[Federal Register Volume 68, Number 48 (Wednesday, March 12, 2003)]
[Notices]
[Pages 11868-11870]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-5791]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. 03N-0050]


Agency Information Collection Activities; Proposed Collection; 
Comment Request; Investigational Device Exemptions Reports and Records

AGENCY:  Food and Drug Administration, HHS.

ACTION:  Notice.

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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 information 
collection, and to allow 60 days for public comment in response to the 
notice. This notice solicits comments on information collection 
requirements for investigational device exemptions (IDE) reports and 
records.

DATES: Submit written or electronic comments on the collection of 
information by May 12, 2003.

ADDRESSES: Submit electronic comments on the collection of information 
to http://www.accessdata.fda.gov/scripts/oc/dockets/edockethome.cfm. 
Submit written comments on the collection of information to the Dockets 
Management Branch (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: Peggy Robbins, Office of Information 
Resources Management (HFA-250), Food and Drug Administration, 5600 
Fishers Lane, Rockville, MD 20857, 301-827-1223.

SUPPLEMENTARY INFORMATION:

I. Background

    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: (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 Device Exemptions Reports and Records--21 CFR Part 812 
(OMB Control No. 0910-0078)--Extension

    Section 520(g) of the Federal Food, Drug, and Cosmetic Act (the 
act) (21 U.S.C. 360j(g)) establishes the statutory authority to collect 
information regarding investigational devices, and establishes rules 
under which new medical devices may be tested using human subjects in a 
clinical setting. The Food and Drug Administration Modernization Act of 
1997 added section 520(g)(6) to the act and permitted changes to be 
made to either the investigational device or to the clinical protocol 
without FDA approval of an IDE supplement.
    An IDE allows a device, which would otherwise be subject to 
provisions of the act, such as premarket notification or premarket 
approval, to be used in investigations involving human subjects in 
which the safety and effectiveness of

[[Page 11869]]

the device is being studied. The purpose of part 812 (21 CFR part 812) 
is to encourage, to the extent consistent with the protection of public 
health and safety and with ethical standards, the discovery and 
development of useful devices intended for human use. The IDE 
regulation is designed to encourage the development of useful medical 
devices, and allow investigators the maximum freedom possible, without 
jeopardizing the health and safety of the public or violating ethical 
standards.
    To do this, the regulation provides for different levels of 
regulatory control depending on the level of potential risk the 
investigational device presents to human subjects. Investigations of 
significant risk devices, ones that present a potential for serious 
harm to the rights, safety or welfare of human subjects, are subject to 
the full requirements of the IDE regulation. Nonsignificant risk device 
investigations, ones that do not present a potential for serious harm, 
are subject to the reduced burden of the abbreviated requirements.
    The regulation also includes provisions for treatment IDEs. The 
purpose of these provisions is to facilitate the availability, as early 
in the device development process as possible, of promising new devices 
to patients with life-threatening or serious conditions for which no 
comparable or satisfactory alternative therapy is available.
    Section 812.10 allows the sponsor of the IDE to request a waiver to 
all of the requirements of part 812. This information is needed for FDA 
to determine if waiver of the requirements of part 812 will impact the 
public's health and safety.
    Sections 812.20, 812.25, and 812.27, consist of the information 
necessary to file an IDE application with FDA. The submission of an IDE 
application to FDA is required only for significant risk device 
investigations. Section 812.20 lists the data requirements for the 
original IDE application; Sec.  812.25 lists the contents of the 
investigational plan; and Sec.  812.27 lists the data relating to 
previous investigations or testing. The information in this original 
IDE application is evaluated by the Center for Devices and Radiological 
Health to determine whether the proposed investigation will reasonably 
protect the public health and safety, and for FDA to make a 
determination to approve the IDE.
    Once FDA approves an IDE application, a sponsor must submit certain 
requests and reports. Under Sec.  812.35 a sponsor who wishes to make a 
change in the investigation which affects the scientific soundness of 
the study or the rights, safety, or welfare of the subjects is required 
to submit a request for the change to FDA. Under Sec.  812.150 a 
sponsor is required to submit reports to FDA. These requests and 
reports are submitted to FDA as supplemental applications. This 
information is needed for FDA to assure protection of human subjects 
and to allow review of the study's progress.
    Section 812.36(c) identifies the information necessary to file a 
treatment IDE application. FDA uses this information to determine if 
wider distribution of the device is in the interests of the public 
health. Section 812.36(f) identifies the reports required to allow FDA 
to monitor the size and scope of the treatment IDE, to assess the 
sponsor's due diligence in obtaining marketing clearance of the device 
and to ensure the integrity of the controlled clinical trials.
    Section 812.140 lists the recordkeeping requirements for 
investigators and sponsors. FDA requires this information for tracking 
and oversight purposes. Investigators are required to maintain records, 
including correspondence and reports concerning the study; records of 
receipt, use or disposition of devices; records of each subject's case 
history and exposure to the device; informed consent documentation; 
study protocol and documentation of any deviation from the protocol. 
Sponsors are required to maintain records including correspondence and 
reports concerning the study; records of shipment and disposition; 
signed investigator agreements; adverse device effects information; 
and, for a nonsignificant risk device study, an explanation of the 
nonsignificant risk determination, records on device name and intended 
use, study objectives, investigator information, investigational review 
board (IRB) information, and statement on the extent that good 
manufacturing practices will be followed.
    The most likely respondents to this information collection will 
primarily be medical device manufacturers, investigators, hospitals, 
health maintenance organizations, and businesses.
    FDA estimates the burden of this collection of information as 
follows:

                                 Table 1.--Estimated Annual Reporting Burden\1\
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                         No. of        Annual Frequency     Total Annual        Hours per
 21 CFR  Section      Respondents        per Response        Responses           Response         Total  Hours
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812.10                             1                  1                  1                  1                  1
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812.20, 812.25,                  600                0.5                300                 80             24,000
 and 812.27
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812.35 and                       600                  7              4,200                  6             25,200
 812.150
 (significant)
812.150                          600              0.017                 10                  6                 60
 (nonsignificant)
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812.36(c)                          6                  1                  6                120                720
----------------------------------------------------------------------------------------------------------------
812.36(f)                          6                  2                 12                 20                240
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TOTALS                                                                                                    50,221
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\1\ There are no capital costs or operating and maintenance costs associated with this collection of
  information.


                               Table 2.--Estimated Annual Recordkeeping Burden\1\
----------------------------------------------------------------------------------------------------------------
                         No. of        Annual Frequency     Total Annual
 21 CFR  Section     Recordkeepers    of  Recordkeeping       Records       Hours per  Record     Total  Hours
----------------------------------------------------------------------------------------------------------------
812.140

[[Page 11870]]

 
  Original                       600                0.5                300                 10              3,000
  Supplemental                   600                  7              4,200                  1              4,200
  Nonsignificant                 600                  1                600                  6              3,600
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Total                                                                                                     10,800
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\1\ There are no capital costs or operating and maintenance costs associated with this collection of
  information.

II. Reporting

    Section 812.10 estimates are based on the fact that FDA has 
received very few, if any, waiver requests in the past, and estimates 
that very few will be submitted in the future. Therefore, FDA estimates 
a minimal burden to account for waiver requests.
    Sections 812.20, 812.25, and 812.27 estimates are based on the 
average of IDE's submitted from fiscal years 1995 through 2002. FDA 
estimates the annual reporting burden for one IDE original application 
to be approximately 80 hours, and the annual reporting burden for one 
IDE supplement to be approximately 6 hours.
    Sections 812.35 and 812.150 estimates are based on the average of 
IDE supplements submitted from fiscal years 1995 through 2002 for 
significant risk device studies. FDA estimates the annual reporting 
burden for one IDE supplement to be approximately 6 hours.
    The reporting burden for nonsignificant risk device studies (Sec.  
812.150) is negligible. Nonsignificant risk device studies are not 
reported to FDA unless a problem is reported such as an unanticipated 
adverse device reaction, failure to obtain informed consent, withdrawal 
of IRB approval, or a recall of a device. In the past, an average of 10 
incidences or less annually have been reported to FDA.
    Section 812.36(c) and (f) estimates are based on FDA's experience 
with the treatment use of drugs and knowledge of the types of devices 
that may meet the treatment use criteria. FDA estimates that an average 
of 6 treatment use applications will be submitted each year. FDA 
estimates that it will take approximately 120 hours to prepare a 
treatment IDE and the total annual burden for preparing applications 
will be 720 hours. FDA also estimates that it will take approximately 
20 hours to prepare a semiannual report, resulting in a total annual 
burden of 240 hours for annual reports.

III. Recordkeeping

    Section 812.40 estimates are based on conversations with 
manufacturers, industry trade association groups, and businesses over 
the last 3 years. For significant risk device investigations, FDA has 
estimated that the recordkeeping burden for preparing an original IDE 
submission averages 10 hours for each original IDE submission. 
Similarly, through the same conversations mentioned above, FDA has 
estimated recordkeeping for each supplement requires 1 hour. The 
recordkeeping burden for nonsignificant risk device investigations is 
difficult to estimate because nonsignificant risk device investigations 
are not required to be submitted to FDA. The IDE staff estimates that 
the number of recordkeepers for nonsignificant risk device 
investigations is equal to the number for active significant risk 
device investigations. The recordkeeping burden, however, is reduced 
for nonsignificant risk device studies. It is estimated that 600 
recordkeepers will spend 6 hours each in maintaining these records.

    Dated: March 4, 2003.
William K. Hubbard,
Associate Commissioner for Policy and Planning.
[FR Doc. 03-5791 Filed 3-11-03; 8:45 am]
BILLING CODE 4160-01-S