[Federal Register Volume 89, Number 136 (Tuesday, July 16, 2024)]
[Notices]
[Pages 57907-57913]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-15570]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2024-N-2889]


Agency Information Collection Activities; Proposed Collection; 
Comment Request; Premarket Tobacco Product Applications and 
Recordkeeping Requirements

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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SUMMARY: The Food and Drug Administration (FDA, Agency, or we) is 
announcing an opportunity for public comment on the proposed collection 
of certain information by the Agency. Under the Paperwork Reduction Act 
of 1995 (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 premarket tobacco product 
applications and recordkeeping requirements.

DATES: Either electronic or written comments on the collection of 
information must be submitted by September 16, 2024.

ADDRESSES: You may submit comments as follows. Please note that late, 
untimely filed comments will not be considered. The https://www.regulations.gov electronic filing system will accept comments until 
11:59 p.m. Eastern Time at the end of September 16, 2024. Comments 
received by mail/hand delivery/courier (for written/paper submissions) 
will be

[[Page 57908]]

considered timely if they are received on or before that date.

Electronic Submissions

    Submit electronic comments in the following way:
     Federal eRulemaking Portal: https://www.regulations.gov. 
Follow the instructions for submitting comments. Comments submitted 
electronically, including attachments, to https://www.regulations.gov 
will be posted to the docket unchanged. Because your comment will be 
made public, you are solely responsible for ensuring that your comment 
does not include any confidential information that you or a third party 
may not wish to be posted, such as medical information, your or anyone 
else's Social Security number, or confidential business information, 
such as a manufacturing process. Please note that if you include your 
name, contact information, or other information that identifies you in 
the body of your comments, that information will be posted on https://www.regulations.gov.
     If you want to submit a comment with confidential 
information that you do not wish to be made available to the public, 
submit the comment as a written/paper submission and in the manner 
detailed (see ``Written/Paper Submissions'' and ``Instructions'').

Written/Paper Submissions

    Submit written/paper submissions as follows:
     Mail/Hand delivery/Courier (for written/paper 
submissions): Dockets Management Staff (HFA-305), Food and Drug 
Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852.
     For written/paper comments submitted to the Dockets 
Management Staff, FDA will post your comment, as well as any 
attachments, except for information submitted, marked and identified, 
as confidential, if submitted as detailed in ``Instructions.''
    Instructions: All submissions received must include the Docket No. 
FDA-2024-N-2889 for ``Premarket Tobacco Product Applications and 
Recordkeeping Requirements.'' Received comments, those filed in a 
timely manner (see ADDRESSES), will be placed in the docket and, except 
for those submitted as ``Confidential Submissions,'' publicly viewable 
at https://www.regulations.gov or at the Dockets Management Staff 
between 9 a.m. and 4 p.m., Monday through Friday, 240-402-7500.
     Confidential Submissions--To submit a comment with 
confidential information that you do not wish to be made publicly 
available, submit your comments only as a written/paper submission. You 
should submit two copies total. One copy will include the information 
you claim to be confidential with a heading or cover note that states 
``THIS DOCUMENT CONTAINS CONFIDENTIAL INFORMATION.'' The Agency will 
review this copy, including the claimed confidential information, in 
its consideration of comments. The second copy, which will have the 
claimed confidential information redacted/blacked out, will be 
available for public viewing and posted on https://www.regulations.gov. 
Submit both copies to the Dockets Management Staff. If you do not wish 
your name and contact information to be made publicly available, you 
can provide this information on the cover sheet and not in the body of 
your comments and you must identify this information as 
``confidential.'' Any information marked as ``confidential'' will not 
be disclosed except in accordance with 21 CFR 10.20 and other 
applicable disclosure law. For more information about FDA's posting of 
comments to public dockets, see 80 FR 56469, September 18, 2015, or 
access the information at: https://www.govinfo.gov/content/pkg/FR-2015-09-18/pdf/2015-23389.pdf.
    Docket: For access to the docket to read background documents or 
the electronic and written/paper comments received, go to https://www.regulations.gov and insert the docket number, found in brackets in 
the heading of this document, into the ``Search'' box and follow the 
prompts and/or go to the Dockets Management Staff, 5630 Fishers Lane, 
Rm. 1061, Rockville, MD 20852, 240-402-7500.

FOR FURTHER INFORMATION CONTACT: JonnaLynn Capezzuto, Office of 
Operations, Food and Drug Administration, Three White Flint North, 10A-
12M, 11601 Landsdown St., North Bethesda, MD 20852, 301-796-3794, 
[email protected].

SUPPLEMENTARY INFORMATION: Under the PRA (44 U.S.C. 3501-3521), 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.

Premarket Tobacco Product Applications and Recordkeeping Requirements--
Part 1114 (21 CFR Part 1114)

OMB Control Number 0910-0879--Revision

    This information collection supports FDA regulations. Tobacco 
products are governed by chapter IX of the Federal Food, Drug, and 
Cosmetic Act (FD&C Act) (sections 900 through 920) (21 U.S.C. 387 
through 21 U.S.C. 387t). Section 910(a) established requirements for 
premarket review of new tobacco products.
    The Consolidated Appropriations Act of 2022 (the Appropriations 
Act), that was enacted on March 15, 2022, amended the definition of the 
term ``tobacco product'' in section 201(rr) of the FD&C Act to include 
products that contain nicotine from any source. As a result, non-
tobacco nicotine (NTN) products that were not previously subject to the 
FD&C Act (e.g., products containing synthetic nicotine) are now subject 
to all of the tobacco product provisions in the FD&C Act beginning on 
April 14, 2022, including the requirement of premarket review for new 
tobacco products. The Appropriations Act also makes all rules and 
guidances applicable to tobacco products apply to NTN products on that 
same effective date. Additionally, the Appropriations Act includes a 
transition period for premarket review requirements, directing 
companies to submit premarket tobacco product applications (PMTAs) for 
NTN products by May 14, 2022, to receive an additional 60-day period of 
marketing

[[Page 57909]]

without being considered in violation of premarket review requirements.
    The Premarket Tobacco Product Applications and Recordkeeping 
Requirements regulation (Sec.  1114.45) outlines requirements for the 
content, format, submission, and review of PMTAs, as well as other 
requirements related to PMTAs, including recordkeeping requirements, 
and postmarket reporting. FDA also requires recordkeeping regarding the 
legal marketing of Pre-Existing Tobacco Products (i.e., those products 
that were commercially marketed as of February 15, 2007) and products 
that are exempt from the requirements of demonstrating substantial 
equivalence. Section 910(a)(2) of the FD&C Act requires that a new 
tobacco product be the subject of a PMTA marketing granted order unless 
FDA has issued an order finding it to be substantially equivalent to a 
predicate product or exempt from the requirements of demonstrating 
substantial equivalence.
    An applicant may submit a PMTA to demonstrate that a new tobacco 
product meets the requirements to receive a marketing granted order. A 
new tobacco product may not be introduced or delivered for introduction 
into interstate commerce under FDA regulations until FDA has issued a 
marketing granted order for the product (Sec.  1114.5). Further, Sec.  
1114.7 describes the required content and format of the PMTA. The PMTA 
must contain sufficient information for FDA to determine whether any of 
the grounds for denial specified in section 910(c)(2) of the FD&C Act 
apply. The application must contain the following sections: general 
information, descriptive information, product samples, labeling, a 
statement of compliance with 21 CFR part 25, a summary, product 
formulation, manufacturing, health risk investigations, effect on the 
population as a whole, and a certification statement. Submitters can 
visit the following web page, which describes the process for 
submitting a PMTA (https://www.fda.gov/tobacco-products/market-and-distribute-tobacco-product/premarket-tobacco-product-applications).
    FDA has three forms required for use under Sec. Sec.  1114.7(b) and 
1114.9(a) when submitting PMTA information to the Agency: Form FDA 
4057; Form FDA 4057a; and Form FDA 4057b. Form FDA 4057 is for use when 
submitting PMTA single and bundled submissions. For the purposes of 
this notice, no significant changes have been made to Form FDA 4057. 
Form FDA 4057a is for use when firms are submitting amendments and 
other general correspondence. Form FDA 4057a and the corresponding 
instructions have been updated to assist industry users in completing 
the form efficiently and correctly. The flow and organization of the 
form have been updated to follow a consistent style and sequence with 
Form FDA 4057. Form FDA 4057a instructions have been updated to reflect 
plain language principles as well as accurately mapped to correspond to 
the updates made to Form FDA 4057a. Form FDA 4057b assists industry and 
FDA in identifying the products that are the subject of a submission 
where an applicant groups multiple PMTAs into a single submission 
(referred to as a bundled submission or a grouped submission). Form FDA 
4057b has been updated to add the following columns: Brand; Subbrand; 
Manufacturer. This update aligns with the requirements of part 1114. 
Additionally, Characterizing Flavor has been included as a required 
field.
    The Center for Tobacco Products (CTP) is planning a significant 
upgrade to the submission process for PMTA applications. This upgrade, 
known as the CTP Portal Next Generation (CTP Portal NG), is a pivotal 
step forward in streamlining the application process for the tobacco 
industry. Presently, the tobacco industry uses multiple tools in the 
preparation and submission of PMTA applications to CTP, including PDF-
editing software, FDA's eSubmitter Desktop Tool, and FDA's CTP Portal 
web application.
    A submitter must first download and complete PDF versions of FDA 
Form 4057 and/or 4057a for PMTA applications and amendments, 
respectively, using any PDF-editing software. After the PDF form is 
complete, the tobacco industry uses the eSubmitter Desktop tool 
(https://www.fda.gov/industry/fda-esubmitter/using-esubmitter-prepare-tobacco-product-submissions) to prepare the submission for delivery to 
CTP, which requires creating a new submission using eSubmitter's 
electronic CTP Transmittal Form and providing contact information, the 
completed FDA Form 4057 and/or 4057a, and any supporting documentation. 
When complete, the eSubmitter tool then packages the submission form, 
data, and documents into a ZIP file, saved locally, and the tobacco 
industry must log into their CTP Portal account (https://www.fda.gov/tobacco-products/manufacturing/submit-documents-ctp-portal) and upload 
the packaged submission ZIP file. To use CTP Portal, an organization 
must first go through the process of setting up an Industry Account 
Manager (IAM) (https://www.fda.gov/tobacco-products/manufacturing/request-industry-account-manager-iam-ctp-portal), which will then allow 
the IAM to manage CTP Portal accounts for their organization and submit 
submissions.
    The new CTP Portal NG application transforms this process by 
providing the tobacco industry with the ability to create, prepare, and 
deliver their submissions in one place. CTP Portal NG will provide web 
forms of the FDA Forms 4057 and 4057a for PMTA applications and 
amendments, respectively, which will improve the submission preparation 
process for the tobacco industry as it will provide tools to expedite 
the entry of data and supporting documentation, dynamically guide users 
to relevant sections of the forms based on their input, and improve 
quality by providing helpful information on the questions being 
requested and verifying all required data has been provided. CTP Portal 
NG has a built-in process for applicants to upload Form FDA 4057b after 
applicants complete Form FDA 4057b and validate it using a new 
validator tool. When complete, CTP Portal NG allows applicants to 
submit the completed web forms to CTP for review. When complete, CTP 
Portal NG allows applicants to submit the completed web forms to CTP 
for review. This innovation eliminates the current three-step process 
using PDF-editing software, eSubmitter, and CTP Portal, and provides a 
more integrated and user-friendly experience. A copy of revised FDA 
Form 4057, 4057a, 4057b and the validator tool will be available in the 
docket of this notice for review.
    Existing CTP Portal user accounts will be migrated to CTP Portal 
NG. Users may be prompted for a password reset during their initial 
login to the new system. The process for creating new user accounts and 
overall user account management will largely remain consistent with the 
current system. CTP is committed to ensuring a smooth transition to CTP 
Portal NG and will provide necessary support and guidance throughout 
this change.
    After submission of a PMTA, FDA may request, and an applicant may 
submit, an amendment to a pending PMTA. FDA generally expects that when 
an applicant submits a PMTA, the submission will include all 
information required by section 910(b)(1) of the FD&C Act and part 1114 
to enable FDA to determine whether it should authorize the marketing of 
a new tobacco product. However, FDA recognizes that additional 
information may be needed to complete the review of a PMTA and, 
therefore FDA allows

[[Page 57910]]

the submission of amendments to a pending application.
    An applicant may transfer ownership of its PMTA at any time, 
including when FDA has yet to act on it. Section 1114.13 describes the 
steps that an applicant would be required to take when it changes 
ownership of a PMTA. This section is intended to facilitate transfers 
of ownership and help ensure that FDA has current information regarding 
the ownership of a PMTA.
    Supplemental PMTAs are an alternative format of submitting a PMTA 
(Sec.  1114.15). Applicants that have received a marketing granted 
order are able to submit a supplemental PMTA to seek marketing 
authorization for a new tobacco product that results from a 
modification or modifications to the original tobacco product that 
received the marketing granted order. FDA restricts the use of 
supplemental PMTAs to only changes that require the submission of 
limited information or revisions to ensure that FDA can efficiently 
review the application.
    If an applicant receives a marketing denial order, they may submit 
a resubmission to respond to the deficiencies outlined in the marketing 
denial order (Sec.  1114.17). A resubmission may be submitted for the 
same tobacco product that received a marketing denial order or for a 
different new tobacco product that results from changes necessary to 
address the deficiencies outlined in a marketing denial order. This 
application format allows an applicant to address the deficiencies 
described in a marketing denial order without having to undertake the 
effort of submitting a standard PMTA. The resubmission format is not 
available for PMTAs that FDA refused to accept, refused to file, 
cancelled, or administratively closed, or that the applicant withdrew 
because FDA has not previously completed reviews of such applications 
upon which it can rely, and such applications may need significant 
changes to be successfully resubmitted.
    FDA requires applicants that receive a marketing granted order to 
submit postmarket reports. Postmarket reports determine or facilitate a 
determination of whether there may be grounds to withdraw or 
temporarily suspend a marketing granted order (Sec.  1114.41). 
Additionally, Sec.  1114.41 describes the reports that FDA would 
require through this regulation; however, FDA may require additional 
reporting in an individual applicant's marketing granted order. 
Applicants are required to submit two types of postmarket reports after 
receiving a marketing granted order: periodic reports and adverse 
experience reports. Periodic reports are required to be submitted 
within 60 calendar days of the reporting date specified in the 
marketing granted order. FDA anticipates that the reports would be 
required on an annual basis, but FDA may require in a specific order 
that reports be made more or less frequently depending upon several 
factors.
    Applicants are also required to report all serious and unexpected 
adverse experiences associated with the tobacco product that have been 
reported to the applicant or of which the applicant is aware. The 
serious and unexpected adverse experience reports must be submitted to 
the Center for Tobacco Products' Office of Science through the HHS 
Safety Reporting Portal (https://www.safetyreporting.hhs.gov/) within 
15 calendar days after receiving or becoming aware of a serious or 
unexpected adverse experience. FDA's Safety Reporting Portal is 
approved under OMB control number 0910-0291.
    Applicants receiving a marketing granted order are required to 
maintain all records necessary to facilitate a determination of whether 
there are or may be grounds to withdraw or temporarily suspend the 
marketing granted order, including records related to both the 
application and postmarket reports, and ensure that such records remain 
readily available to FDA upon request (Sec.  1114.45). Under Sec.  
1114.45(a)(1), an applicant must also retain any additional 
documentation supporting the application and postmarket reports that 
was not submitted to FDA.
    Section 1114.49 requires an applicant to submit a PMTA and all 
supporting and related documents to FDA in electronic format. Under 
Sec.  1114.49(c), an applicant that has a waiver would submit a paper 
submission to the address that FDA provides in the letter granting the 
waiver.
    Submitters can visit the following web page, which describes the 
process for submitting a PMTA (https://www.fda.gov/tobacco-products/market-and-distribute-tobacco-product/premarket-tobacco-product-applications).
    FDA estimates the burden of this collection of information as 
follows:

                              Table 1--Estimated Annual Reporting Burden \1\ \2\ \3\
----------------------------------------------------------------------------------------------------------------
                                                    Number of
21 CFR part; Activity; Form FDA     Number of     responses per   Total annual   Average burden per  Total Hours
               #                   respondents     respondent       responses         response
----------------------------------------------------------------------------------------------------------------
1114.5; Submission of Standard              215               1             215               1,713      368,295
 Bundled PMTAs \2\.............
PMTA Submission; Form FDA 4057.             215               1             215   0.58 (35 minutes)          125
PMTA Amendment and General                   80               4             320   0.16 (10 minutes)           51
 Correspondence Submission;
 Form FDA 4057a................
PMTA Unique Identification for              215               1             215   0.58 (35 minutes)          125
 New Tobacco Products; Form FDA
 4057b.........................
Tobacco Product Grouping                    215               1             215    0.08 (5 minutes)           17
 Spreadsheet Validator.........
1114.41; Reporting Requirements              10               3              30                  50        1,500
 (periodic reports)............
1114.9; Amendments.............              24               2              48                 188        9,024
1114.13; Change in Ownership...              10               1              10                   1           10
1114.15; Supplemental                         2               1               2                 428          856
 applications..................
1114.17; Resubmissions.........               5               1               5                 565        2,825
1114.49(b) and (c); Waiver from               1               1               1   0.25 (15 minutes)            1
 Electronic Submission.........
----------------------------------------------------------------------------------------------------------------
    Total......................             347  ..............           1,276  ..................      382,828
----------------------------------------------------------------------------------------------------------------
\1\ There are no capital costs or operating and maintenance costs associated with this collection of
  information.
\2\ FDA anticipates that applicants will submit bundled PMTAs, which are single submissions containing PMTAs for
  several similar or related products. We estimate that a bundle will contain on average between 6 and 11
  distinct products.
\3\ Totals may not sum due to rounding.

    Table 1 describes the estimated annual reporting burden. FDA has 
based these estimates on Agency experience with current PMTA 
submissions. FDA has based these estimates on experience with this 
information collection, information available from interactions with 
industry, and FDA expectations regarding established requirements for

[[Page 57911]]

premarket review of new tobacco products. We have revised our previous 
estimates based on these experiences. In addition, FDA is revising this 
collection to incorporate the burden for PMTA submissions received 
under OMB control number 0910-0768 (which covers the burden for 
electronic nicotine delivery system (ENDS) products PMTA submissions). 
We believe the original PMTA burden in 0910-0768 is now covered by the 
current PMTA process under this control number. Although that burden 
only covered ENDS products these estimates include all categories of 
products.
    FDA estimates that we will receive 215 PMTAs for a new tobacco 
product each year under part 1114. Our average represents a wide range 
of hours that will be required for these applications under different 
circumstances, with some requiring more hours (e.g., as many as 5,000 
hours for early applications that involve complex products and for 
which the company has no experience conducting studies or preparing 
analysis of public health impacts, or for which reliance on master 
files is not possible) as well as many requiring fewer hours (e.g., as 
few as 50 hours for applications for products that are very similar to 
other new products). FDA estimates that it will take each respondent 
approximately 1,500 hours to prepare a PMTA seeking an order from FDA 
allowing the marketing of a new tobacco product. FDA also estimates 
that it would on average take an additional 213 hours to prepare an 
environmental assessment (EA) in accordance with the requirements of 21 
CFR 25.40, for a total of 1,713 hours per PMTA application.
    FDA assumes that firms will submit all applications as PMTA 
bundles. We believe that bundling PMTAs results in efficiencies for 
applicants when compared to submitting standalone, full-text 
submissions for each product. We expect to receive bundled PMTAs where 
applicants can use the same evidence to support PMTAs for similar or 
related products. Bundling PMTAs into a single submission would 
eliminate the administrative burden of having to reproduce the same 
evidence in a standalone PMTA for each product.
    FDA has three forms required for use under Sec. Sec.  1114.7(b) and 
1114.9(a) when submitting PMTA information to the Agency. Form FDA 4057 
for use when submitting PMTA single and bundled submissions. FDA 
estimates that 215 respondents will submit PMTA bundles using this form 
at 0.58 (35 minutes) per response. Included in this estimate are the 15 
expected bundles submitted for NTN products. The number 215 is 
accounting for the bundles of ENDS products and the 1 bundle we expect 
to receive yearly for originally regulated products for a total of 125 
hours.
    Form FDA 4057a is for use when firms are submitting amendments and 
other general correspondence; as such, we expect 80 applicants to 
submit 4057a for either amendments or general correspondence 
submissions. Our estimate is 0.16 (10 minutes) per response to fill out 
this form. Included in this estimate are the 15 expected submissions 
submitted from NTN products. We estimate there will be at least four 
amendments per application for a total of 51 hours. With most 
applications being submitted toward the end of our 3-year range, we 
expect fewer amendments during this period. With updated forms and 
additional guidance given by the Agency, FDA expects applicants to 
submit more complete applications, reducing the need for the issuance 
of Deficiency letters and Environmental Information request letters. As 
a result, we expect applicants to submit fewer amendments with Form FDA 
4057a. However, FDA expects amendments from earlier applications to be 
submitted during this period. As a result, we have decreased the number 
of responses per respondent (from 14 to 4 responses) associated with 
Form FDA 4057.
    Form FDA 4057b assists industry and FDA in identifying the products 
that are the subject of a submission where an applicant groups multiple 
PMTAs into a single submission (referred to as a bundled submission or 
a grouped submission). FDA has previously stated that one approach to 
submitting PMTAs could be to group applications for products that are 
both from the same manufacturer or domestic importer and in the same 
product category and subcategory into a single submission. FDA intends 
to consider information on each tobacco product as a separate, 
individual PMTA as required under Sec.  1114.7(c)(3)(iii). By having 
the identifying information for products contained in a submission be 
more clearly organized within the required forms, FDA will be able to 
process and review the applications contained in a grouped submission 
more efficiently. As a result, we decreased the average burden per 
response associated with the Form FDA 4057b by 10 minutes (from 45 to 
35 minutes per response).
    The form assists applicants in providing the unique identifying 
information for each product in a grouped submission of PMTAs. A 
respondent would utilize Form FDA 4057b once for each submission. We 
assume the submitter could include from 1 to 2,000 products in each 
Form FDA 4057b. Entering data for up to 2,000 rows can take 
approximately 4 hours on average per Form FDA 4057b for manual data 
entry. We reflect the average time of 35 minutes per response based on 
the assumption that we expect to receive an average of nine bundled 
products per submission. Included in this estimate are the 15 expected 
submissions submitted from NTN products. Assuming 35 minutes per Form 
FDA 4057b for 215 applications, we estimate a total burden of 125 hours 
for this activity.
    The FDA Tobacco Product Grouping Spreadsheet Validator (Validator) 
is a free software that validates the content of FDA product grouping 
spreadsheets such as ``FDA 4057b--PMTA Unique Identification for New 
Tobacco Products.'' The validator is available for voluntary use by the 
tobacco industry (sponsors, manufacturers, and importers) prior to 
submitting a product grouping spreadsheet to FDA.
    The Validator allows industry users to validate product attributes 
in their product grouping spreadsheet with the defined and accepted 
product data standards, and make corrections as needed. If there are no 
errors found in a spreadsheet, the Validator will produce a certificate 
of completion that can be saved locally and included with the 
applicants FDA submission voluntarily. If errors are found during 
validation, the Validator will provide the applicants with the error to 
the end of each impacted row of the spreadsheet, allowing applicants to 
make necessary changes.
    The software and any output files reside locally on an applicant's 
computer, allowing them to work on the product grouping spreadsheet 
offline. The Validator does not transmit any data across the web to 
FDA. FDA does not have the ability to access, review, or supplement the 
information on local computers through this application. We estimate 
the use of the validator tool will take an average of 5 minutes per 
response.
    Applicants are required under Sec.  1114.41 to submit two types of 
reports after receiving a marketing granted order: periodic reports and 
adverse experience reports. Applicants must submit periodic reports 
within 60 calendar days of the reporting date specified in the 
marketing granted order (or potentially sooner if they choose to use 
the application as the basis for a supplemental PMTA under Sec.  
1114.15). FDA anticipates that the reports will be required on an 
annual basis, but FDA may require, by a specific order, that reports be 
made more or less frequently

[[Page 57912]]

depending upon a number of factors (e.g., the novelty of the type of 
product). As such, FDA estimates under Sec.  1114.41 that 10 
respondents will submit a periodic report with 3 responses per 
respondent. This number is based on the average number of periodic 
report submissions received between 2020 and 2022. The Agency estimates 
that periodic reports will take on average of 50 hours per response for 
a total of 1,500 hours. FDA expects this number to increase as we 
continue to authorize more products in the PMTA pathway. As FDA 
continues to grant marketing authorization for more submissions, FDA 
expects the number of respondents and total responses to grow. As a 
result, we have increased the number of responses per respondent (from 
one to three responses per respondent) associated with periodic 
reports.
    Section 1114.13 allows an applicant to transfer ownership of a PMTA 
to a new owner. FDA believes this will be infrequent, so we have 
assigned 1 hour acknowledging the requirement.
    Section 1114.15 is an alternative format of submitting a PMTA, 
supplemental PMTA, meeting the requirements of Sec.  1114.7 that would 
reduce the burden associated with the submission and review of an 
application. Our estimated number of 2 respondents is based on the 
number estimated for postmarket reports, which is 4 bundles 
(approximately 34 products). Not all applicants will resubmit 
modifications to previously authorized products, so we estimate 2 
bundles (which is approximately 17 products). FDA estimates further 
that a supplemental PMTA will take 25 percent of the time it takes 
(estimated at 428 hours per response) to complete an original 
submission (including EA hours). We estimate a total of 856 burden 
hours for this activity.
    Under Sec.  1114.17 an applicant may submit a resubmission for the 
same tobacco product that received a marketing denial order or for a 
different new tobacco product that results from changes necessary to 
address the deficiencies outlined in a marketing denial order. Based on 
Agency experience, we are estimating that of all bundles received in 
2020 through 2023, that an average of three bundles are authorized. If 
we receive 24 bundles yearly, and based on historical data, 58 percent 
fail at acceptance (8 bundles remaining), 17 percent fail at filing (7 
bundles remaining), and 25 percent receive marketing orders (5 bundles 
remaining). We estimate that 50 percent will resubmit in a year. Thus, 
the number of respondents is three. FDA estimates that a resubmission 
will take 33 percent of the time it takes to complete an original 
submission (including EA hours) estimated at 565 hours per response for 
a total of 1,695 hours. As FDA continues to deny marketing 
authorization for more submissions FDA expects the number of 
respondents and total responses to grow.
    Firms must also submit adverse experience reports (Sec.  
1114.41(a)(2)) for tobacco products with marketing orders. We assume 
the same number of firms submitting periodic reports will submit 
adverse experience reports. Firms may submit voluntary and mandatory 
adverse experience reports using Form FDA 3800 under OMB control number 
0910-0291.
    Under Sec.  1114.9 firms will prepare amendments to PMTA bundles in 
response to deficiency letters. These amendments contain additional 
information that we need to complete substantive review. We anticipate 
2 responses back per bundle and therefore, we estimate that 24 
respondents will submit 48 amendments (24 x 2). Assuming 1,500 hours as 
the time to prepare and submit a full PMTA and amendments may on 
average take 10 percent to 15 percent of that time (150-225 hours). We 
averaged this time out (12.5 percent of a full submission preparation 
time) and arrived at 188 hours per response. FDA estimates the total 
burden hours for preparing amendments is 9,024 hours.
    We anticipate 40 respondents will request meetings with CTP's 
Office of Science to discuss investigational plans. We base this figure 
on the average number of meeting requests received over the past 3 
years and assume this will include meetings regarding NTN products. To 
request this meeting, applicants should compile and submit information 
to FDA for meeting approval. We assume 720 hours is necessary to 
compile and request a meeting with OS. This burden is covered under OMB 
control number 0910-0731, Meetings with Industry and Investigators on 
the Research and Development of Tobacco Products.
    An applicant is required to submit a PMTA and all supporting and 
related documents to FDA in electronic format that FDA can process, 
review, and archive unless an applicant requests, and FDA grants, a 
waiver from this requirement (Sec.  1114.49). FDA does not believe we 
will receive many waivers, so we have assigned one respondent to 
acknowledge the option to submit a waiver. Consistent with our other 
application estimates for waivers, we believe it would take 0.25 hours 
(15 minutes) per waiver for a total of 1 hour.

                               Table 2--Estimated Annual Recordkeeping Burden \1\
----------------------------------------------------------------------------------------------------------------
                                                        Number of                    Average burden
       21 CFR part; activity            Number of      records per    Total annual         per       Total hours
                                      recordkeepers   recordkeeper       records      recordkeeping
----------------------------------------------------------------------------------------------------------------
1114.45; PMTA records..............             215               1             215               2          430
1100.204; Pre-existing products                   1               1               1               2            2
 records...........................
1107.3; Exemptions from Substantial               1               1               1               2            2
 Equivalence (SE) records..........
                                    ----------------------------------------------------------------------------
    Total..........................  ..............  ..............             217  ..............          434
----------------------------------------------------------------------------------------------------------------
\1\ There are no capital costs or operating and maintenance costs associated with this collection of
  information.

    Table 2 describes the annual recordkeeping burden. FDA estimates 
that 215 recordkeepers will maintain records at 2 hours per record. 
Included in this estimate are the 15 expected recordkeepers of NTN 
products. Firms are also required to establish and maintain records 
related to SE exemption requests and pre-existing products. We expect 
the burden hours to be negligible for SE exemption requests. Firms 
would have already established the required records when submitting the 
SE exemption request. Similarly, we expect the hours to be negligible 
for any pre-existing tobacco products that have already submitted 
stand-alone pre-existing tobacco product submissions, because firms 
would have established the required records when submitting the stand-

[[Page 57913]]

alone pre-existing tobacco product submissions. We estimate that it 
would take 2 hours per record to establish the required records for a 
total of 4 hours for pre-existing products records and SE exemptions.
    Our estimated burden for the information collection reflects an 
overall increase of 369,555 hours and a corresponding increase of 1,302 
responses/records. We attribute this adjustment to adding a new form, 
the validator tool, and reevaluating our current estimates.

    Dated: July 11, 2024.
Lauren K. Roth,
Associate Commissioner for Policy.
[FR Doc. 2024-15570 Filed 7-15-24; 8:45 am]
BILLING CODE 4164-01-P