[Federal Register Volume 72, Number 124 (Thursday, June 28, 2007)]
[Notices]
[Pages 35494-35497]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E7-12502]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. 2007N-0231]


Agency Information Collection Activities; Proposed Collection; 
Comment Request; Pre-market Approval of Medical Devices

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 collection of 
information, and to allow 60 days for public comment in response to the 
notice. This notice solicits comments on information collection 
requirements for premarket approval of medical devices.

DATES: Submit written or electronic comments on the collection of 
information by August 27, 2007.

ADDRESSES: Submit electronic comments on the collection of information 
to: http://www.fda.gov/dockets/ecomments. 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: Denver Presley, Jr., Office of the 
Chief Information Officer (HFA-250), Food and Drug Administration, 5600 
Fishers Lane, Rockville, MD 20857, 301-827-1472.

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.

Pre-market Approval of Medical Devices--21 CFR Part 814 / FDAMA 
Sections 201; 202; 205; 208; 209 (OMB Control Number 0910-0231)--
Extension

    Section 515 of the Federal Food, Drug, and Cosmetic Act (the act) 
(21 U.S.C. 360e) sets forth the requirements for pre-market approval of 
certain class III medical devices. Class III devices are either pre-
amendments devices that have been classified into class III, or post-
amendments devices which are not substantially equivalent to a pre-
amendments device, or transitional devices. Class III devices are 
devices such as implants, life sustaining or life supporting devices, 
and /or devices which otherwise present a potentially unreasonable risk 
of illness or injury, and /or are of substantial importance in 
preventing impairment of human health. Most pre-market approval 
applications (PMAs) are for post-amendments class III devices.
    Under section 515 of the act, an application must contain certain 
specific information, including full reports of all information 
concerning investigations showing whether the device is reasonably safe 
and effective. The application should also include a statement of 
components, ingredients, and properties of the principles of operation 
for such a device. In addition, the application should also include a 
full description of the methods used in, and the facilities and 
controls used for the manufacture and processing of the device and 
labeling specimens. The implementing regulations, contained in

[[Page 35495]]

part 814 (21 CFR part 814), further specifies the contents of a PMA for 
a class III medical device and the criteria FDA sets forth in 
approving, denying, or withdrawing approval of a PMA as well as 
supplements to PMAs. The purpose of this regulation is to establish an 
efficient and thorough procedure for FDA's review of PMAs and 
supplements to PMAs for certain class III (pre-market approval) medical 
devices. The regulations under part 814 facilitate the approval of PMAs 
and supplements to PMAs for devices that have been shown to be 
reasonably safe and effective and otherwise meet the statutory criteria 
for approval. The regulations also ensure the disapproval of PMAs and 
supplements to PMAs for devices that have not been shown to be 
reasonably safe and effective and that do not otherwise meet the 
statutory criteria for approval.
    The Food and Drug Modernization Act of 1997 (FDAMA) (Public Law 
105-115) was enacted on November 21, 1997, to implement revisions to 
the act by streamlining the process of bringing safe and effective 
drugs, medical devices, and other therapies to the U.S. market. Several 
provisions of this act affect the PMA process, such as section 
515(d)(6) of the act. This section provided that PMA supplements were 
required for all device changes that affect safety and effectiveness of 
a device unless such changes are modifications to manufacturing 
procedures or method of manufacture. This type of manufacturing change 
now requires a 30-day notice, or where FDA finds such notice 
inadequate, a 135-day PMA supplement.
    To make the PMA process more efficient, in the past several years 
FDA has done the following: (1) Made changes to the PMA program based 
on comments received; (2) complied with changes to the program mandated 
by FDAMA and Medical Device User Fee Modernization Act; and (3) worked 
toward completion of its PMA reinvention efforts.
    Respondents to this information collection are persons filing a PMA 
application or a PMA supplement with FDA for approval of certain class 
III medical devices. Part 814 defines a person as any individual, 
partnership, corporation, association, scientific or academic 
establishment, government agency or organizational unit, or other legal 
entity. These respondents include entities meeting the definition of 
manufacturers such as manufacturers of commercial medical devices in 
distribution prior to May 28, 1976 (the enactment date of the Medical 
Device Amendments). In addition, hospitals that reuse single use 
devices (SUDs) are also included in the definition of manufacturers. It 
is expected that FDA will receive four PMA applications from hospitals 
that remanufacture SUDs annually. This figure has been included in 
table 1 of this document, as part of the reporting burden in Sec.  
814.15.
    FDA estimates the burden of this collection of information as 
follows:

                                 Table 1.--Estimated Annual Reporting Burden\1\
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  21 CFR Part 800/  Section/       No. of       Annual Frequency   Total Annual      Hours Per
            FDAMA                Respondents      per Response       Responses       Responses      Total Hours
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814.15(b)                                  10                  1              10               2              20
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814.20                                     48                  1              48             668          32,064
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814.37(a-c) and (e)                        48                  1              48             167           8,016
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814.39(a)                                 460                  1             460              60          27,600
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814.39(d)                                  70                  1              70               6             420
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814.39(f)                                 254                  1             254              16           4,064
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814.82(a)(9)                               34                  1              34             135           4,590
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814.84(b)                                  34                  1              34              10             340
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Section 201 (FDAMA) Agreement               3                  1               3              50             150
 Meeting
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Section 202 (FDAMA) Expedited               7                  1               7              10              70
 Reviews
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Section 205 (FDAMA)                         5                  1               5              50             250
 Determination Meeting
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Section 208 (FDAMA)                        19                  1              19              30             570
 Classification Panel
 Meetings
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Section 209 (FDAMA) 100 day                36                  1              36              10             360
 meeting
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Totals                                  1,028                 13           1,028           1,214          78,514
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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\
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                         No. of        Annual Frequency     Total Annual        Hours per
 21 CFR Part 800     Recordkeepers     of Recordkeeping       Records          Recordkeeper       Total Hours
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842 (a) (5) & (6)              1,128                  1              1,128                 17             19,176
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\1\ There are no capital costs or operating and maintenance costs associated with this collection of
  information.


[[Page 35496]]

    The industry-wide burden estimate for PMAs is based on an FDA 
actual average fiscal year (FY) annual rate of receipt of 48 PMA 
original applications, 530 PMA supplements, and 254 30-day notices 
using FY 2002 through 2006 data. The burden data for PMAs is based on 
data provided by manufacturers by device type and cost element in an 
earlier study. The specific burden elements for which FDA has data are 
as follows:
     Clinical investigations--67 percent of total burden 
estimate;
     Submission of additional data or information to FDA during 
a PMA review--12 percent;
     Additional device development cost (e.g., testing)--10 
percent; and
     PMA and PMA supplement preparation and submissions, and 
development of manufacturing and controls data-- 11 percent.
Reporting Burden:
    The reporting burden can be broken out by certain sections of the 
PMA regulation as follows:

Sec.  814.15--Research Conducted Outside the United States

    Approximately 20 percent of the clinical studies submitted in 
support of a PMA application are conducted outside the United States. 
Each study should be performed in accordance with the ``Declaration of 
Helsinki'' or the laws and regulations of the country in which the 
study was conducted. If the study was conducted in accordance with the 
laws of the country, the PMA applicant is required to explain to FDA in 
detail the differences between the laws of the country and the 
``Declaration of Helsinki''. Based on the number of PMAs received that 
contained studies from overseas, FDA estimates that the burden estimate 
necessary to meet this requirement is 20 hours.

Sec.  814.20 (a) through (c) and (e)--Application

    The majority of the 32,064 hourly burden estimate is due in part to 
this requirement. Included in this requirement are the conduct of 
laboratory and clinical trials as well as the analysis, review, and 
physical preparation of the PMA application. FDA estimates that 48 
manufacturers, including hospital re-manufacturers of SUDs, will be 
affected by these requirements which are based on the actual average of 
FDA receipt of new PMA applications in FY 2002 through 2006. FDA's 
estimate of the hours per response (668) was derived through FDA's 
experience and consultation with industry and trade associations. In 
addition, FDA also based its estimate on the results of an earlier 
study which accounts for the bulk of the hourly burden for this 
requirement, identified by manufacturers.

Sec.  814.37--PMA Amendments and Re-Submitted PMAs

    As part of the review process, FDA often requests PMA applicant to 
submit additional information regarding the device necessary for FDA to 
file the PMA or to complete its review and make a final decision. The 
PMA applicant may, also on their own initiative, submit additional 
information to FDA during the review process. These amendments contain 
information ranging from additional test results, re-analysis of the 
original data set to revised device labeling. Almost all PMAs received 
by the agency have amendments submitted during the review process. FDA 
estimates that 8,016 burden hours are necessary to satisfy this 
requirement.

Sec.  814.39 (a)--PMA Supplements

    FDA believes that the amendments mandated by FDAMA for Sec.  
814.39(f), permitting the submission of the 30-day notices in lieu of 
regular PMA supplements, will result in an approximate 20 percent 
reduction in the total number of hours as compared to regular PMA 
supplements. As a result, FDA estimates that 27,600 hours of burden are 
needed to complete the requirements for regular PMA supplements.

Sec.  814.39(d)--Special PMA Supplements--Changes Being Affected

    This type of supplements is intended to enhance the safety of the 
device or the safe use of the device. The number of PMA supplements 
received that fit this category averaged 70 per year based on the 
numbers received from FY 2002 through FY 2006. Because of the minimal 
data required to be included in this type of supplement, FDA estimates 
that the burden hours necessary to satisfy this requirement are 420 
hours.

Sec.  814.39(f)--30-Day Notice

    Under section 515(d) of the act, modifications to manufacturing 
procedures or methods of manufacture that affect the safety and 
effectiveness of a device subject to an approved PMA do not require 
submission of a PMA supplement under paragraph (a) of this section and 
are eligible to be the subject of a 30-day notice. A 30-day notice 
shall describe in detail the change, summarize the data or information 
supporting the change, and state that the change has been made in 
accordance with the requirements of part 820 (21 CFR part 820). The 
manufacturer may distribute the device 30 days after the date on which 
FDA receives the 30-day notice, unless FDA notifies the applicant 
within 30 days from receipt of the notice, that it is not adequate. FDA 
estimates the burden to satisfy this requirement is 4,064 hours.

Sec.  814.82 (a)(9)--Post-Approval Requirements

    Post-approval requirements concerns approved PMAs that were not 
reclassified and require a periodic report. After approval, all PMAs 
require a submission of an annual report. On average, approximately 
half of the submitted PMAs (34), require associated post-approval 
studies, i.e., follow-up of patients used in clinical trials to support 
the PMA or additional preclinical information, that is labor-intensive 
to compile and complete; the remaining PMAs require minimal 
information. Based on experience and consultation with industry, FDA 
has estimated that preparation of reports and information required by 
this section requires 4,590 hours.

Sec.  814.84(b)--Reports

    Post-approval requirements described in Sec.  814.82 (a)(7) require 
submission of an annual report for each approved PMA. FDA estimates 
that respondents will average about 10 hours in preparing their reports 
to meet this requirement. This estimate is based on FDA's experience 
and consultation with industry. Thus, FDA estimates that the periodic 
reporting burden required by this section will take 340 hours.

Statutory Reporting Burden Estimate (FDAMA)

    The total statutory reporting burden under the requirements of 
sections 201, 202, 205, 208, and 209 of FDAMA is estimated to be 1,400 
hours. This burden estimate was based on actual real FDA data tracked 
from January 1, 1998, to the present, and an estimate was also derived 
to forecast future expectations with regard to this statutory data.

Sec.  814.82 (a) (5) and (a)(6)--Recordkeeping

    The recordkeeping burden under this section requires the 
maintenance of records, used to trace patients and the organization and 
the indexing of records into identifiable files to ensure the device's 
continued safety and effectiveness. These records are required only of 
those manufacturers who have an approved PMA and who had original 
clinical research in support of that PMA. For a typical year's 
submissions,

[[Page 35497]]

70 percent of the PMAs are eventually approved with 75 percent of these 
having original clinical trial data. Therefore, approximately 34 PMAs a 
year (48 annual submissions x 70 percent), would be subject to these 
requirements. Also, because the requirements apply to all active PMAs, 
all holders of an active PMA application must maintain these records.
    PMAs have been required since 1976, and there are 1,128 active PMAs 
that could be subject to these requirements, based on actual FDA data. 
Each study has approximately 200 subjects, and at an average of 5 
minutes per subject, there is a total burden per study of 1,000 
minutes, or 17 hours. The aggregate burden for all 1,128 holders of 
approved original PMAs, therefore, is 19,176 hours (1,127 approved PMAs 
with clinical data x 17 hours per PMA).
    The applicant determines which records should be maintained during 
product development to document and/or substantiate the device's safety 
and effectiveness. Records required by the current good manufacturing 
practices for medical devices regulation (part 820) may be relevant to 
a PMA review and may be submitted as part of an application. In 
individual instances, records may be required as conditions of approval 
to ensure the device's continuing safety and effectiveness.

    Dated: June 21, 2007.
Jeffrey Shuren,
Assistant Commissioner for Policy.
[FR Doc. E7-12502 Filed 6-27-07; 8:45 am]
BILLING CODE 4160-01-S