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traineeship program. These minimum fidential information, and outside emqualifications may include require ployment. ments as to citizenship, medical standards, academic degrees, professional or

863.7 What are the benefits of awards? other training or experience, and other (a) Subject to the availability of factors as may be necessary to the ful- funds, each individual awarded üllment of the

purpose of the traineeship may receive a stipend fixed traineeship. The Director may, as a in an amount determined by the Direcmatter of general policy or, in individ- tor. ial cases, waive compliance with any (b) Additional allowances and beneminimum qualification so established fits may be authorized by and at the co the extent that the applicant or ap- discretion of the Director, taking into plicants have substantially equivalent account the cost of living and other qualifications or have such special factors such as the requirements of the training, experience or opportunity for training program and availability of service as to make an award particu- discretionary funds. Discretionary alarly appropriate, and to the extent the lowances and benefits may include: Director finds it is consistent with the health benefits coverage; dependents' ulfillment of the purpose of the allowance; travel to pre-award interraineeship.

views, to first duty station, and return

to the place of origin upon conclusion 63.5 How will NI: make awards?

of the traineeship; tuition and instituSubject to the regulations of this

tion fees; and other specific costs as part, the Director may award may be necessary to fulfill the purpose traineeships to those qualified appli

of the training program. ants who are best able in that offi

863.8 What are the terms and condi. ial's judgment to carry out the pur

tions of awards? pose of the traineeships. These awards nay be made for a period of one (1)

All traineeships shall be subject to rear or other period, including exten

the following terms and conditions: ions or renewals, as may be specified.

(a) Training must be carried out at a

facility of the NIH, but may be supple63.6 How to apply.

mented by additional training acquired

at another institution which is found (a) Application for a traineeship shall e made in writing as prescribed by the

by the Director to be directly related irector.

to the purpose of the traineeship and

necessary to its successful completion. (b) In addition to other pertinent in

(b) Payments shall be made to the ormation, the Director may require

awardee or to the institution for payich applicant to submit the following

ment to the awardee in accordance iformation:

with payment schedules as prescribed (1) Certification of the applicant's by the Director for each traineeship itizenship status;

program. (2) The applicant's educational back

(c) The awardee shall reimburse NIH round and other qualifications and ex- for any overpayment of stipends or erience, including previous academic other allowances because of early ternd professional degrees, if any; and mination of the traineeship or any (3) The subject area of the proposed other reason, unless waived for good aining.

cause shown by the awardee. (C) By applying, eligible individuals (d) The Director may establish procegree to abide by HHS, PHS, and NIH dures and requirements applicable to gulations, and the terms and condi- traineeship awards, consistent with the ons of the traineeship award which regulations in this part, regarding: (1) lay require compliance with policies The proper conduct of research invesnd procedures that apply to the prop tigations, including research involving : conduct of research, such as re- human and animal subjects; (2) patient arch involving human and animal care; (3) hospital and laboratory proceibjects, patient care, hospital and lab- dures; (4) handling of confidential inratory procedures, handling of con- formation; (5) outside employment; and


(6) additional conditions the Director finds necessary to fulfill the purpose of the traineeship.

(e) The awardee shall sign an agreement to comply with the terms and conditions of the traineeship.


8 63.9 How

may NIH terminate awards? The Director may terminate traineeship at any time:

(a) Upon written request of the awardee; or

(b) If it is determined that the awardee is ineligible, has materially failed to comply with the terms and conditions of the award, or to carry out the purpose for which it was made.

Sec. 64.1 Programs to which these regulations

apply. 64.2 Definitions. 64.3 Who is eligible for a grant? 64.4 How to apply for a grant. 64.5 How are grant applications evaluated? 64.6 Awards. 64.7 What other conditions apply? 64.8 How may funds be used? 64.9 Other HHS regulations that apply.

AUTHORITY: 42 U.S.C. 216, 2866_3.

SOURCE: 56 FR 29192, June 26, 1991, unless otherwise noted.


8 63.10 Other HHS regulations and

policies that apply. Several other policies and regulations apply to awards under this part. These include, but are not necessarily limited to: 45 CFR part 46—Protection of human sub

jects. 45 CFR part 76—Governmentwide debarment

and suspension (nonprocurement) and governmentwide requirements for drug-free

workplace (grants). 45 CFR part 80—Nondiscrimination under

programs receiving Federal assistance through the Department of Health and Human Services effectuation of title VI of

the Civil Rights Act of 1964. 45 CFR part 81-Practice and procedure for

hearings under Part 80 of this title. 45 CFR part 84-Nondiscrimination on the

basis of handicap in programs and activi

ties receiving Federal financial assistance. 45 CFR part 86_Nondiscrimination on the

basis of sex in education programs and activities receiving or benefiting from Fed

eral financial assistance. 45 CFR part 91-Nondiscrimination on the

basis of age in HHS programs or activities

receiving Federal financial assistance. 51 FR 16958 (May 7, 1986)NIH Guidelines for

Research Involving Recombinant DNA

Molecules. “Public Health Service Policy on Humane

Care and Use of Laboratory Animals," Office for Protection from Research Risks,

NIH (Revised September 1986). 59 FR 14508 (March 28, 1994)-NIH Guidelines

on the Inclusion of Women and Minorities as Subjects in Clinical Research.

8 64.1 Programs to which these regula

tions apply. (a) The regulations of this part apply to grants under section 472 of the Pub lic Health Service Act (42 U.S.C. 28603) to public and private nonprofit institutions to assist in developing, expanding, and improving training programs (excluding training in a biomedical specialty and residency training) in 1brary science and the field of communications of information pertaining to sciences relating to health.

(b) The regulations of this part also apply to cooperative awarded for these purposes. References to “grant(s)" shall include "coopera tive agreement(s).”

(c) The regulations of this part de not apply to research training support under the National Research Service Awards Program (see part 66 of this chapter). 864.2 Definitions.

As used in this part:

HHS means the Department of Health and Human Services.

Nonprofit private entity means an agency, organization, institution, or other entity which may not lawfully hold or use any part of its net earnings to the benefit of any private share holder or individual which does not hold or use its net earnings for that purpose.

Other trainee costs means those costs other than stipends, such as tuition fees, and trainee travel, which are drectly associated with and necessary

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(3) If stipend costs are requested, a statement for each grant year of the estimated number of individuals to whom stipends will be provided and the length of time for which the stipend support will be provided. If other trainee costs are requested, they must be separately stated and justified. (Approved by the Office of Management and Budget under control number 0925_0276) $64.5 How are grant applications eval

uated? The Secretary shall evaluate applications through the officers and employees, experts, consultants, or groups engaged by the Secretary for that purpose. The Secretary's evaluation will be for technical merit and shall take into account, among other pertinent factors, the significance of the project, the qualifications and competency of the project director and proposed staff, the adequacy of selection criteria for trainees for the project, the adequacy of the applicant's resources available for the project, and the amount of grant funds necessary for completion of its objectives.

1.5 for the training of individuals receivHoying stipends and which are incurred

within the period of training.

Project director means the single individual named by the grantee in the grant application and approved by the Secretary, who is responsible for the

management and conduct of the I project.

Project period. See $64.6(b). Secretary means the Secretary of lealth and Human Services and any ther official of HHS to whom the auhority involved is delegated.

Stipend means a payment to an indii idual that is intended to help meet

hat individual's subsistence expenses pring training. * Training grant means an award of

unds to an eligible entity for a project * athorized under $64.1(a). 5843 Who is eligible for a grant?

Except as otherwise prohibited by aw, ang public or private nonprofit en

ity is eligible for a training grant. TH4 How to apply for a grant.

Applications for grants must include pre following information: = (a) Required information on the prosed project. (1) The nature, duration, d purpose of the training for which

e application is filed. 2) The name and qualifications of

€ project director and any key pernnel responsible for the proposed

oject. =3) A description of the facilities, ?'aff, support services, and other orga

zational resources available to carry it the project. (1) The intended number of trainees ad the minimum qualifications and iteria for their selection. (5) A description of the plan for evalting the proposed project. (6) Other pertinent information the cretary may require to evaluate the oposed project. (b) Required information on costs. (1) A idget for the proposed project and a stification of the amount of grant nds requested. (2) If institutional expenses are relested, a separate statement of the nounts requested for personal serves, equipment, supplies, or other nonrsonal services.

8 64.6 Awards.

(a) Criteria. Within the limits of available funds, the Secretary may award training grants to carry out those projects which:

(1) Are determined by the Secretary to be technically meritorious; and

(2) In the judgment of the Secretary best promote the purpose of the grant program as authorized by section 172 of the Act (42 U.S.C. 286b-3), the regulations of this part (see $61.1), and ad dress program priorities.

(b) Project period. (1) The notice of grant award specifies how long the Mooretary intends to support the project without requiring


project to recompete for funds. This period, oalled the project period, will usually be for one to five years.

(2) Generally, the grant will initially be for one year and subsequent com tinuation awards will also be for one year at a time. A grantee must submit a separate application to have the sup port continued for onoh ulometuent year. Decisions regarding continuation awards and the funding level of these awards will be made after consider

ation of such factors as the grantee's ance with the approved application and progress and management practices, budget, the regulations of this part, and the availability of funds. In all the terms and conditions of the grant cases, continuation awards require a award, and the applicable cost prins i determination by the Secretary that

ciples in subpart Q of 45 CFR part 74. continued funding is in the best inter

The funds may not be expended for: est of the Federal Government.

! (3) Neither the approval of any appli

(a) Compensation for employment or cation nor the award of any grant com

for the performance of personal sert

ices by individuals receiving training mits or obligates the Federal Government in any way to make any addi

and instruction; or tional, supplemental, continuation, or

(b) Payments to any individual who other award with respect to any ap

does not meet the minimum qualificaproved application or portion of an ap

tions for training and instruction et proved application.

tablished by the grantee and approved (4) Any balance of federally obligated by the Secretary or who has failed to: grant funds remaining unobligated by demonstrate satisfactory participation the grantee at the end of a budget pe- in the training in accordance with the riod may be carried forward to the next usual standards and procedures of the budget period, for use as prescribed by grantee. the Secretary, provided a continuation award is made. If at any time during a $64.9 Other HHS regulations that budget period it becomes apparent to apply. the Secretary that the amount of Fed

Several other regulations apply to eral funds awarded and available to the grantee for that period, including any

grants under this part. These incinde, unobligated balance carried forward

but are not necessarily limited to: from prior periods, exceeds the grant- 42 CFR part 50, subpart D_Public Bisata ee's needs for that period, the Sec- Service grant appeals procedure. retary may adjust the amounts award- 45 CFR part 16—Procedures of the Departs ed by withdrawing the excess.

mental Grant Appeals Board.

45 CFR part 74-Administration of grants. 864.7 What other conditions apply? 45 CFR part 75—Informal grant appeals (a) Grants awarded under this part

cedures. are subject to the following conditions:

45 CFR part 76subparts A-F. (1) The grantee may not materially

Governmentwide debarment and suspens change the quality, nature, or duration

(nonprocurement) and requirements of the project unless the written ap

drug-free workplace (grants). proval of the Secretary is obtained

45 CFR part 80—Nondiscrimination to prior to the change.

programs receiving Federal assista (2) The grantee must submit to the

through the Department of Health

Human Services effectuation of title I Secretary, in the manner prescribed by

the Civil Rights Act of 1964. the Secretary, the name and other per

45 CFR part 81-Practice and procedure tinent information regarding each indi

hearings under 45 CFR part 80 of this vidual who is awarded a stipend under

45 CFR part 84—Nondiscrimination on a grant.

basis of handicap in programs and sc (b) The Secretary may impose addi- ties receiving or benefiting from Fedet tional conditions prior to the award of financial assistance. any grant under this part if it is deter- 45 CFR part 86—Nondiscrimination of mined by the Secretary that the condi- basis of sex in education programs and tions are necessary to carry out the tivities receiving or benefiting from purpose of the grant.

eral financial assistance.

45 CFR part 91-Nondiscrimination on (Approved by the Office of Management and

basis of age in HHS programs or active Budget under control number 0925-0276)

receiving Federal financial assistance.

45 CFR part 92—Uniform administratin 864.8 How may funds be used?

quirements for grants and cooper A grantee shall expend funds it re

agreements to state and local goed ceives under this part solely in accord- ments.


PART 640-OBLIGATED SERVICE Erperimental nature refers to the FOR MENTAL HEALTH TRAINEESHIPS training of undergraduates; the train

ing of individuals in disciplines other

than psychology, psychiatry, nursing, Sec. 642.101 Purpose.

or social work; and any other training 64a.102 To whom do these regulations

which the Secretary specifically desapply?

ignates as experimental in the notice 42.103 Definitions.

of award for a training grant under sec42.104 What requirements imposed tion 303 of the Act. upon grantees?

Limited duration means a period that 14.106 What are the conditions of obligated is equal to or less than 180 days, comservice?

puted cumulatively over a two year peAUTHORITY: Sec. 803, Pub. L. 96-398, 94 Stat.

riod which begins on the first day of 107-1608 (42 U.S.C. 242a).

the clinical traineeship. SOURCE: 46 FR 39979, Aug. 5, 1981, unless

Mental Health Systems Act means the herwise noted.

Mental Health Systems Act (42 U.S.C.

9401 et seq.). - 4a.101 Purpose.

Nonprofit private entity means an This part establishes requirements to

agency, organization, institution or plement the service payback obliga

other entity which may not lawfully

hold or use any part of its net earnings n of individuals who receive clinical dineeships in pyschology, psychiatry,

to the benefit of any private sharesial work, or nursing (that are not of

holder or individual and which does not nited duration or experimental na

hold or use its net earnings for that me) under section 303 of the Public

purpose. uth Service Act.

Other trainee allowances means finan

cial assistance for those costs not cova.102 To whom do these regula

ered by stipends, such as tuition, fees, tions apply?

and trainee travel, which are directly

associated with and necessary to the his part applies to any institution Ich receives a training grant under

training of individuals receiving stiSition 303 of the Public Health Service

pends and are incurred within the pe

riod of training. and to any individual who receives - ripend or other trainee allowances

Secretary means the Secretary of

Health and Human Services or other er such a grant for any period beting on or after July 1, 1981, for

official of the Department to whom the

authority involved has been delegated. =cial training in the field of psycholpsychiatry, nursing, or

Stipend means financial assistance to social

an individual that is intended to help 3, except for training that is of a

meet that individual's subsistence exted duration or experimental na

penses during training.

8 64a.104 What requirements are im. .103 Definitions.

posed upon grantees? used in this part:

Recipients of training grants under it means the Public Health Service section 303 of the Act that provide a 28 amended by Pub. L. 96-398.

clinical traineeship to any individual nical traineeship means a stipend or must: - trainee allowances provided to an (a) Give each such individual written idual for clinical training in psy- notice of the service payback and reogy, psychiatry, nursing, or social covery requirements of this part at the s except for training that is of a time the individual becomes a canred duration or experimental na- didate for the traineeship;

under a training grant authorized (b) Before awarding а clinical ction 303 of the Act.

traineeship, conduct an entrance interronunity Mental Health Centers Act view with the individual in order to exis the Community Mental Health plain and emphasize the service obligaers Act (42 U.S.C. 2689 et seq.) other tion the individual is incurring, obtain Part D thereof.

the individual's written assurance that

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