[Federal Register Volume 60, Number 38 (Monday, February 27, 1995)]
[Rules and Regulations]
[Pages 10718-10720]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-4637]




[[Page 10717]]

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Part IV





Department of Health and Human Services





_______________________________________________________________________



Public Health Service



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42 CFR Part 63



Traineeships; Final Rule

Federal Register / Vol. 60, No. 38 / Monday, February 27, 1995 / 
Rules and Regulations
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[[Page 10718]] 


DEPARTMENT OF HEALTH AND HUMAN SERVICES

Public Health Service

42 CFR Part 63

RIN 0905-AD28


Traineeships

AGENCY: National Institutes of Health, Public Health Service, DHHS.

ACTION: Final rule.

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SUMMARY: This final rule revises regulations governing National 
Institutes of Health (NIH) research traineeship awards in their 
entirety. The regulations are obsolete and require revision. The 
revised regulations are intended to provide NIH with the flexibility 
needed to effectively support the development and operation of a 
variety of training programs essential to the NIH research mission.

EFFECTIVE DATE: This final rule is effective March 29, 1995.

FOR FURTHER INFORMATION CONTACT: Mr. Jerry Moore, Regulatory Affairs 
Officer, National Institutes of Health, Building 31, Room 1B25, 31 
Center DR MSC, 9000 Rockville Pike, Bethesda, Maryland 20892-2075, 
telephone (301) 496-4606 (not a toll-free number). For information 
concerning the program contact the Office of Education, National 
Institutes of Health, Building 10, Room 1C129, 9000 Rockville Pike, 
Bethesda, Maryland 20892-0001, telephone (301) 496-2427 (not a toll-
free number).

SUPPLEMENTAL INFORMATION: On August 6, 1993 (58 FR 42039), NIH 
published a notice of proposed rulemaking in the Federal Register 
announcing its intention to revise in their entirety the regulations at 
42 CFR part 63 governing traineeships to cover traineeships awarded 
under sections 404E(d)(2), 405(b)(1)(C), 472, and 484 of the Public 
Health Service (PHS) Act, as amended.
    Traineeships under part 63 are designed to provide research 
training for which fellowship support is not provided under section 487 
of the PHS Act, and which is not residency training of physicians or 
other health professionals. The traineeships provide opportunities for 
developmental training and practical research experience in the labs of 
NIH, and are available to postdoctoral scientists at the beginning 
stages of their professional research careers, and to high school, 
college, graduate and professional (e.g. medical, dental, and other 
health fields) school students pursuing studies in academic disciplines 
related to biomedical research and in medical library science and 
related fields.
    NIH received no comments concerning the NPRM. However, enactment of 
the NIH Revitalization Act of 1993, Public Law 103-43, necessitated 
making several technical changes to the proposed regulations to conform 
the regulations to Public Law 103-43. More specifically, Public Law 
103-43 redesignated the National Center for Nursing Research as the 
National Institute of Nursing Research. Accordingly, references to the 
National Center for Nursing Research in paragraph (a) of Sec. 63.1 and 
in the definition for the term ``Director'' in Sec. 63.2 were deleted. 
This redesignation also eliminated the need for the reference to PHS 
Act section 484. Accordingly, references to section 484 were deleted 
from the authority citation, paragraph (a) of Sec. 63.1, and the 
definitions for the terms ``Award,'' ``Awardee'' and ``Traineeship'' in 
Sec. 63.2.
    Public Law 103-43 also set forth new traineeship authority for the 
Director of the National Center for Human Genome Research (NCHGR) in 
PHS Act section 485B and the Director of the Office of Alternative 
Medicine (OAM) in PHS Act section 404E(d)(2). Accordingly, references 
to the NCHGR and OAM authorities were added to paragraph (a) of 
Sec. 63.1 and to the definition for the term ``Director'' in Sec. 63.2. 
In addition, references to PHS Act section 485B and 404E were added to 
the authority citation, paragraph (a) of Sec. 63.1, and to the 
definitions for the terms ``Award,'' ``Awardee,'' and ``Traineeship'' 
in Sec. 63.2.
    Additionally, Public Law 103-43 required NIH to establish 
guidelines on the inclusion of women and minorities and their 
subpopulations in research involving human subjects, including clinical 
trails, supported by NIH. These guidelines, which were originally 
published in the Federal Register on March 9, 1994 (59 FR 1146), were 
republished on March 28, 1994 (59 FR 14508) because of typesetting 
problems. Section 63.10 of the regulations was modified to include a 
reference for these guidelines.
    In accordance with section 553 of title 5 of the United States 
Code, NIH finds that good cause exists for waiving another NPRM. Delay 
of this rule would be contrary to the public interest and unnecessary 
given the technical nature of these changes.
    Further, PHS strongly encourages all grant recipients to provide a 
smoke-free workplace and to promote the nonuse of all tobacco products, 
and Public Law 103-227, the Pro-Children Act of 1994, prohibits smoking 
in certain facilities that receive Federal funds in which education, 
library, day care, health care, and early childhood development 
services are provided to children.

Regulatory Impact Statement

    Executive Order 12866 of September 30, 1993, Regulatory Planning 
and Review, requires the Department to prepare an analysis for any rule 
that meets one of the E. O. 12866 criteria for a significant regulatory 
action; that is, that may--
    Have an annual effect on the economy of $100 million or more or 
adversely affect in a material way the economy, a sector of the 
economy, productivity, competition, jobs, the environment, public 
health or safety, or State, local, or tribal governments or 
communities;
    Create a serious inconsistency or otherwise interfere with an 
action taken or planned by another agency;
    Materially alter the budgetary impact of entitlements, grants, user 
fees, or loan programs or the rights and obligations of recipients 
thereof; or
    Raise novel legal or policy issues arising out of legal mandates, 
the President's priorities, or the principles set forth in E.O. 12866.
    In addition, the Department prepares a regulatory flexibility 
analysis, in accordance with the Regulatory Flexibility Act of 1980 (5 
U.S.C. chapter 6), if the rule is expected to have a significant impact 
on a substantial number of small entities.
    For the reasons outlined below, the Secretary does not believe this 
rule is economically significant nor does the Secretary believe that it 
will have a significant impact on a substantial number of small 
entities. In addition, this proposed rule is not inconsistent with the 
actions of any other agency.
    This proposed rule merely codifies internal policies and procedures 
of the Federal government currently used to administer traineeship 
awards. The program does not have a significant economic or policy 
impact on a broad cross-section of the public. Furthermore, this rule 
will only affect those few highly qualified health professionals who 
are interested in participating in the program, subject to the normal 
accountability requirements for program participation. No individual is 
obligated to participate in the program. For these same reasons, the 
Secretary certifies this proposed rule will not have a significant 
economic impact on a substantial number of small entities, and that a 
Regulatory Flexibility Analysis, as defined under the Regulatory 
Flexibility Act of 1980, is not required.

[[Page 10719]]

Paperwork Reduction Act

    This rule contains information collection requirements subject to 
Office of Management and Budget (OMB) review and approval under the 
Paperwork Reduction Act of 1980 (44 U.S.C. chapter 35).

    Title: National Institutes of Health Research Traineeships.
    Description: The information collected is used by NIH to 
determine an applicant's eligibility to apply for a traineeship, 
ensures that an awardee agrees to comply with the terms and 
conditions of the traineeship and that an awardee shows good cause 
for not reimbursing PHS for any overpayment of stipends or other 
allowances because of early termination of the traineeship or for 
any other reason.
    Respondent Description: Individuals or households.

           Estimated Annual Reporting and Recordkeeping Burden          
------------------------------------------------------------------------
                         Annual                   Average       Annual  
                       number of      Annual     burden per     burden  
                      respondents   frequency     response      hours   
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Reporting: Sec.                                                         
 63.6(b)                                                                
    Summer                                                              
     Fellowship                                                         
     Applicants.....        3,000            1            1        3,000
    Predoctoral &                                                       
     Postdoctoral                                                       
     Applicants.....          400            1            1          400
    Summer                                                              
     Fellowship                                                         
     References.....        6,000            1          .33        2,000
    Predoctoral &                                                       
     Postdoctoral                                                       
     References.....        1,200            1          .33          400
                     ---------------------------------------------------
        Subtotal....       10,600            1          .55     \1\5,800
                     ===================================================
    Sec. 63.8(c)....          100            1          .25           25
    Sec. 63.9(a)....          100            1          .25           25
                     ---------------------------------------------------
        Total.......  ...........  ...........  ...........           50
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\1\This burden is approved under OMB Approval Number 0925-0299 (expires 
  April 30, 1997).                                                      

    The information collection in Sec. 63.6(b) regarding application 
materials and the associated burden are approved under OMB Approval 
Number 0925-0299 (expires April 30, 1997). The information collection 
in Sec. 63.8(c) and Sec. 63.9(a), and the associated burden have been 
reported to OMB for review and approval under OMB Approval Number 0925-
0299.

Catalog of Federal Domestic Assistance

    Catalog of Federal Domestic Assistance program numbers affected 
by this rule are: 93.140 and 93.172.

List of Subjects in Part 63

    Grant programs--health; Health; Medical research.

    Dated: December 16, 1994.
Philip R. Lee,
Assistant Secretary for Health.
    Approved: February 16, 1995.
Donna E. Shalala,
Secretary.
    Accordingly, part 63 of title 42 of the Code of Federal Regulations 
is revised to read as set forth below.
PART 63--TRAINEESHIPS

Sec.
63.1  To what programs do these regulations apply?
63.2  Definitions.
63.3  What is the purpose of traineeships?
63.4  What are the minimum qualifications for awards?
63.5  How will NIH make awards?
63.6  How to apply.
63.7  What are the benefits of awards?
63.8  What are the terms and conditions of awards?
63.9  How may NIH terminate awards?
63.10  Other HHS regulations and policies that apply.

    Authority: 42 U.S.C. 216, 283g(d), 284(b)(1)(C), 286b-3, 
287c(b).


Sec. 63.1  To what programs do these regulations apply?

    (a) The regulations in this part apply to research traineeships 
awarded by each Director of a national research institute of NIH, the 
Director of the National Library of Medicine (NLM), the Director of the 
National Center for Human Genome Research (NCHGR), the Director of the 
Office of Alternative Medicine, or designees pursuant to sections 
404E(d)(2), 405(b)(1)(C), 472, and 485B of the Public Health Service 
Act, as amended.
    (b) The regulations of this part do not apply to research training 
which is part of the National Research Service Award Program provided 
under 42 CFR part 66, the Mental Health Traineeship Program provided 
under 42 CFR part 64a, or residency training of physicians or other 
health professionals.


Sec. 63.2  Definitions.

    As used in this part:
    ``Act'' means the Public Health Service Act, as amended (42 U.S.C. 
201 et seq.).
    ``Award'' means an award of funds under sections 404E(d)(2), 
405(b)(1)(C), 472, or 485B of the Act, or other sections of the Act 
which authorize research training or traineeships.
    ``Awardee'' means an individual awarded a traineeship under 
sections 404E(d)(2), 405(b)(1)(C), 472, or 485B of the Act, or other 
sections of the Act which authorize research training or traineeships.
    ``Director'' means the director of one of the national research 
institutes of NIH specified in section 401(b)(1) of the Act, the 
Director of the National Library of Medicine, the Director of the 
National Center for Human Genome Research, the Director of the Office 
of Alternative Medicine, or any official of NIH to whom the authority 
involved has been delegated.
    ``HHS'' means the Department of Health and Human Services.
    ``NIH'' means the National Institutes of Health.
    ``PHS'' means the Public Health Service.
    ``Traineeship'' means an award of funds under section 404E(d)(2), 
405(b)(1)(C), 472, or 485B of the Act, or other sections of the Act 
authorizing research training or traineeships, and the regulations of 
this part, to a qualified individual for the person's subsistence and 
other expenses during a period in which the awardee is acquiring the 
research training approved under the award.


Sec. 63.3  What is the purpose of traineeships?

    The purpose of an NIH research traineeship is to provide support 
for financial subsistence to an individual during a period in which the 
awardee is acquiring training in:
    (a) Basic and/or clinical biomedical or behavioral research 
relating to human health, including extending healthy life and reducing 
the burdens of illness, or [[Page 10720]] 
    (b) Medical library science or related fields pertaining to 
sciences related to health or the communication of health sciences 
information.
    Traineeships are intended to make available in the United States an 
increased number of persons having special competence in these research 
fields through developmental training and practical research experience 
in the facilities of NIH, with supplemental training at other qualified 
institutions (see Sec. 63.8(a)).


Sec. 63.4  What are the minimum qualifications for awards?

    Minimum qualifications for any traineeship shall be established by 
the Director and shall be uniformly applicable to all applicants in 
each traineeship program. These minimum qualifications may include 
requirements as to citizenship, medical standards, academic degrees, 
professional or other training or experience, and other factors as may 
be necessary to the fulfillment of the purpose of the traineeship. The 
Director may, as a matter of general policy or, in individual cases, 
waive compliance with any minimum qualification so established to the 
extent that the applicant or applicants have substantially equivalent 
qualifications or have such special training, experience or opportunity 
for service as to make an award particularly appropriate, and to the 
extent the Director finds it is consistent with the fulfillment of the 
purpose of the traineeship.


Sec. 63.5  How will NIH make awards?

    Subject to the regulations of this part, the Director may award 
traineeships to those qualified applicants who are best able in that 
official's judgment to carry out the purpose of the traineeships. These 
awards may be made for a period of one (1) year or other period, 
including extensions or renewals, as may be specified.


Sec. 63.6  How to apply.

    (a) Application for a traineeship shall be made in writing as 
prescribed by the Director.
    (b) In addition to other pertinent information, the Director may 
require each applicant to submit the following information:
    (1) Certification of the applicant's citizenship status;
    (2) The applicant's educational background and other qualifications 
and experience, including previous academic and professional degrees, 
if any; and
    (3) The subject area of the proposed training.
    (c) By applying, eligible individuals agree to abide by HHS, PHS, 
and NIH regulations, and the terms and conditions of the traineeship 
award which may require compliance with policies and procedures that 
apply to the proper conduct of research, such as research involving 
human and animal subjects, patient care, hospital and laboratory 
procedures, handling of confidential information, and outside 
employment.


Sec. 63.7  What are the benefits of awards?

    (a) Subject to the availability of funds, each individual awarded a 
traineeship may receive a stipend fixed in an amount determined by the 
Director.
    (b) Additional allowances and benefits may be authorized by and at 
the discretion of the Director, taking into account the cost of living 
and other factors such as the requirements of the training program and 
availability of discretionary funds. Discretionary allowances and 
benefits may include: health benefits coverage; dependents' allowance; 
travel to pre-award interviews, to first duty station, and return to 
the place of origin upon conclusion of the traineeship; tuition and 
institution fees; and other specific costs as may be necessary to 
fulfill the purpose of the training program.


Sec. 63.8  What are the terms and conditions of awards?

    All traineeships shall be subject to the following terms and 
conditions:
    (a) Training must be carried out at a facility of the NIH, but may 
be supplemented by additional training acquired at another institution 
which is found by the Director to be directly related to the purpose of 
the traineeship and necessary to its successful completion.
    (b) Payments shall be made to the awardee or to the institution for 
payment to the awardee in accordance with payment schedules as 
prescribed by the Director for each traineeship program.
    (c) The awardee shall reimburse NIH for any overpayment of stipends 
or other allowances because of early termination of the traineeship or 
any other reason, unless waived for good cause shown by the awardee.
    (d) The Director may establish procedures and requirements 
applicable to traineeship awards, consistent with the regulations in 
this part, regarding: (1) The proper conduct of research 
investigations, including research involving human and animal subjects; 
(2) patient care; (3) hospital and laboratory procedures; (4) handling 
of confidential information; (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.


Sec. 63.9  How may NIH terminate awards?

    The Director may terminate a 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. 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 subjects
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 activities receiving Federal financial assistance
45 CFR part 86--Nondiscrimination on the basis of sex in education 
programs and activities receiving or benefiting from Federal 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

[FR Doc. 95-4637 Filed 2-24-95; 8:45 am]
BILLING CODE 4140-01-P