Agency Information Collection Activities; Proposed Collection; Comment Request; Investigational New Drug Regulations, 6889-6894 [E9-2846]
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[Federal Register Volume 74, Number 27 (Wednesday, February 11, 2009)] [Notices] [Pages 6889-6894] From the Federal Register Online via the Government Printing Office [www.gpo.gov] [FR Doc No: E9-2846] [[Page 6889]] ----------------------------------------------------------------------- DEPARTMENT OF HEALTH AND HUMAN SERVICES Food and Drug Administration [Docket No. FDA-2009-N-0030] Agency Information Collection Activities; Proposed Collection; Comment Request; Investigational New Drug Regulations AGENCY: Food and Drug Administration, HHS. ACTION: Notice. ----------------------------------------------------------------------- SUMMARY: The Food and Drug Administration (FDA) is announcing an opportunity for public comment on the proposed collection of certain information by the agency. Under the Paperwork Reduction Act of 1995 (the PRA), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including each proposed extension of an existing collection of information, and to allow 60 days for public comment in response to the notice. This notice solicits comments on requirements under which the clinical investigation of the safety and effectiveness of unapproved new drugs and biological products can be conducted. DATES: Submit written or electronic comments on the collection of information by April 13, 2009. ADDRESSES: Submit electronic comments on the collection of information to https://www.regulations.gov. Submit written comments on the collection of information to the Division of Dockets Management (HFA- 305), Food and Drug Administration, 5630 Fishers Lane, rm. 1061, Rockville, MD 20852. All comments should be identified with the docket number found in brackets in the heading of this document. FOR FURTHER INFORMATION CONTACT: Elizabeth Berbakos, Office of Information Management (HFA-710), Food and Drug Administration, 5600 Fishers Lane, Rockville, MD 20857, 301-796-3792. SUPPLEMENTARY INFORMATION: Under the PRA (44 U.S.C. 3501-3520), Federal agencies must obtain approval from the Office of Management and Budget (OMB) for each collection of information they conduct or sponsor. ``Collection of information'' is defined in 44 U.S.C. 3502(3) and 5 CFR 1320.3(c) and includes agency requests or requirements that members of the public submit reports, keep records, or provide information to a third party. Section 3506(c)(2)(A) of the PRA (44 U.S.C. 3506(c)(2)(A)) requires Federal agencies to provide a 60-day notice in the Federal Register concerning each proposed collection of information, including each proposed extension of an existing collection of information, before submitting the collection to OMB for approval. To comply with this requirement, FDA is publishing notice of the proposed collection of information set forth in this document. With respect to the following collection of information, FDA invites comments on these topics: (1) Whether the proposed collection of information is necessary for the proper performance of FDA's functions, including whether the information will have practical utility; (2) the accuracy of FDA's estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used; (3) ways to enhance the quality, utility, and clarity of the information to be collected; and (4) ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques, when appropriate, and other forms of information technology. Investigational New Drug Regulations--21 CFR Part 312 (OMB Control Number 0910 0014)--Extension FDA is requesting OMB approval for the reporting and recordkeeping requirements contained in FDA's regulations ``Investigational New Drug Application'' in part 312 (21 CFR part 312). Part 312 implements provisions of section 505(i) of the Federal Food, Drug, and Cosmetic Act (the act) (21 U.S.C. 355(i)) to issue regulations under which the clinical investigation of the safety and effectiveness of unapproved new drugs and biological products can be conducted. FDA is charged with implementing statutory requirements that drug products marketed in the United States be shown to be safe and effective, properly manufactured, and properly labeled for their intended uses. Section 505(a) of the act provides that a new drug may not be introduced or delivered for introduction into interstate commerce in the United States unless FDA has previously approved a new drug application (NDA). FDA approves an NDA only if the sponsor of the application first demonstrates that the drug is safe and effective for the conditions prescribed, recommended, or suggested in the product's labeling. Proof must consist, in part, of adequate and well-controlled studies, including studies in humans, that are conducted by qualified experts. The Investigational New Drug (IND) regulations establish reporting requirements that include an initial application as well as amendments to that application, reports on significant revisions of clinical investigation plans, and information on a drug's safety or effectiveness. In addition, the sponsor is required to give FDA an annual summary of the previous year's clinical experience. Submissions are reviewed by medical officers and other agency scientific reviewers assigned responsibility for overseeing the specific study. The IND regulations also contain recordkeeping requirements that pertain to the responsibilities of sponsors and investigators. The detail and complexity of these requirements are dictated by the scientific procedures and human subject safeguards that must be followed in the clinical tests of investigational new drugs. The IND information collection requirements provide the means by which FDA can do the following: (1) Monitor the safety of ongoing clinical investigations; (2) determine whether the clinical testing of a drug should be authorized; (3) ensure production of reliable data on the metabolism and pharmacological action of the drug in humans; (4) obtain timely information on adverse reactions to the drug; (5) obtain information on side effects associated with increasing doses; (6) obtain information on the drug's effectiveness; (7) ensure the design of well-controlled, scientifically valid studies; and (8) obtain other information pertinent to determining whether clinical testing should be continued and information related to the protection of human subjects. Without the information provided by industry in response to the IND regulations, FDA cannot authorize or monitor the clinical investigations which must be conducted prior to authorizing the sale and general use of new drugs. These reports enable FDA to monitor a study's progress, assure subject safety, assure that a study will be conducted ethically, and increase the likelihood that the sponsor will conduct studies that will be useful in determining whether the drug should be marketed and available for use in medical practice. There are two forms that are required under part 312: The first form is Form FDA-1571--``Investigational New Drug Application.'' A person who intends to conduct a clinical investigation submits this form to FDA. It includes the following information: (1) A cover sheet containing background information on the sponsor and investigator; (2) a table of contents; (3) an introductory [[Page 6890]] statement and general investigational plan; (4) an investigator's brochure describing the drug substance; (5) a protocol for each planned study; (6) chemistry, manufacturing, and control information for each investigation; (7) pharmacology and toxicology information for each investigation; and (8) previous human experience with the investigational drug. The second form is Form FDA-1572--``Investigator Statement.'' Before permitting an investigator to begin participation in an investigation, the sponsor must obtain and record this form. It includes background information on the investigator and the investigation, and a general outline of the planned investigation and the study protocol. FDA is requesting OMB approval for the following reporting and recordkeeping requirements in part 312: Table 1--Reporting and Recordkeeping Requirements in 21 CFR Part 312 ------------------------------------------------------------------------ REPORTING REQUIREMENTS ------------------------------------------------------------------------- 21 CFR Section Requirements ------------------------------------------------------------------------ 312.7(d).......................... Applications for permission to sell an investigational new drug 312.80............................ Charging for investigational drugs under an IND 312.10............................ Applications for waiver of requirements under part 312; as indicated in Sec. 312.10(a), estimates for this requirement are included under Sec. Sec. 312.23 and 312.31. In addition, separate requests under Sec. 312.10 are estimated in table 2 of this document. 312.20(c)......................... Applications for investigations involving an exception from informed consent under Sec. 50.24 (21 CFR 50.24); estimates for this requirement are included under Sec. 312.23. 312.23............................ INDs (content and format) (a)(1).......................... Cover sheet FDA-1571 (a)(2).......................... Table of contents (a)(3).......................... Investigational plan for each planned study (a)(5).......................... Investigator's brochure (a)(6).......................... Protocols--Phases 1, 2, and 3 (a)(7).......................... Chemistry, manufacturing, and control information (a)(7)(iv)(a), (b), and (c)..... A description of the drug substance, a list of all components, and any placebo used (a)(7)(iv)(d)................... Labeling: Copies of labels and labeling to be provided each investigator (a)(7)(iv)(e)................... Environmental impact analysis regarding drug manufacturing and use (a)(8).......................... Pharmacological and toxicology information (a)(9).......................... Previous human experience with the investigational drug (a)(10)......................... Additional information (a)(11)......................... Relevant information (f)............................. Identification of exception from informed consent 312.30............................ Protocol amendments (a)............................. New protocol (b)............................. Change in protocol (c)............................. New investigator (d)............................. Content and format (e)............................. Frequency 312.31............................ Information amendments (b)............................. Content and format Chemistry, toxicology, or technical information 312.32............................ Safety reports (c)(1).......................... Written reports to FDA and to investigators (c)(2).......................... Telephone reports to FDA for fatal or life-threatening experience (c)(3).......................... Format or frequency (d)............................. Followup submissions 312.33............................ Annual reports (a)............................. Individual study information (b)............................. Summary information (b)(1).......................... Adverse experiences (b)(2).......................... Safety report summary (b)(3).......................... List of fatalities and causes of death (b)(4).......................... List of discontinuing subjects (b)(5).......................... Drug action (b)(6).......................... Preclinical studies and findings (b)(7).......................... Significant changes (c)............................. Next year general investigational plan (d)............................. Brochure revision (e)............................. Phase I protocol modifications (f)............................. Foreign marketing developments 312.35............................ Treatment use of investigational new drugs (a)............................. Treatment protocol submitted by IND sponsor (b)............................. Treatment IND submitted by licensed practitioner [[Page 6891]] 312.36............................ Requests for emergency use of an investigational new drug 312.38(b) and (c)................. Notification of withdrawal of an IND 312.42(e)......................... Sponsor requests that a clinical hold be removed and submits a complete response to the issues identified in the clinical hold order 312.44(c) and (d)................. Opportunity for sponsor response to FDA when IND is terminated 312.45(a) and (b)................. Sponsor request for, or response to, inactive status determination of an IND 312.47(b)......................... ``End-of-Phase 2'' meetings and ``Pre-NDA'' meetings 312.53(c)......................... Investigator information; investigator report (Form FDA-1572) and narrative; investigator's background information; Phase 1 outline of planned investigation; and Phase 2 outline of study protocol 312.54(a) and (b)................. Sponsor submissions concerning investigations involving an exception from informed consent under Sec. 50.24 312.55(b)......................... Sponsor reports to investigators on new observations, especially adverse reactions and safe use; only ``new observations'' are estimated under this section; investigator brochures are included under Sec. 312.23 312.56(b), (c), and (d)........... Sponsor monitoring of all clinical investigations, investigators, and drug safety; notification to FDA 312.58(a)......................... Sponsor's submission of records to FDA on request 312.64............................ Investigator reports to the sponsor (a)............................. Progress reports (b)............................. Safety reports (c)............................. Final reports 312.66............................ Investigator reports to Institutional Review Board; estimates for this requirement are included under Sec. 312.53 312.70(a)......................... Investigator disqualification; opportunity to respond to FDA 312.83............................ Sponsor submission of treatment protocol; estimates for this requirement are included under Sec. Sec. 312.34 and 312.35 312.85............................ Sponsors conducting Phase 4 studies; estimates for this requirement are included under Sec. 312.23 in 0910-0014, and Sec. Sec. 314.50, 314.70, and 314.81 in 0910-0001 312.110(b)........................ Request to export an investigational drug 312.120........................... Submissions related to foreign clinical studies not conducted under an IND 312.130(d)........................ Request for disclosable information for investigations involving an exception from informed consent under Sec. 50.24 ------------------------------------------------------------------------ ------------------------------------------------------------------------ RECORDKEEPING REQUIREMENTS ------------------------------------------------------------------------- 21 CFR Section Requirements ------------------------------------------------------------------------ 312.52(a)......................... Transfer of obligations to a contract research organization 312.57............................ Sponsor recordkeeping 312.59............................ Sponsor recordkeeping of disposition of unused supply of drugs; estimates for this requirement are included under Sec. 312.57 312.62(a)......................... Investigator recordkeeping of disposition of drugs 312.62(b)......................... Investigator recordkeeping of case histories of individuals 312.120(d)........................ Recordkeeping requirements for submissions related to foreign clinical studies not conducted under an IND; estimates for this requirement are included under Sec. 312.57 312.160(a)(3)..................... Records maintenance: shipment of drugs for investigational use in laboratory research animals or in vitro tests 312.160(c)........................ Shipper records of alternative disposition of unused drugs ------------------------------------------------------------------------ [[Page 6892]] In tables 2 and 3 of this document, the estimates for ``No. of Respondents,'' ``No. of Responses per Respondent,'' and ``Total Annual Responses'' were obtained from the Center for Drug Evaluation and Research (CDER) and the Center for Biologics Evaluation and Research (CBER) reports and data management systems for submissions received in 2007 and from other sources familiar with the number of submissions received under part 312. The estimates for ``hours per response'' were made by CDER and CBER individuals familiar with the burden associated with these reports and from estimates received from the pharmaceutical industry. FDA estimates the burden of this collection of information as follows: Table 2--Estimated Annual Reporting Burden for Human Drugs and Biologics (CDER)\1\ ---------------------------------------------------------------------------------------------------------------- No. of No. of Responses Total Annual Hours per 21 CFR Section Respondents per Respondent Responses Response Total Hours ---------------------------------------------------------------------------------------------------------------- 312.7(d) 28 1.58 44 24 1,056 ---------------------------------------------------------------------------------------------------------------- 312.10 4 1 4 10 40 ---------------------------------------------------------------------------------------------------------------- 312.23(a) through 2,496 1.26 3,156 1,600 5,049,600 (f) ---------------------------------------------------------------------------------------------------------------- 312.30(a) through 2,030 8.91 18,079 284 5,134,436 (e) ---------------------------------------------------------------------------------------------------------------- 312.31(b) 153 2.97 454 100 45,400 ---------------------------------------------------------------------------------------------------------------- 312.32(c) and (d) 985 23.06 22,713 32 726,816 ---------------------------------------------------------------------------------------------------------------- 312.33(a) through 2,564 2.34 5,994 360 2,157,840 (f) ---------------------------------------------------------------------------------------------------------------- 312.35(a) and (b) 9 1.11 10 300 3,000 ---------------------------------------------------------------------------------------------------------------- 312.36 525 1.23 645 16 10,320 ---------------------------------------------------------------------------------------------------------------- 312.38(b) and (c) 654 1.34 874 28 24,472 ---------------------------------------------------------------------------------------------------------------- 312.42(e) 149 1.10 164 284 46,576 ---------------------------------------------------------------------------------------------------------------- 312.44(c) and (d) 159 1.13 179 16 2,864 ---------------------------------------------------------------------------------------------------------------- 312.45(a) and (b) 254 1.43 362 12 4,344 ---------------------------------------------------------------------------------------------------------------- 312.47(b) 281 1.8 529 160 84,640 ---------------------------------------------------------------------------------------------------------------- 312.53(c) 900 26.51 23,855 80 1,908,400 ---------------------------------------------------------------------------------------------------------------- 312.54(a) and (b) 1 1 1 48 48 ---------------------------------------------------------------------------------------------------------------- 312.55(b) 985 2,306 2,271,300 48 109,022,400 ---------------------------------------------------------------------------------------------------------------- 312.56(b), (c), 18 1 18 80 1,440 and (d) ---------------------------------------------------------------------------------------------------------------- 312.58(a) 91 4.10 373 8 2,984 ---------------------------------------------------------------------------------------------------------------- 312.64 141,393 1 141,393 24 3,393,432 ---------------------------------------------------------------------------------------------------------------- 312.70(a) 4 1.5 6 40 240 ---------------------------------------------------------------------------------------------------------------- 312.110(b) 23 18.26 420 75 31,500 ---------------------------------------------------------------------------------------------------------------- 312.120\2\ 115 5 575 32 18,400 ---------------------------------------------------------------------------------------------------------------- 312.130(d) 3 1 3 8 24 ---------------------------------------------------------------------------------------------------------------- \1\ There are no capital and startup, or operation, maintenance, and purchase costs associated with the collection of information requirements. \2\ Section 312.120 includes the burden estimate for both CDER and CBER. Table 3--Estimated Annual Recordkeeping Burden for Human Drugs and Biologics (CDER)\1\ ---------------------------------------------------------------------------------------------------------------- No. of No. of Records Total Annual Hours per 21 CFR Section Recordkeepers per Recordkeeper Records Record Total Hours ---------------------------------------------------------------------------------------------------------------- 312.52(a) 683 1 683 2 1,366 ---------------------------------------------------------------------------------------------------------------- 312.57 75 485.28 36,396 100 3,639,600 ---------------------------------------------------------------------------------------------------------------- 312.62(a) 14,732 1 14,732 40 589,280 ---------------------------------------------------------------------------------------------------------------- 312.62(b) 147,320 1 147,320 40 5,892,800 ---------------------------------------------------------------------------------------------------------------- [[Page 6893]] 312.160(a)(3) 547 1.4 782 .5 391 ---------------------------------------------------------------------------------------------------------------- 312.160(c) 547 1.4 782 .5 391 ---------------------------------------------------------------------------------------------------------------- \1\ There are no capital and startup, or operation, maintenance, and purchase costs associated with the collection of information requirements. Table 4--Estimated Annual Reporting Burden for Biologics (CBER)\1\ ---------------------------------------------------------------------------------------------------------------- No. of No. of Responses Total Annual Hours per 21 CFR Section Respondents per Respondent Responses Responses Total Hours ---------------------------------------------------------------------------------------------------------------- 312.7(d) 12 1.1 13 24 312 ---------------------------------------------------------------------------------------------------------------- 312.23(a) through 168 1.5 256 1,600 409,600 (f)\2\ ---------------------------------------------------------------------------------------------------------------- 312.30(a) through 372 6.4 2,369 284 672,796 (e) ---------------------------------------------------------------------------------------------------------------- 312.31(b)\2\ 703 7.7 5,417 100 541,700 ---------------------------------------------------------------------------------------------------------------- 312.32(c) and (d) 175 14.6 2,563 32 82,016 ---------------------------------------------------------------------------------------------------------------- 312.33(a) through 512 2.3 1,168 360 420,480 (f) ---------------------------------------------------------------------------------------------------------------- 312.35(a) and (b) 1 1 1 300 300 ---------------------------------------------------------------------------------------------------------------- 312.36 10 4 40 16 640 ---------------------------------------------------------------------------------------------------------------- 312.38(b) and (c) 81 1.5 120 28 3,360 ---------------------------------------------------------------------------------------------------------------- 312.42(e) 74 1.5 108 284 30,672 ---------------------------------------------------------------------------------------------------------------- 312.44(c) and (d) 34 1.1 39 16 624 ---------------------------------------------------------------------------------------------------------------- 312.45(a) and (b) 41 1.4 59 12 708 ---------------------------------------------------------------------------------------------------------------- 312.47(b) 31 1.2 37 160 5,920 ---------------------------------------------------------------------------------------------------------------- 312.53(c) 243 4.95 1,203 80 96,240 ---------------------------------------------------------------------------------------------------------------- 312.54(a) and (b) 1 1 1 48 48 ---------------------------------------------------------------------------------------------------------------- 312.55(b) 42 1 43 48 2,064 ---------------------------------------------------------------------------------------------------------------- 312.56(b), (c), 10 1.6 16 80 1,280 and (d) ---------------------------------------------------------------------------------------------------------------- 312.58(a) 7 1 7 8 56 ---------------------------------------------------------------------------------------------------------------- 312.64 2,728 3.82 10,411 24 249,864 ---------------------------------------------------------------------------------------------------------------- 312.70(a) 5 1 5 40 200 ---------------------------------------------------------------------------------------------------------------- 312.110(b) 18 1 18 75 1,350 ---------------------------------------------------------------------------------------------------------------- 312.130(d) 1 1 1 8 8 ---------------------------------------------------------------------------------------------------------------- \1\ There are no capital and startup, or operation, maintenance, and purchase costs associated with the collection of information requirements. \2\ The reporting requirement for Sec. 312.10 is included in the estimates for Sec. Sec. 312.23 and 312.31. Table 5--Estimated Annual Recordkeeping Burden for Biologics (CBER)\1\ ---------------------------------------------------------------------------------------------------------------- No. of Annual Frequency Total Annual Hours per 21 CFR Section Recordkeepers per Recordkeeping Records Record Total Hours ---------------------------------------------------------------------------------------------------------------- 312.52(a) 52 1.4 73 2 146 ---------------------------------------------------------------------------------------------------------------- 312.57 168 3.05 512 100 51,200 ---------------------------------------------------------------------------------------------------------------- 312.62(a) 2,560 1 2,560 40 102,400 ---------------------------------------------------------------------------------------------------------------- 312.62(b) 2,560 10 25,600 40 1,024,000 ---------------------------------------------------------------------------------------------------------------- 312.160(a)(3) 55 1.4 77 0.5 38.5 ---------------------------------------------------------------------------------------------------------------- [[Page 6894]] 312.160(c) 55 1.4 77 0.5 38.5 ---------------------------------------------------------------------------------------------------------------- \1\ There are no capital and startup, or operation, maintenance, and purchase costs associated with the collection of information requirements. Table 6--Totals for Estimated Annual Reporting and Recordkeeping Burdens for CDER and CBER Reporting Burden 130,190,510 ------------------------------------------------------------------------ Recordkeeping 11,301,652 ------------------------------------------------------------------------ Total 141,492,162 ------------------------------------------------------------------------ Dated: February 4, 2009. Jeffrey Shuren, Associate Commissioner for Policy and Planning. [FR Doc. E9-2846 Filed 2-10-09; 8:45 am] BILLING CODE 4160-01-S
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