Title 42—Public Health--Volume 1
PART 86—GRANTS FOR EDUCATION PROGRAMS IN OCCUPATIONAL SAFETY AND HEALTH
§ 86.1   Applicability.
The regulations of this part are applicable to the award of training grants and direct traineeships pursuant to section 21(a)(1) of the Occupational Safety and Health Act of 1970 (29 U.S.C. 670(a)(1)) to assist in providing an adequate supply of qualified personnel to carry out the purposes of the Act.
§ 86.2   Definitions.
Any term not defined herein shall have the same meaning as given it in the Act. As used in this part:
(a) Act means the Occupational Safety and Health Act of 1970 (29 U.S.C. 651 et seq. ).
(b) [Reserved]
(c) Secretary means the Secretary of Health and Human Services and any other officer or employee of the Department of Health and Human Services to whom the authority involved has been delegated.
(d) State means a State of the United States, the District of Columbia, Puerto Rico, the Virgin Islands, American Samoa, Guam, and the Trust Territory of the Pacific Islands.
(e) Training means job-specific skill development, the purpose of which is to provide qualified personnel to carry out the purposes of the Act.
§ 86.3   Inventions and discoveries.
Any grant award pursuant to § 86.14 or § 86.33 is subject to the regulations of the Department of Health and Human Services as set forth in 45 CFR parts 6 and 8, as amended. Such regulations shall apply to any activity for which grant funds are in fact used whether within the scope of the project as approved or otherwise. Appropriate measures shall be taken by the grantee and by the Secretary to assure that no contracts, assignments or other arrangements inconsistent with the grant obligation are continued or entered into and that all personnel involved in the supported activity are aware of and comply with such obligations. Laboratory notes, related technical data, and information pertaining to inventions and discoveries shall be maintained for such periods, and filed with or otherwise made available to the Secretary, or those he may designate at such times and in such manner, as he may determine necessary to carry out such Department regulations.
§ 86.4   Publications and copyrights.
Except as may otherwise be provided under the terms and conditions of the award, the grantee may copyright without prior approval any publications, films or similar materials developed or resulting from a project supported by a grant under this part, subject, however, to a royalty-free, nonexclusive, and irrevocable license or right in the Government to reproduce, translate, publish, use, disseminate, and dispose, of such materials and to authorize others to do so.
§ 86.5   Grant appeals procedure.
The informal Public Health Service procedure for resolution of post-award grant disputes set forth in subpart D of part 50 of this title and the Department post-award grant appeals procedure in 45 CFR part 16 are applicable to any award made pursuant to this part.
§ 86.10   Nature and purpose of training grants.
(a) Long-term training project grant. A long-term training project grant is an award of funds to an eligible institution or agency, hereinafter called the “grantee,” to pay part or all of the costs of organized identifiable activities, hereinafter termed the “project,” that are undertaken to establish, strengthen, or expand graduate, undergraduate, or special training, of persons in the field of occupational safety and health. Such grants may be used to support training in, for example, occupational medicine, industrial hygiene, industrial nursing and occupational safety engineering and the training of technicians and paraprofessionals in such areas.
(b) Short-term training project grant. A short-term training project grant is an award of funds to an eligible institution or agency, hereinafter called the “grantee,” to pay part or all of the costs of organized identifiable activities, hereinafter termed the “project” that are undertaken to provide intensive training programs of less than 1 year for any one or a combination of the following purposes:
(1) To provide specialized instruction for occupational safety and health professional or career personnel which will increase their competence in an area in their respective fields.
(2) To prepare or expand the capabilities of occupational safety and health professional or career personnel for leadership roles as administrators or supervisors, and
(3) To prepare or expand the teaching capabilities of occupational safety and health professionals and career personnel.
(c) Educational Resource Center Grant. An educational resource center grant is an award of funds to an eligible institution or agency, hereinafter called the “grantee,” to pay part or all of the costs of organized identifiable activities, hereinafter termed the “project,” that are undertaken to provide for the combination of long-term and short-term training activities as described in § 86.13 (c).
§ 86.11   Eligibility.
(a) Eligible applicants. Any public or private educational or training agency or institution located in a state is eligible to apply for a grant under this subpart.
(b) Projects eligible for long-term or short-term training grants or educational resource center grants. Any project found by the Secretary to be a long-term training project within the meaning of § 86.10(a) or a short-term training project within the meaning of § 86.10(b) or an educational resource center grant project within the meaning of § 86.10(c) shall be eligible for a grant award. However, no applicant is eligible for assistance for a separate training project grant in any project period in which it receives an educational resource center grant. Nothing in the section shall prevent an existing training grant from being incorporated into an educational resource center grant award.
§ 86.12   Application for a grant.
(a) An application for a grant under this subpart shall be submitted to the Secretary at such time and in such form and manner as the Secretary may prescribe. 1 The application shall contain a full and adequate description of the project and of the manner in which the applicant intends to conduct the project in accordance with the requirements of this subpart, and a budget and justification of the amount of grant funds requested, and such other pertinent information as the Secretary may require.
1 Applications and instructions may be obtained from the Procurement and Grants Office, Centers for Disease Control, Atlanta, GA 30333.
(b) The application shall be executed by an individual authorized to act for the applicant and to assume for the applicant the obligations imposed by the regulations of this subpart and any additional conditions of the grant.
§ 86.13   Project requirements.
(a) An approvable application for a long-term training grant must contain each of the following, unless the Secretary determines that the applicant has established good cause for its omission.
(1) Provision of a method for development of the training curriculum and any attendant training materials and resources;
(2) Provision of a method for implementation of the needed training;
(3) Provision of an evaluation methodology, including the manner in which such methodology will be employed, to measure the achievement of the objectives of the training program; and
(4) Provision of a method by which trainees will be selected.
(b) In addition to the requirements set forth in paragraph (a) of this section, an approvable application for a short-term training grant must contain each of the following, unless the Secretary determines that the applicant has established good cause for its omission.
(1) Provision of a methodology to assess the particular skills, or knowledge that prospective trainees need to develop;
(2) Provision of at least 18 hours of formal instruction for a period of not less than 2 1/2 days and not more than 1 academic year; and
(3) Assurances that no portion of the Federal funds will be used for (i) inservice training courses designed only for employees of a single agency, institution, or organization; (ii) correspondence courses; (iii) regular courses usually given for academic credit; or (iv) training the grantee's financial officers, program director, or the official who executed the application.
(c) In addition to the requirements set forth in paragraphs (a), (b)(1), and (b)(3) (ii), (iii) and (iv) of this section, an approvable application for an educational resource center grant must contain each of the following, unless the Secretary determines that the applicant has established good cause for its omission:
(1) A description, supported by appropriate documents, of cooperative arrangements to conduct an educational resource center among a medical school (with an established program in preventive or occupational medicine), a school of nursing, a school of public health or its equivalent, and a school of engineering or its equivalent. Other schools or departments with relevant disciplines and resources—e.g., toxicology, biostatistics, environmental health, law, business administration, education—may be represented and contribute as appropriate to the conduct of the total program.
(2) The identification of an educational resource center Director who possesses a demonstrated capacity for sustained productivity and leadership in occupational safety and health training who shall oversee the general operation of the educational resource center program and shall, to the extent possible, directly participate in training activities.
(3) A description of the full-time professional staff representing various disciplines and qualifications relevant to occupational safety and health and capable of planning, establishing, and carrying out or administering training projects undertaken by the educational resource center.
(4) A description of the training and research expertise, appropriate facilities and ongoing training and research activities in occupational safety and health areas.
(5) A description of its program for conducting education and training of occupational health physicians, occupational health nurses, industrial hygienists/engineers and safety personnel. There shall be full-time students in each of these core disciplines, with a goal of a minimum total of 30 full-time students. Training may also be conducted in other occupational safety and health career categories, e.g., industrial toxicology, biostatistics, epidemiology, and ergonomics. Training programs shall include appropriate field experience including experience with public health and safety agencies and labor-management health and safety activities.
(6) A specific plan for making an impact on the curriculum taught by relevant medical specialties, including radiology, orthopedics, dermatology, internal medicine, neurology, perinatal medicine, and pathology.
(7) A description of its program to assist other institutions or agencies located within the applicant's region including schools of medicine, nursing and engineering, among others, by providing curriculum materials and consultation for curriculum/course development in occupational safety and health, and by providing training opportunities for faculty members.
(8) A specific plan for preparing, distributing, and conducting courses, seminars and workshops to provide short-term and continuing education training courses for physicians, nurses, industrial hygienists, safety engineers and other occupational safety and health professionals, paraprofessionals and technicians, including personnel of labor-management health and safety committees, in the geographical region in which the educational resource center is located. The content and orientation of the curriculum/courses shall take into consideration and address problems relevant to the geographic region served. The goal shall be that the training be made available each year to a minimum of 200-250 trainees representing all of the above categories of personnel with priority given to providing occupational safety and health training to physicians in family practice, as well as in industrial practice, and industrial nurses. These courses shall be structured so that educational institutions, public health and safety agencies, professional societies or other appropriate agencies can utilize them to provide training at the local level to occupational safety and health personnel working in the workplace. Further, the educational resource center shall have a specific plan and demonstrated capability for implementing such training directly and through other institutions or agencies in the region including cooperative efforts with labor unions and industry trade associations where appropriate.
§ 86.14   Evaluation and grant award.
Within the limits of funds available for such purpose the Secretary may award grants to assist in the establishment and operation of those projects which will in his judgment best promote the purposes of section 21(a)(1) of the Act, taking into account:
(a) In the case of long-term training grants:
(1) The need for training in the area or areas of study outlined in the application;
(2) The degree to which the proposal represents a strengthening or expansion of the applicant's program in such areas;
(3) The record of the applicant's effectiveness in training in these or related areas as indicated, among other things, by the placement of its graduates;
(4) The competence of the project staff in relation to the service to be provided;
(5) The reasonableness of the budget in relation to the proposed project;
(6) The applicant's resources, including equipment, facilities, and funds, available for the project;
(7) The current and potential availability of students in the area of study to be offered and their prospective employability as a result of the proposed training;
(8) The extent to which the applicant expects to absorb faculty positions initiated as a result of the grant; and
(9) The degree to which the project adequately provides for the requirements set forth in § 86.13(a).
(b) In the case of short-term training:
(1) The relationship of the contents of the course to the current and emergency training needs to carry out the purposes of the Act;
(2) The qualifications of the instructional staff;
(3) The speed with which the training can be put to use by the persons proposed to be trained;
(4) The reasonableness of the budget in relation to the proposed project;
(5) The success of previous offerings of this course, or related courses;
(6) Evidence of ability to recruit trainees and the estimated number to be enrolled during each course offering; and
(7) The degree to which the proposed project adequately provides for the requirements set forth in § 86.13(b).
(c) In the case of educational resource center grants:
(1) The criteria set forth in paragraphs (a) and (b) of this section.
(2) The degree to which the proposed project adequately provides for the requirements set forth in § 86.13(c).
(d) The amount of any award shall be determined by the Secretary on the basis of his estimate of the sum necessary for all or a designated portion of direct project costs plus an additional amount for indirect costs, if any, which will be calculated by the Secretary either (1) on the basis of his estimate of the actual indirect costs reasonably related to the project, or (2) on the basis of a percentage, not to exceed 8 percent, of all, or a portion of, the estimated direct costs of the project when there are reasonable assurances that the use of such percentage will not exceed the approximate actual indirect costs. Such award may include an estimated provisional amount for indirect costs or for designated direct costs (such as travel or supply costs) subject to upward (within the limits of available funds) as well as downward adjustments to actual costs when the amount properly expended by the grantee for provisional items has been determined by the Secretary.
(e) All grant awards shall be in writing, shall set forth the amount of funds granted and the period for which support is recommended.
(f) Neither the approval of any project nor any grant award shall commit or obligate the United States in any way to make any additional, supplemental, continuation, or other award with respect to any approved project or portion thereof. For continuation support, grantees must make separate application annually at such times and in such form as the Secretary may direct.
§ 86.15   Payments.
The Secretary shall from time to time make payments to a grantee of all or a portion of any grant award, either in advance or by way of reimbursement for expenses incurred or to be incurred in the performance of the project to the extent he determines such payments necessary to promote prompt initiation and advancement of the approved project.
§ 86.16   Use of project funds.
(a) Any funds granted pursuant to this subpart as well as other funds to be used in performance of the approved project shall be expended solely for carrying out the approved project in accordance with section 21(a) of the Act, the regulations of this subpart, the terms and conditions of the award, and the applicable cost principles prescribed by subpart Q of 45 CFR part 74.
(b) Prior written approval by the Secretary of revision of the budget and project plan is required whenever there is to be a significant change in the scope or nature of project activities, which in the case of short term training grants, includes any change in the course dates or training sites.
(c) Grant funds are available for trainee stipends and for tuition, including fees and instructional materials, for travel costs related to training allowances. Stipends and allowances may not be increased or be paid beyond the term of the stipend on account of vacation an individual might have been entitled to but did not take.
(d) Stipends may only be paid to a trainee who is a citizen of the United States, an alien lawfully admitted to the United States for permanent residence, or a permanent resident of Guam, American Samoa, or the Trust Territory of the Pacific Islands.
(e) In the case of short term training grants, stipends may not be paid to persons receiving lecture fees, salary, travel expenses, or payment in any form as members of the course instructional staff.
(f) Grant funds used for alterations and renovations shall be subject to the condition that the grantee shall comply with the requirements of Executive Order 11246, as amended, and with the applicable regulations prescribed pursuant thereto.
§ 86.17   Nondiscrimination.
(a) Attention is called to the requirements of title VI of the Civil Rights Act of 1964 (78 Stat. 252, 42 U.S.C. 2000d et seq. ) and in particular section 601 of such Act which provides that no person in the United States shall on the grounds of race, color, or national origin be excluded from participation in, be denied the benefits of, or be subjected to, discrimination under any program or activity receiving Federal financial assistance. A regulation implementing such title VI, which applies to grants made under this subpart, has been issued by the Secretary of Health and Human Services with the approval of the President (45 CFR part 80).
(b) Attention is called to the requirements of title IX of the Education Amendments of 1972 (86 Stat. 373, 20 U.S.C. 1681 et seq. ) and in particular to section 901 of such Act which provides that no person in the United States shall, on the basis of sex, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any education program or activity receiving Federal financial assistance.
(c) Attention is called to the requirements of section 504 of the Rehabilitation Act of 1973, as amended, which provides that no otherwise qualified handicapped individual in the United States shall, solely by reason of his handicap, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance.
§ 86.18   Grantee accountability.
(a) Accounting for grant award payments. All payments made by the Secretary shall be recorded by the grantee in accounting records separate from the records of all other grant funds, including funds derived from other grant awards. With respect to each approved project the grantee shall account for the sum total of all amounts paid by presenting or otherwise making available evidence satisfactory to the Secretary of expenditures for direct and indirect costs meeting the requirements of this part: Provided, however, That when the amount awarded for indirect costs was based on a predetermined fixed-percentage of estimated direct costs, the amount allowed for indirect costs shall be computed on the basis of such predetermined fixed-percentage rates applied to the total, or a selected element thereof, of the reimbursable direct costs incurred.
(b) Accounting for interest earned on grant funds. Pursuant to section 203 of the Intergovernmental Cooperation Act of 1968 (42 U.S.C. 4213), a State will not be held accountable for interest earned on grant funds, pending their disbursement for grant purposes. A State, as defined in section 102 of the Intergovernmental Cooperation Act, means any one of the several States, the District of Columbia, Puerto Rico, any territory or possession of the United States, or any agency or instrumentality of a State, but does not include the governments of the political sudivisions of the State. All grantees other than a State, as defined in this section, must return all interest earned on grant funds to the Federal Government.
(c) Grant closeout —(1) Date of final accounting. A grantee shall render, with respect to each approved project, a full account, as provided herein, as of the date of termination of grant support. The Secretary may require other special and periodic accounting.
(2) Final settlement. There shall be payable to the Federal Government as final settlement with respect to each approved project the total sum of:
(i) Any amount not accounted for pursuant to paragraph (a) of this section; and
(ii) Any credits for earned interest pursuant to paragraph (b) of this section; and
(iii) Any other amounts due pursuant to subparts F, M, and O of 45 CFR part 74.
§ 86.19   Human subjects; animal welfare.
No grant award may be made under this subpart unless the applicant has complied with:
(a) 45 CFR part 46 pertaining to the protection of human subjects; and
(b) Chapter 1-43 of the Department Grants Administration Manual 2 concerning animal welfare.
2 The Department Grants Administration Manual is available for inspection at the Public Information Office of the several Department Regional Offices and available for purchase at the Government Printing Office, GPO Document No. 894-523.
§ 86.20   Additional conditions.
The Secretary may with respect to any grant award impose additional conditions prior to or at the time of any award when in his judgment such conditions are necessary to assure or protect advancement of the approved project, the interests of public health, or the conservation of grant funds.
§ 86.21   Applicability of 45 CFR part 74.
The provisions of 45 CFR part 74, establishing uniform administrative requirements and cost principles, shall apply to all grants under this part to States and local governments as those terms are defined in subpart A of that part 74. The relevant provisions of the following subparts of part 74 shall also apply to grants to all grantee organizations under this part:
§ 86.30   Nature and purpose of direct traineeships.
A direct traineeship is an award of funds directly from the Federal Government to an individual (herein called the “trainee”) for his subsistence and other expenses during a period in which he is acquiring training (a) in the occupational safety and health professions, (b) for research relating to occupational safety and health, or (c) for teaching in occupational safety and health.
§ 86.31   Eligibility; minimum requirements.
In order to be eligible for an award under this subpart an applicant must:
(a) Have been accepted by a public or private institution for the purpose of the activity for which the traineeship is sought.
(b) Be a U.S. citizen, an alien lawfully admitted to the United States for permanent residence or a permanent resident of Guam, American Samoa, or the Trust Territory of the Pacific Islands.
§ 86.32   Application for direct traineeship.
An application for a direct traineeship under this subpart shall be submitted to the Secretary at such times and in such form and manner as he may prescribe. 1 In addition to the information supplied by the applicant in his application, such further information may be required as is necessary to determine his or her qualifications.
1 Applications and instructions may be obtained from the Procurement and Grants Office, Centers for Disease Control, Atlanta, GA 30333.
§ 86.33   Human subjects; animal welfare.
Where the application is for training at a non-Federal institution, no award may be made under this subpart unless said institution has complied with:
(a) 45 CFR part 46 pertaining to the protection of human subjects; and
(b) Chapter 1-43 of the Department Grants Administration Manual 2 concerning animal welfare.
2 See footnote 2 to § 86.19.
§ 86.34   Evaluation and award of direct traineeships.
Within the limits of funds available for such purpose and subject to the regulations of this part, the Secretary may award direct traineeships to those qualified applicants who are in his judgment best able to carry out the purpose of the traineeships taking into consideration the need for training in the area of study specified in the application.
§ 86.35   Payments.
(a) Individuals receiving awards shall be entitled to such stipends and allowances as the Secretary may designate, taking into account such factors as the needs of the program, the cost of living, and the availability of funds.
These are prescribed in chapter 3-140 of the Department Grants Administration Manual 2 ).
(b) Payments of stipends and allowances will, at the discretion of the Secretary, be made directly to the trainee or to the sponsoring institution for payment directly to the trainee.
§ 86.36   Duration and continuation.
Direct traineeship awards may be made for varying periods not in excess of 2 years. The Secretary may make one or more continuation awards for an additional period if he finds that satisfactory progress is being made toward accomplishment of the purpose of the initial traineeship award. Additional support may be provided on appropriate justification after expiration of the period of support in the previous award.
§ 86.37   Terms and conditions.
All direct traineeship awards shall be subject to the following terms and conditions:
(a) Training must be carried out at an institution found by the Secretary to provide a well-rounded course of instruction in the particular area of training for which the traineeship is awarded.
(b) No direct traineeship may be utilized to compensate any trainee for personal services or employment on behalf of the United States or any person.
§ 86.38   Accountability.
Accountability for payments will be subject to such requirements as may be specified by the Secretary.
§ 86.39   Termination of direct traineeship.
(a) The Secretary may terminate a direct traineeship at any time upon request of the trainee.
(b) After reasonable notice to the trainee and an opportunity for the presentation of the trainee's views and relevant evidence, the Secretary may terminate any direct traineeship prior to the date it would otherwise expire upon a determination that the trainee's performance is unsatisfactory, that the trainee is no longer attending the sponsoring institution, or that he or she is unfit or unable to carry out the purpose of the traineeship.
(c) The views and evidence of the trainee shall be presented in writing unless the Secretary determines that an oral presentation is desirable.