is the program/budget formulation process that is presently being used?
• What are the steps followed for the process?
• What are the criteria used to evaluate and prioritize proposed projects?
• After a project concept is generated, how are decisions made to fund the project?
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Communication with operational units
• Email and telephone communication described process and information to be gathered with telephone interviews
• Questionnaire emailed to operational unit representative prior to interview
• Science administration team contacted each operational unit by phone to conduct interview
• Processes for each operational unit documented
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Various strategies are used to generate project concepts • Regulation• Advisory committee recommendations• Surveillance• Stakeholder needs• Requests from stakeholders• Relevance• Impact
Uniformly there is significant stakeholder involvement in program and project formulation
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Project selection and monitoring processes vary throughout Institute
• Midyear reviews• Quarterly reviews• Monthly reviews and reporting• Program reviews• Milestone assessments• National academies reviews of select
activitiesAll operating units conduct vigorous reviews of project status (usually midyear), but there is a wide variation on the evaluation criteria used to select future projects
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Jun 2010 Oct 2011
Jan 2011
Dec 2010
LOIs Selected for Preparation of Proposals
Apr 2011
Proposals Submitted
Jul 2010
Call for LOIsOct 2010
LOIs Prepared and Submitted
COMPETITIVE FUNDING (e.g. intramural NORA)
Jun 2010 Oct 2011
Jan 2011
NIOSH PROJECT PLANNING ACTIVITIES
Dec 2010
Request forGoals Issued
Apr 2011
Project Planning Guidance Issued
Jan 2011
GoalsSubmitted
Jun 2010 Oct 2011
Jan 2011
BASE BUDGET FUNDING
Feb 2011 - Apr 2011
FY11 Mid-YearReviews
Apr 2011 - Oct 2011
FY12 Project Selection
Jun 2011
New Projects entered in NPPM
Aug 2011
Announcement of Selected Projects
Aug 2011
NPPM for AllProjects Submitted
FY11-FY12 NIOSH project planning activities
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Candidate best practice strategies
• Competitive and rigorous scientific and stakeholder review process at project conception
• Documented planning process including an agreed upon set of evaluation criteria for project selection
• Harmonized timeline for project formulation activities
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Next steps
• Establish consensus among NIOSH Science Administration Working Group members regarding best practice strategies
• Recommend adoption of best practice strategies to Institute management
• Adopt and implement best practice strategies across the Institute
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Acknowledgements
The efforts of the NIOSH Science Administration Working Group Members to develop the strategy and gather the data for this effort are acknowledged.
Ann Berry, Senior Scientist
John Decker, Senior Scientist
Amia Downes, Public Health Analyst
Amanda Harney, Health Communications Specialist
John Sporrer, Public Health Analyst
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Contact information: Maryann D’Alessandro
[email protected] 412-386-4033
Visit us at: http://www.cdc.gov/niosh
Disclaimer: The findings and conclusions in this presentation are those of the author and have not been formally disseminated by the National Institute for Occupational Safety and Health and should not be construed to represent any agency determination or policy.