EDGAR Appendix E (Federal Register 6/23/05: 34 CFR Parts 97 Final Rule)
National Archives And Records Administration
Federal Register
Thursday, June 23, 2005
Department of Education
34 CFR Parts 97
Final Rule; technical amendments
Pages 36325-36328
Appendix E
Rules and Regulations Federal Register
36325
Vol. 70, No. 120
Thursday, June 23, 2005
DEPARTMENT OF AGRICULTURE
7 CFR Part 1c
DEPARTMENT OF ENERGY
10 CFR Part 745
NATIONAL AERONAUTICS AND
SPACE ADMINISTRATION
14 CFR Part 1230
DEPARTMENT OF COMMERCE
15 CFR Part 27
CONSUMER PRODUCT SAFETY COMMISSION
16 CFR Part 1028
AGENCY FOR INTERNATIONAL DEVELOPMENT
22 CFR Part 225
DEPARTMENT OF JUSTICE
28 CFR Part 46
DEPARTMENT OF DEFENSE
32 CFR Part 219
DEPARTMENT OF EDUCATION
34 CFR Part 97
DEPARTMENT OF VETERANS AFFAIRS
38 CFR Part 16
ENVIRONMENTAL PROTECTION AGENCY
40 CFR Part 26
DEPARTMENT OF HEALTH AND HUMAN SERVICES
45 CFR Part 46
NATIONAL SCIENCE FOUNDATION
45 CFR Part 690
DEPARTMENT OF TRANSPORTATION
49 CFR Part 11
Federal Policy for the Protection of Human Subjects
AGENCIES: Department of Agriculture; Department of Energy; National
Aeronautics and Space Administration; Department of Commerce;
Consumer Product Safety Commission; Agency for International
Development; Department of Justice; Department of Defense;
Department of Education; Department of Veterans Affairs;
Environmental Protection Agency; Department of Health and Human
Services; National Science Foundation; and Department of
Transportation.
ACTION: Final rule; technical amendments.
SUMMARY: The agencies listed in this document are amending the
Federal Policy for the Protection of Human Subjects, which was
published in the Federal Register on June 18, 1991, to change all
references to the Office for Protection from Research Risks (OPRR)
to the Office for Human Research Protections (OHRP); revise the
footnote found at the end of Sec. l.101(i) by deleting references to
research involving fetuses, pregnant women, or human in vitro
fertilization and subpart B of 45 CFR part 46; and update the
Control Number for the approval by the Office of Management and
Budget (OMB) of the information collection requirements of this
Federal Policy.
DATES: Effective Date: June 23, 2005.
FOR FURTHER INFORMATION CONTACT:
Michael A. Carome, M.D., OHRP, The Tower Building, Suite 200, 1101
Wootton Parkway, Rockville, MD 20852; telephone: 301-496-7005;
facsimile: 301-402-2071; e-mail: mcarome@osophs.dhhs.gov.
SUPPLEMENTARY INFORMATION:
I. Background
The Federal Policy for the Protection of Human Subjects
(hereafter referred to as the Federal Policy) was promulgated by 15
Federal departments and agencies on June 18, 1991 (56 FR 28003). The
Central Intelligence Agency also is required to comply with this
policy under Executive Order 12333. On July 10, 1996, the Department
of Housing and Urban Development revised its codification of the
Federal Policy at 24 CFR part 60 to cross-reference the provisions
of the Department of Health and Human Services (HHS) regulations at
45 CFR part 46, subpart A (61 FR 36462).
Except for research that is exempt under Sec. ll.101(b), the
Federal Policy applies to all research involving human subjects
conducted, supported or otherwise subject to regulation by any
Federal department or agency which has taken appropriate
administrative action to make the Federal Policy applicable to such
research. The basic provisions of the Federal Policy include, among
other things, requirements related to the review of human subjects
research by an institutional review board, the obtaining and
documenting of informed consent of human subjects, and the
submission of a written assurance of institutional compliance with
the Federal Policy.
II. Description of Changes to the Federal Policy
The Federal Policy has several provisions that reference OPRR.
For example, the Federal Policy includes provisions that require
submission of certain reports and notices to OPRR (see Sec.
ll.101(i), Sec.ll.103(a), and Sec.ll.103(b)(3)). At the time the
Federal Policy was promulgated, OPRR was a unit of the National
Institutes of Health, HHS, and was responsible for fulfilling
responsibilities set forth in section 491 of the Public Health
Service Act (42 U.S.C. 289). On June 18, 2000, OPRR was dissolved,
OHRP was established, and all responsibilities and authorities for
human subject protections held by OPRR were transferred to OHRP (65
FR 37136, June 13, 2000). The Federal Policy is being amended
throughout to reflect this name and organizational change from OPRR
to OHRP.
At the time the Federal Policy was promulgated, the HHS
regulations for the protection of human subjects at 45 CFR part 46
included the following three subparts that provided additional
protections for specific groups of vulnerable subjects: subpart B
(Additional Protections Pertaining to Research, Development, and
Related Activities Involving Fetuses, Pregnant Women, and Human In
Vitro Fertilization); subpart C (Additional Protections Pertaining
to Biomedical and Behavioral Research Involving Prisoners as
Subjects); and subpart D (Additional Protections for Children
Involved as Subjects in Research). These subparts are not part of
the Federal Policy. However, the Federal Policy includes a footnote
at the end of Sec.ll.101(i) which states, in part, that ''the
exemptions at 45 CFR 46.101(b) do not apply to research involving *
* * fetuses, pregnant women, or human in vitro fertilization,
subparts B * * *.''
On November 13, 2001, HHS published a revised version of 45 CFR
part 46, subpart B (Additional Protections for Pregnant Women, Human
Fetuses and Neonates Involved in Research) after soliciting public
comment through a Notice of Proposed Rulemaking (66 FR 56775; 66 FR
35576). The revised subpart B, which became effective on December
13, 2001, states that the exemptions at 45 CFR 46.101(b)(1) through
(6) are applicable to this subpart. In order to make the footnote at
the end of Sec.ll.101(i) of the Federal Policy consistent with the
revised subpart B of 45 CFR part 46, references to research
involving fetuses, pregnant women, or human in vitro fertilization
and subpart B are being deleted from the footnote.
Finally, the information collection requirements of the Federal
Policy (see Sections.ll.103, 109, 113, 115, 116, and 117) were
approved by OMB on July 30, 1991 under Control Number 9999-0020. OMB
approval under Control Number 9999-0020 expired on December 31,
1997. The current OMB approval of the information collection
requirements of the Federal Policy is under Control Number 0990-
0260. Therefore, all references to Control Number 9999-0020 are
being changed to Control Number 0990-0260.
III. Implementation
Pursuant to 5 U.S.C. 553(b)(B) of the Administrative Procedure
Act, 5 U.S.C. 551-559, the agencies find that there is good cause to
issue these amendments without advance notice and an opportunity for
public comment. Because these amendments merely (i) change
references in the Federal Policy from the OPRR to the OHRP, to
reflect the organizational change that already dissolved OPRR and
moved its responsibilities to OHRP; (ii) delete references to
research involving fetuses, pregnant women, or human in vitro
fertilization and to subpart B of 45 CFR part 46 to conform the
Federal Policy to recent amendments to subpart B of 45 CFR part 46;
and (iii) update the Control Number for the approval by OMB of the
information collection requirements of the Federal Policy, public
comment is unnecessary. Pursuant to 5 U.S.C. 553(d)(3) of the
Administrative Procedure Act, the agencies also find there is good
cause to make these amendments effective immediately because the
changes in the Federal Policy are merely conforming amendments to
reflect changes that have already been made and are in effect with
respect to OHRP and 45 CFR part 46.
IV. Legal Authority
Department of Agriculture, 5 U.S.C. 301; 42 U.S.C. 300v-1(b).
Department of Energy, 5 U.S.C. 301; 42 U.S.C. 7254; 42 U.S.C. 300v-
1(b). National Aeronautics and Space Administration, 5 U.S.C. 301;
42 U.S.C. 300v-1(b). Department of Commerce, 5 U.S.C. 301; 42 U.S.C.
300v-1(b). Consumer Product Safety Commission, 5 U.S.C. 301; 42
U.S.C. 300v-1(b). Agency for International Development, 5 U.S.C.
301; 42 U.S.C. 300v-1(b). Department of Justice, 5 U.S.C. 301; 28
U.S.C. 509-510; 42 U.S.C. 300v-1(b). Department of Defense, 5 U.S.C.
301; 42 U.S.C. 300v-1(b). Department of Education, 5 U.S.C. 301; 20
U.S.C. 1221e-3, 3474; 42 U.S.C. 300v-1(b). Department of Veterans
Affairs, 5 U.S.C. 301; 38 U.S.C. 501, 7331, 7334; 42 U.S.C. 300v-
1(b). Environmental Protection Agency, 5 U.S.C. 301; 42 U.S.C. 300v-
1(b). Department of Health and Human Services, 5 U.S.C. 301; 42
U.S.C. 289; 42 U.S.C. 300v-1(b). National Science Foundation, 5
U.S.C. 301; 42 U.S.C. 300v-1(b). Department of Transportation, 5
U.S.C. 301; 42 U.S.C. 300v-1(b).
V. Executive Order 12866
Executive Order 12866 requires that all regulatory actions of
Executive Branch departments and agencies reflect consideration of
the costs and benefits that they generate and that they meet certain
standards, such as avoiding imposition of unnecessary burdens on the
affected public. If an action is deemed to fall within the scope of
the definition of the term ''significant regulatory action''
contained in Sec. 3(f) of the order, a pre-publication review by
OMB's Office of Information and Regulatory Affairs (OIRA) is
necessary. OMB deemed these amendments of the Federal Policy not to
be a significant regulatory action. Therefore, these amendments were
not submitted to OIRA for review prior to publication.
VI. Regulatory Flexibility Act
Under the Regulatory Flexibility Act (5 U.S.C. 601-612), an
agency is generally required to review proposed regulations to
analyze whether they create a significant impact on a substantial
number of small entities unless the agency can certify that there is
no such impact. Agencies must similarly analyze any final rules that
were preceded by proposed rules.
Because these technical amendments did not require the agencies to
publish a proposed rule, they are not required to prepare a
Regulatory Flexibility Act analysis for this final rule. However,
even if the agencies were required to consider that impact, the
agencies would certify that there was no impact at all on small
entities because these amendments make no substantive change to the
Federal Policy.
VII. Paperwork Reduction Act of 1995
These amendments to the Federal Policy do not contain any new
information collection requirements which are subject to OMB
approval under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-
3520).
VIII. Federalism
These amendments to the Federal Policy have been analyzed in
accordance with the principles set forth in Executive Order 13132.
These amendments to the Federal Policy do not contain policies that
have substantial direct effects on the States, on the relationship
between the Federal Government and the States, or on the
distribution of power and responsibilities among the various levels
of government. Accordingly, the departments and agencies that have
promulgated the Federal Policy have concluded that these amendments
do not contain policies that have federalism implications as defined
in the order and, consequently, a federalism summary impact
statement is not required.
Department of Agriculture
7 CFR Part 1c
RIN 0518-AA02
List of Subjects in 7 CFR Part 1c
Human research subjects, Reporting and recordkeeping requirements,
Research.
For the reasons stated in the preamble, the Department of
Agriculture amends 7 CFR part 1c, as set forth at the end of this
document.
The authority for part 1c continues to read as follows:
Authority: 5 U.S.C. 301; 42 U.S.C. 300v-1(b).
Dated: August 18, 2004.
Ann M. Veneman,
Secretary of Agriculture.
Department of Energy
10 CFR Part 745
RIN 1901-AB14
List of Subjects in 10 CFR Part 745
Human research subjects, Reporting and recordkeeping
requirements, Research.
For the reasons stated in the preamble, the Department of Energy
amends 10 CFR part 745, as set forth at the end of this document.
The authority for part 745 continues to read as follows:
Authority: 5 U.S.C. 301; 42 U.S.C. 7254; 42 U.S.C. 300v-1(b).
Dated: April 5, 2005.
Samuel W. Bodman,
Secretary of Energy.
National Aeronautics and Space Administration
14 CFR Part 1230
RIN 2700-AC99
List of Subjects in 14 CFR Part 1230
Human research subjects, Reporting and recordkeeping requirements,
Research.
For the reasons stated in the preamble, the National Aeronautics
and Space Administration amends 14 CFR part 1230, as set forth at
the end of this document.
The authority for part 1230 continues to read as follows:
Authority: 5 U.S.C. 301; 42 U.S.C. 300v-1(b).
Dated: February 18, 2005.
Richard S. Williams,
Chief Health and Medical Officer, Office of Health and Medical
Systems.
Department of Commerce
15 CFR Part 27
RIN 0605-AA17
List of Subjects in 15 CFR Part 27
Human research subjects, Reporting and recordkeeping requirements,
Research.
For the reasons stated in the preamble, the Department of
Commerce amends 15 CFR part 27, as set forth at the end of this
document.
The authority for part 27 continues to read as follows:
Authority: 5 U.S.C. 301; 42 U.S.C. 300v-1(b).
Dated: February 18, 2005.
Michael S. Sade,
Director, Office of Acquisition Management.
Consumer Product Safety Commission
16 CFR Part 1028
RIN 3041-AC21
List of Subjects in 16 CFR Part 1028
Human research subjects, Reporting and recordkeeping requirements,
Research.
For the reasons stated in the preamble, the Consumer Product
Safety Commission amends 16 CFR part 1028, as set forth at the end
of this document.
The authority for part 1028 continues to read as follows:
Authority: 5 U.S.C. 301; 42 U.S.C. 300v-1(b).
Dated: July 22, 2004.
Harold D. Stratton,
Chairman.
Agency for International Development
22 CFR Part 225
RIN 0412-AA53
List of Subjects in 22 CFR Part 225
Human research subjects, Reporting and recordkeeping requirements,
Research.
For the reasons stated in the preamble, the Agency for
International Development amends 22 CFR part 225, as set forth at
the end of this document.
The authority for part 225 continues to read as follows:
Authority: 5 U.S.C. 301; 42 U.S.C. 300v-1(b).
Dated: June 10, 2004.
James D. Shelton,
Cognizant Human Subjects Officer.
Department of Justice
28 CFR Part 46
RIN 1121-AA70
List of Subjects in 28 CFR Part 46
Human research subjects, Reporting and recordkeeping requirements,
Research.
For the reasons stated in the preamble, the Department of Justice
amends 28 CFR part 46, as set forth at the end of this document.
The authority for part 46 continues to read as follows:
Authority: 5 U.S.C. 301; 28 U.S.C. 509-510; 42 U.S.C. 300v-1(b).
Dated: March 14, 2005.
Alberto R. Gonzales,
Attorney General.
Department of Defense
32 CFR Part 219
RIN 0790-AH79
List of Subjects in 32 CFR Part 219
Human research subjects, Reporting and recordkeeping requirements,
Research.
For the reasons stated in the preamble, the Department of Defense
amends 32 CFR part 219, as set forth at the end of this document.
The authority for part 219 continues to read as follows:
Authority: 5 U.S.C. 301; 42 U.S.C. 300v-1(b).
Dated: August 4, 2004.
Ronald M. Sega,
Director, Defense Research and Engineering.
Department of Education
34 CFR Part 97
RIN 1890-AA08
List of Subjects in 34 CFR Part 97
Human research subjects, Reporting and recordkeeping requirements,
Research.
For the reasons stated in the preamble, the Department of
Education amends 34 CFR part 97, as set forth at the end of this
document.
The authority for part 97 continues to read as follows:
Authority: 5 U.S.C. 301; 20 U.S.C. 1221e-3, 3474; 42 U.S.C. 300v-
1(b).
Dated: June 30, 2004.
Rod Paige,
Secretary of Education.
Department of Veterans Affairs
38 CFR Part 16
RIN 2900-AL99
List of Subjects in 38 CFR Part 16
Human research subjects, Reporting and recordkeeping requirements,
Research.
For the reasons stated in the preamble, the Department of
Veterans Affairs amends 38 CFR part 16, as set forth at the end of
this document.
The authority for part 16 continues to read as follows:
Authority: 5 U.S.C. 301; 38 U.S.C. 501, 7331, 7334; 42 U.S.C. 300v-
1(b).
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Dated: August 27, 2004.
Anthony J. Principi,
Secretary of Veterans Affairs.
Environmental Protection Agency
40 CFR Part 26
RIN 2080-AA10
List of Subjects in 40 CFR Part 26
Human research subjects, Reporting and recordkeeping requirements,
Research.
For the reasons stated in the preamble, the Environmental
Protection Agency amends 40 CFR part 26, as set forth at the end of
this document. The authority for part 26 continues to read as
follows:
Authority: 5 U.S.C. 301; 42 U.S.C. 300v-1(b).
Dated: May 16, 2005.
Stephen L. Johnson,
Acting Administrator.
Department of Health and Human Services
45 CFR Part 46
RIN 0940-AA10
List of Subjects in 45 CFR Part 46
Human research subjects, Reporting and recordkeeping requirements,
Research.
For the reasons stated in the preamble, the Department of Health
and Human Services amends 45 CFR part 46, as set forth at the end of
this document.
The authority for part 46 continues to read as follows:
Authority: 5 U.S.C. 301; 42 U.S.C. 289; 42 U.S.C. 300v-1(b).
Dated: June 15, 2005.
Ann Agnew,
Executive Secretary to the Department.
National Science Foundation
45 CFR Part 690
RIN 3145-AA42
List of Subjects in 45 CFR Part 690
Human research subjects, Reporting and recordkeeping requirements,
Research.
For the reasons stated in the preamble, the National Science
Foundation amends 45 CFR part 690, as set forth at the end of this
document.
The authority for part 690 continues to read as follows:
Authority: 5 U.S.C. 301; 42 U.S.C. 300v-1(b).
Dated: June 30, 2004.
Lawrence Rudolph,
General Counsel.
Department of Transportation
49 CFR Part 11
RIN 2105-XX97
List of Subjects in 49 CFR Part 11
Human research subjects, Reporting and recordkeeping requirements,
Research.
For the reasons stated in the preamble, the Department of
Transportation amends 49 CFR part 11, as set forth at the end of
this document.
The authority for part 11 continues to read as follows:
Authority: 5 U.S.C. 301; 42 U.S.C. 300v-1(b).
Dated: September 18, 2004.
Norman Y. Mineta,
Secretary of Transportation.
Editorial Note: This document was received at the Office of the
Federal Register on June 17, 2005.
_ Accordingly, the Federal Policy for the Protection of Human
Subjects is amended as follows:
Sec. ll.101 [Amended]
_ 1. Amend Sec. ll.101 as follows:
_ a. In paragraph (i), remove the words ''Office for Protection from
Research Risks, Department of Health and Human Services (HHS),''and
add, in their place, ''Office for Human Research Protections,
Department of Health and Human Services (HHS), or any successor
office,''
_ b. In footnote 1 at the end of paragraph
(i), remove the words ''prisoners, fetuses, pregnant women, or human
in vitro fertilization, subparts B and C.'' and add, in their place,
''prisoners, subpart C.''.
Sec. ll.103 [Amended]
_ 2. Amend Sec. ll.103 as follows:
_ a. In paragraph (a), in the second and last sentences, remove the
words, ''Office for Protection from Research Risks, HHS'' and add,
in their place, ''Office for Human Research Protections, HHS, or any
successor office''.
_ b. In paragraph (b)(3), remove the words ''Office for Protection
from Research Risks, HHS'' and add, in their place, ''Office for
Human Research Protections, HHS, or any successor office''.
_ c. Revise the parenthetical at the end of the section to read as
follows:
Sec.ll.103 Assuring compliance with this policy-research conducted
or supported by any Federal Department or Agency.
* * * * *
(Approved by the Office of Management and Budget under Control
Number 0990-0260.)
_ 3. Revise the parenthetical at the end of Sec. ll.109 to read as
follows:
Sec.ll.109 IRB review of research.
* * * * *
(Approved by the Office of Management and Budget under Control
Number 0990-0260.)
Sec.ll.110 [Amended]
_ 4. In paragraph (a), remove the words ''Office for Protection from
Research Risks, National Institutes of Health, HHS, Bethesda,
Maryland 20892.'' and add, in their place, ''Office for Human
Research Protections, HHS, or any successor office.''
_ 5. Revise the parenthetical at the end of Sec. ll.113 to read as
follows:
Sec.ll.113 Suspension or termination of IRB approval of research.
* * * * *
(Approved by the Office of Management and Budget under Control
Number 0990-0260.)
_ 6. Revise the parenthetical at the end of Sec. ll.115 to read as
follows:
Sec.ll.115 IRB records.
* * * * *
(Approved by the Office of Management and Budget under Control
Number 0990-0260.)
_ 7. Revise the parenthetical at the end of Sec. ll.116 to read as
follows:
Sec.ll.116 General requirements for informed consent.
* * * * *
(Approved by the Office of Management and Budget under Control
Number 0990-0260.)
_ 8. Revise the parenthetical at the end of Sec. ll.117 to read as
follows:
Sec.ll.117 Documentation of informed consent.
* * * * *
(Approved by the Office of Management and Budget under Control
Number 0990-0260.)
[FR Doc. 05-12394 Filed 6-22-05; 8:45 am]
BILLING CODE 4150-36-P
EDGAR version June 23, 2005
