80_FR_8126 80 FR 8096 - Announcement of a Draft NIH Policy on Dissemination of NIH-Funded Clinical Trial Information

80 FR 8096 - Announcement of a Draft NIH Policy on Dissemination of NIH-Funded Clinical Trial Information

DEPARTMENT OF HEALTH AND HUMAN SERVICES
National Institutes of Health

Federal Register Volume 80, Issue 30 (February 13, 2015)

Page Range8096-8098
FR Document2015-02994

On November 19, 2014, the National Institutes of Health (NIH) published a request for public comments in the NIH Guide for Grants and Contracts on a draft policy to promote broad and responsible dissemination of information on clinical trials funded by the NIH through registration and submission of summary results information to ClinicalTrials.gov. See Guide notice NOT-OD-15-019 at http:// grants.nih.gov/grants/guide/notice-files/NOT-OD-15-019.html. NIH is publishing this notice in order to inform readers of the Federal Register about the draft policy and the opportunity to comment.

Federal Register, Volume 80 Issue 30 (Friday, February 13, 2015)
[Federal Register Volume 80, Number 30 (Friday, February 13, 2015)]
[Notices]
[Pages 8096-8098]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-02994]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

National Institutes of Health


Announcement of a Draft NIH Policy on Dissemination of NIH-Funded 
Clinical Trial Information

SUMMARY: On November 19, 2014, the National Institutes of Health (NIH) 
published a request for public comments in the NIH Guide for Grants and 
Contracts on a draft policy to promote broad and responsible 
dissemination of information on clinical trials funded by the NIH 
through registration and submission of summary results information to 
ClinicalTrials.gov. See Guide notice NOT-OD-15-019 at http://grants.nih.gov/grants/guide/notice-files/NOT-OD-15-019.html. NIH is 
publishing this notice in order to inform readers of the Federal 
Register about the draft policy and the opportunity to comment.

DATES: The deadline for receiving comments on the draft policy is no 
later than 5:00 p.m. on March 23, 2015.

ADDRESSES: Comments may be submitted by any of the following methods:
     Email: [email protected].
     Fax: 301-496-9839.
     Mail/Hand delivery/Courier: Office of Clinical Research 
and Bioethics Policy, Office of Science Policy, National Institutes of 
Health, 6705 Rockledge Drive, Suite 750, Bethesda, MD 20892.

FOR FURTHER INFORMATION CONTACT: Office of Clinical Research and 
Bioethics Policy, Office of Science Policy, National Institutes of 
Health, 6705 Rockledge Drive, Suite 750, Bethesda, MD 20892, 301-496-
9838, [email protected].

SUPPLEMENTARY INFORMATION: 

Background

    The National Institutes of Health (NIH) is dedicated to improving 
the health of Americans by conducting and funding biomedical and 
behavioral

[[Page 8097]]

research, including clinical trials.\1\ A fundamental premise of all 
NIH-funded research is that the results of such work must be 
disseminated in order to contribute to the general body of scientific 
knowledge and, ultimately, to the public health. NIH awardees are 
expected to make the results and accomplishments of their activities 
available to the research community and to the public at large.
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    \1\ NIH's mission is to seek fundamental knowledge about the 
nature and behavior of living systems and the application of that 
knowledge to enhance health, lengthen life, and reduce illness and 
disability. See http://www.nih.gov/about/mission.htm.
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    The results of NIH funded research can be disclosed in a number of 
ways, including through publications, presentations at scientific 
meetings, sharing research tools, and depositing information into 
databases and materials into repositories. NIH has a number of policies 
that promote the dissemination of research results and guide funding 
recipients in disseminating their results. The NIH Data Sharing Policy, 
the NIH Public Access Policy, the NIH Research Tools Policy, and the 
NIH Genomic Data Sharing Policy are important examples of policies to 
ensure that research data and materials generated using NIH funds are 
used productively to further scientific progress and to promote public 
health.\2\ Increasing public access to information from NIH research 
supports the public access and data sharing directives of the Executive 
Office of the President (EOP Directives).\3\
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    \2\ See http://www.grants.nih.gov/grants/policy/data_sharing/data_sharing_guidance.htm; http://publicaccess.nih.gov/; http://grants.nih.gov/grants/intell-property_64FR72090.pdf; and http://gds.nih.gov/03policy2.html.
    \3\ See the Office of Science and Technology Policy's 
memorandum, ``Increasing Access to the Results of Federally Funded 
Scientific Research,'' (February 22, 2013), the Office of Management 
and Budget's memorandum, ``Open Data Policy--Managing Information as 
an Asset,'' M-13-13 (May 9, 2013) http://www.whitehouse.gov/sites/default/files/omb/memoranda/2013/m-13-13.pdf, and Executive Order 
No. 13,642 (May 9, 2013) http://www.thefederalregister.org/fdsys/pkg/DCPD-201300318/pdf/DCPD-201300318.pdf.
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    Traditionally, scientists fulfill their obligation to contribute to 
the general body of knowledge through peer reviewed journal 
publications. However, journal publication is not always possible, and 
many clinical trials are not being published or published in a timely 
manner. A recent study found that the results of less than half of NIH-
funded clinical trials had been published in a peer-reviewed biomedical 
journal within 30 months of trial completion.\4\ Selective publication 
of the results of some trials and not others--or publication of 
incomplete or partial findings from a particular trial--can lead to 
inappropriate conclusions about the usefulness of particular 
therapies.\5\
---------------------------------------------------------------------------

    \4\ Ross JS, Tse T, Zarin DA, Xu H, Zhou L, Krumholz HM. 
Publication of NIH funded trials registered in ClinicalTrials.gov: 
cross-sectional analysis. BMJ. 2012;344:d7292.
    \5\ Nissen S, Biomarkers in Cardiovascular Medicine, The Shame 
of Publication Bias, JAMA Intern Med 2013 March 25; doi:10.001/
jamainternmed.2013.4074; Dwan K et al., Systematic review of the 
empirical evidence of study publication bias and outcome reporting 
bias, PLoS One 2008 Aug 28;3(8):e3081. doi: 0.1371/
journal.pone.0003081; Begg C, Berlin J, Publication bias and 
dissemination of clinical research, J Natl Cancer Inst 1989, Jan 
18;81(2):107-15.
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    Public access to clinical trial information drives scientific 
progress and optimizes the return on the nation's investment in 
clinical trials. It helps inform future research, improve study design, 
and prevent duplication of unsafe and unsuccessful trials. In addition, 
there is an important ethical dimension to dissemination of clinical 
trial results because individuals who volunteer to participate in such 
studies, and who may assume risks, trust that what we learn will 
contribute to generalizable knowledge about human health. Finally, 
enhancing transparency also increases public trust in clinical 
research. It is, therefore, important to provide other ways for 
clinical trial results to be disseminated and publicly available to 
researchers, health care providers, and patient communities.
    Some NIH-funded clinical trials are subject to mandatory 
registration and reporting of results under federal law, i.e., Title 
VIII of the Food and Drug Administration Amendments Act of 2007 
(FDAAA). FDAAA applies, in general, to controlled, interventional 
studies of Food and Drug Administration (FDA)-regulated drugs, 
biological products, and devices, excluding phase 1 studies of drugs 
and biological products and small feasibility studies of devices. Under 
FDAAA, a minimal set of summary information about such clinical trials 
must be submitted in a structured, tabular format to 
ClinicalTrials.gov, a freely accessible and searchable registry and 
results data bank operated by the National Library of Medicine (NLM), 
NIH.
    NIH is proposing to issue a policy to ensure that all NIH-funded 
clinical trials are registered and have summary results, including 
adverse event information, submitted to ClinicalTrials.gov. Compliance 
with this policy will be a term and condition in the Notice of Grant 
Award and a contract requirement in the Contract Award. This proposed 
policy supports the NIH mission and is essential to facilitate the 
translation of research results into knowledge, products, and 
procedures that improve human health.

Request for Comments

    NIH encourages the public to provide comments on any aspect of the 
draft policy, described below. Comments should be submitted 
electronically to the Office of Clinical Research and Bioethics Policy 
(OCRBP), Office of Science Policy, NIH, via email at email at 
[email protected], mail at 6705 Rockledge 
Drive, Suite 750, Bethesda, MD 20892, or by fax at 301-496-9839. 
Submitted comments are considered public information; private or 
confidential information should not be submitted. Comments may be 
posted along with the submitter's name and affiliation on the OCRBP Web 
site after the public comment period closes.

Draft NIH Policy on Dissemination of NIH-Funded Clinical Trial 
Information

    Purpose. The purpose of this Policy is to promote broad and 
responsible dissemination of information from NIH-funded clinical 
trials through ClinicalTrials.gov, the clinical trial registry and 
results databank operated by the National Library of Medicine (NLM). 
Disseminating this information supports the NIH mission to advance the 
translation of research results into knowledge, products, and 
procedures that improve human health. This Policy is intended to 
complement the statutory mandate under Title VIII of the Food and Drug 
Administration Amendments Act of 2007 (FDAAA) that requires 
registration and submission of summary results for certain clinical 
trials, whether funded by NIH or by other entities, to be registered 
and have summary results submitted to ClincalTrials.gov.\6\
---------------------------------------------------------------------------

    \6\ The mandate applies to certain ``applicable clinical 
trials'' (ACTs) of drugs (defined by section 402(j)(1)(A)(vii) of 
the Public Health Service Act to include biological products) and 
devices, including any pediatric postmarket surveillance of a device 
required by FDA under section 522 of the Federal Food, Drug, and 
Cosmetic Act (FD&C Act). See 42 U.S.C. 282(j).
---------------------------------------------------------------------------

    Scope and Applicability. This Policy applies to all NIH-funded 
awardees and investigators conducting clinical trials, funded in whole 
or in part by NIH, regardless of study phase, type of intervention, or 
whether they are subject to the FDAAA registration and results 
submission requirements set forth in Section 402(j) of the Public 
Health Service Act (42 U.S.C. 282(j)). For

[[Page 8098]]

purposes of this Policy, a clinical trial is defined as ``a research 
study in which one or more human subjects are prospectively assigned to 
one or more interventions (which may include placebo or other control) 
to evaluate the effects of those interventions on health-related 
biomedical or behavioral outcomes.\7\''
---------------------------------------------------------------------------

    \7\ Several terms within the NIH definition of clinical trial 
definition mean are defined as follows. ``Research'' and ``human 
subject'' are defined in the Common Rule at 45 CFR 46.102(d) and 45 
CFR 46.102(f), respectively. ``Prospectively assigned'' refers to a 
pre-defined process (e.g., randomization) specified in an approved 
protocol that stipulates the assignment of research subjects 
(individually or in clusters) to one or more arms (e.g., 
intervention, placebo or other control) of the clinical trial. An 
``intervention'' is defined as a manipulation of the subject or 
subject's environment for the purpose of modifying one or more 
health-related biomedical or behavioral processes and/or endpoints. 
Examples include drugs/small molecules/compounds; biologics; 
devices; procedures (e.g., surgical techniques); delivery systems 
(e.g., telemedicine, face-to-face interviews); strategies to change 
health-related behavior (e.g., diet, cognitive therapy, exercise, 
development of new habits); treatment strategies; prevention 
strategies; and, diagnostic strategies. A ``health-related 
biomedical or behavioral outcome'' is defined as the pre-specified 
goal(s) or condition(s) that reflect the effect of one or more 
interventions on human subjects' biomedical or behavioral status or 
quality of life. Examples include positive or negative changes to 
physiological or biological parameters (e.g., improvement of lung 
capacity, gene expression); positive or negative changes to 
psychological or neurodevelopmental parameters (e.g., mood 
management intervention for smokers; reading comprehension and/or 
information retention); positive or negative changes to disease 
processes; positive or negative changes to health-related behaviors; 
and, positive or negative changes to quality of life. See http://osp.od.nih.gov/office-clinical-research-and-bioethics-policy/clinical-research-policy/clinical-trials>
---------------------------------------------------------------------------

    Effective Date. This Policy is effective for:
     Competing grant applications that include clinical trials 
and are submitted to the NIH for the [date to be determined] receipt 
date and subsequent receipt dates;
     Proposals for contracts that include clinical trials and 
are submitted to the NIH on or after [date to be determined]; and
     NIH intramural research projects that include clinical 
trials for which Institutional Review Board review is initiated after 
[date to be determined].
    Responsibilities. As set forth in the terms and conditions of grant 
and contract awards, all NIH-funded awardees and investigators 
conducting clinical trials, funded in whole or in part by NIH, who have 
committed to NIH that they will comply with NIH policies, are expected 
to ensure that their NIH-funded clinical trials are registered and 
summary results, including adverse event information, are submitted to 
ClinicalTrials.gov in accord with the timelines that will be set forth 
at ClinicalTrials.gov. Generally, this means registration of the 
clinical trial not later than 21 days after enrollment of the first 
participant and submission of summary results information not later 
than one year after the completion date. ``Completion date'' is defined 
to be the date that the final subject was examined or received an 
intervention for the purpose of final collection of data for the 
primary outcome, whether the clinical trial concluded according to the 
pre-specified protocol or was terminated. It will be possible to delay 
results submission for up to two years beyond the initial deadline with 
a certification that regulatory approval of the product is being 
sought. Clinical trials covered by the policy will be expected to 
submit the same type of registration and results data and in the same 
timeframes as the trials subject to FDAAA. The specific registration 
and results information to be submitted will be made available at the 
ClinicalTrials.gov site.
    Institutions and investigators should submit information directly 
to ClinicalTrials.gov. If the trial is subject to FDAAA, i.e., section 
402(j) of the Public Health Service Act (42 U.S.C. 282(j)), submissions 
must be made by the Responsible Party, as defined at 42 U.S.C. 
282(j)(1)(A)(ix). If an NIH-funded clinical trial is also subject to 
FDAAA, it needs to have only one entry in ClinicalTrials.gov that 
contains its registration and results information. Investigators and 
funding recipients are expected to cooperate with NLM to address any 
data curation or quality control issues to facilitate timely posting.
    In general, NIH expects to make clinical trial registration and 
results information publicly available through ClinicalTrials.gov 
within 30 days after receipt by ClinicalTrials.gov.\8\ For NIH-funded 
trials that are subject to section 402(j) of the Public Health Services 
Act (42 U.S.C. 282(j)), submitted information will be posted in 
compliance with the relevant requirements of that section.
---------------------------------------------------------------------------

    \8\ For clinical trials funded through SBIRs, the timeframe for 
posting results will be consistent with the SBIR Policy Directive, 
which generally prohibits the agency from posting SBIR data for at 
least 4 years from completion of the study unless the awardee 
consents to an earlier release. See SBIR Policy Directive, Sections 
8(b)(2) and (4).
---------------------------------------------------------------------------

    Failure to comply with the terms and conditions of NIH awards may 
provide a basis for enforcement actions, including termination, 
consistent with 45 CFR 74.62 and/or other authorities, as 
appropriate.\9\
---------------------------------------------------------------------------

    \9\ When the final policy is issued, NIH will also provide more 
specific procedural guidance to facilitate implementation.

     Dated: January 8, 2015.
Lawrence Tabak,
Principal Deputy Director, National Institutes of Health.
[FR Doc. 2015-02994 Filed 2-12-15; 8:45 am]
BILLING CODE 4140-01-P



                                              8096                          Federal Register / Vol. 80, No. 30 / Friday, February 13, 2015 / Notices

                                              County noise thresholds. Furthermore,                   consulting parties (which would                       NEPA documentation will be completed
                                              any minor change in noise levels is not                 include MHT and may also include                      based on the outcome of that review.
                                              expected to affect the character of the                 Advisory Council on Historic                            Dated: February 5, 2015.
                                              site.                                                   Preservation (ACHP) and Native                        Daniel G. Wheeland, P.E.
                                                                                                      American tribes) to establish a
                                              Air Quality                                                                                                   Director, Office of Research Facilities
                                                                                                      Memorandum of Agreement (MOA) to                      Development and Operations, National
                                                Traffic is expected to be the primary                 resolve adverse effects. Mitigation                   Institutes of Health.
                                              mobile source of air emissions at or near               measures identified through this                      [FR Doc. 2015–02993 Filed 2–12–15; 8:45 am]
                                              the campus. Mobile air emissions for the                consultation could include in-place
                                              campus at this time are expected to                                                                           BILLING CODE 4140–01–P
                                                                                                      preservation through site avoidance,
                                              originate from vehicles associated with                 protection, or easement acquisition;
                                              visitors, commuter transportation,                      development and implementation of a
                                              employee parking, commercial delivery,                                                                        DEPARTMENT OF HEALTH AND
                                                                                                      data recovery plan to retrieve and                    HUMAN SERVICES
                                              and construction vehicles. Future traffic               analyze the site’s resources
                                              generated carbon monoxide (CO)                          implementation of innovative,                         National Institutes of Health
                                              concentrations were predicted to be less                alternative mitigation measures or a
                                              than 2003 concentrations in the                         combination of these measures.                        Announcement of a Draft NIH Policy on
                                              Selected Alternative due to projected                                                                         Dissemination of NIH-Funded Clinical
                                              vehicle emission rate reductions. Based                 Practicable Means To Avoid or                         Trial Information
                                              on predicted values, the one and eight-                 Minimize Potential Environmental
                                              hour average National Ambient Air                       Harm From the Selected Alternative                    SUMMARY:   On November 19, 2014, the
                                              Quality Standards (NAAQS) CO                               All practicable means to avoid or                  National Institutes of Health (NIH)
                                              concentrations would not be exceeded                    minimize adverse environmental effects                published a request for public
                                              and no impacts are expected for any of                  from the Selected Action have been                    comments in the NIH Guide for Grants
                                              the proposed Alternatives.                              identified and incorporated into the                  and Contracts on a draft policy to
                                                                                                      action. The proposed Master Plan                      promote broad and responsible
                                              Wastewater/Water Supply
                                                                                                      construction will be subject to the                   dissemination of information on clinical
                                                The Selected Alternative would                                                                              trials funded by the NIH through
                                              increase the amount of wastewater                       existing NIH pollution prevention,
                                                                                                      waste management, and safety, security,               registration and submission of summary
                                              generated on campus with the proposal                                                                         results information to ClinicalTrials.gov.
                                              of additional development. To facilitate                and emergency response policies and
                                                                                                      procedures as well as existing                        See Guide notice NOT–OD–15–019 at
                                              the construction of the improvements                                                                          http://grants.nih.gov/grants/guide/
                                              under this proposed alternative, the                    environmental permits. Best
                                                                                                      management practices, spill prevention                notice-files/NOT-OD-15-019.html. NIH
                                              existing wastewater distribution system                                                                       is publishing this notice in order to
                                              would need to be relocated and                          and control, and stormwater
                                                                                                      management plans will be followed to                  inform readers of the Federal Register
                                              upgraded as necessary. With the                                                                               about the draft policy and the
                                              increase in demand, NIH will consult                    appropriately address the construction
                                                                                                      and operation envisioned in [or                       opportunity to comment.
                                              with the Washington Suburban Sanitary
                                                                                                      ‘‘described in’’—the Master Plan itself               DATES: The deadline for receiving
                                              Commission (WSSC) to ensure adequate
                                                                                                      will not be constructed and operated] of              comments on the draft policy is no later
                                              sewer capacity is available for the
                                                                                                      the new Master Plan and comply with                   than 5:00 p.m. on March 23, 2015.
                                              campus. This consultation would also
                                              assist WSSC in determining if and when                  applicable regulatory and NIH                         ADDRESSES: Comments may be
                                              any of the public lines surrounding the                 requirements. No additional mitigation                submitted by any of the following
                                              campus need to be upgraded. All                         measures have been identified.                        methods:
                                              sanitary sewer design would be in                       Pollution Prevention                                     • Email:
                                              accordance with the NIH Facilities                                                                            clinicaltrials.disseminationpolicy@
                                              Development Manual, ‘‘Section 8–6:                        Air quality permit standards will be                mail.nih.gov.
                                              Drainage Systems’’ of the 2008 National                 met, as will all federal, state, and local               • Fax: 301–496–9839.
                                              Institutes of Health Design                             requirements to protect the environment                  • Mail/Hand delivery/Courier: Office
                                              Requirements for Biomedical                             and public health.                                    of Clinical Research and Bioethics
                                              Laboratories and Animal Research                        Conclusion                                            Policy, Office of Science Policy,
                                              Facilities and the WSSC requirements.                                                                         National Institutes of Health, 6705
                                              No significant impacts are expected for                    Based upon review and careful                      Rockledge Drive, Suite 750, Bethesda,
                                              wastewater or the NIH campus water                      consideration, the NIH has decided to                 MD 20892.
                                              supply.                                                 implement the Selected Alternative for
                                                                                                      a long-range physical Master Plan for                 FOR FURTHER INFORMATION CONTACT:
                                              Historic Resources                                      NIH Bethesda Campus located in                        Office of Clinical Research and
                                                                                                      Bethesda, Maryland. The decision                      Bioethics Policy, Office of Science
                                                NIH would comply with National
                                                                                                      accounts for potential growth of NIH                  Policy, National Institutes of Health,
                                              Historic Preservation Act (NHPA)
                                                                                                      personnel, and consequent construction                6705 Rockledge Drive, Suite 750,
                                              Section 106 by consulting with
                                                                                                      of space over the planning period. The                Bethesda, MD 20892, 301–496–9838,
                                              Maryland Historical Trust (MHT) on the
                                                                                                      decision was based upon review and                    OCRBP-OSP@od.nih.gov.
                                              need for particular archeological studies
tkelley on DSK3SPTVN1PROD with NOTICES




                                              as individual Master Plan project                       careful consideration of the impacts                  SUPPLEMENTARY INFORMATION:
                                              elements are funded, designed, and                      identified in the Final EIS and public                Background
                                              executed. In the event that eligible                    comments received throughout the
                                              prehistoric resources are identified and                NEPA process.                                           The National Institutes of Health
                                              adverse effects are anticipated, NIH                       Separate NEPA reviews, when                        (NIH) is dedicated to improving the
                                              would continue Section 106                              required, will be done on projects                    health of Americans by conducting and
                                              consultation with the appropriate                       discussed in the Master Plan. Proper                  funding biomedical and behavioral


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                                                                            Federal Register / Vol. 80, No. 30 / Friday, February 13, 2015 / Notices                                                     8097

                                              research, including clinical trials.1 A                 trial completion.4 Selective publication              contract requirement in the Contract
                                              fundamental premise of all NIH-funded                   of the results of some trials and not                 Award. This proposed policy supports
                                              research is that the results of such work               others—or publication of incomplete or                the NIH mission and is essential to
                                              must be disseminated in order to                        partial findings from a particular trial—             facilitate the translation of research
                                              contribute to the general body of                       can lead to inappropriate conclusions                 results into knowledge, products, and
                                              scientific knowledge and, ultimately, to                about the usefulness of particular                    procedures that improve human health.
                                              the public health. NIH awardees are                     therapies.5
                                                                                                         Public access to clinical trial                    Request for Comments
                                              expected to make the results and
                                              accomplishments of their activities                     information drives scientific progress                   NIH encourages the public to provide
                                              available to the research community and                 and optimizes the return on the nation’s              comments on any aspect of the draft
                                              to the public at large.                                 investment in clinical trials. It helps               policy, described below. Comments
                                                                                                      inform future research, improve study                 should be submitted electronically to
                                                 The results of NIH funded research                                                                         the Office of Clinical Research and
                                                                                                      design, and prevent duplication of
                                              can be disclosed in a number of ways,                                                                         Bioethics Policy (OCRBP), Office of
                                                                                                      unsafe and unsuccessful trials. In
                                              including through publications,                                                                               Science Policy, NIH, via email at email
                                                                                                      addition, there is an important ethical
                                              presentations at scientific meetings,                                                                         at clinicaltrials.disseminationpolicy@
                                                                                                      dimension to dissemination of clinical
                                              sharing research tools, and depositing                  trial results because individuals who                 mail.nih.gov, mail at 6705 Rockledge
                                              information into databases and                          volunteer to participate in such studies,             Drive, Suite 750, Bethesda, MD 20892,
                                              materials into repositories. NIH has a                  and who may assume risks, trust that                  or by fax at 301–496–9839. Submitted
                                              number of policies that promote the                     what we learn will contribute to                      comments are considered public
                                              dissemination of research results and                   generalizable knowledge about human                   information; private or confidential
                                              guide funding recipients in                             health. Finally, enhancing transparency               information should not be submitted.
                                              disseminating their results. The NIH                    also increases public trust in clinical               Comments may be posted along with the
                                              Data Sharing Policy, the NIH Public                     research. It is, therefore, important to              submitter’s name and affiliation on the
                                              Access Policy, the NIH Research Tools                   provide other ways for clinical trial                 OCRBP Web site after the public
                                              Policy, and the NIH Genomic Data                        results to be disseminated and publicly               comment period closes.
                                              Sharing Policy are important examples                   available to researchers, health care
                                              of policies to ensure that research data                                                                      Draft NIH Policy on Dissemination of
                                                                                                      providers, and patient communities.                   NIH-Funded Clinical Trial Information
                                              and materials generated using NIH                          Some NIH-funded clinical trials are
                                              funds are used productively to further                  subject to mandatory registration and                    Purpose. The purpose of this Policy is
                                              scientific progress and to promote                      reporting of results under federal law,               to promote broad and responsible
                                              public health.2 Increasing public access                i.e., Title VIII of the Food and Drug                 dissemination of information from NIH-
                                              to information from NIH research                        Administration Amendments Act of                      funded clinical trials through
                                              supports the public access and data                     2007 (FDAAA). FDAAA applies, in                       ClinicalTrials.gov, the clinical trial
                                              sharing directives of the Executive                     general, to controlled, interventional                registry and results databank operated
                                              Office of the President (EOP                            studies of Food and Drug                              by the National Library of Medicine
                                              Directives).3                                           Administration (FDA)-regulated drugs,                 (NLM). Disseminating this information
                                                 Traditionally, scientists fulfill their              biological products, and devices,                     supports the NIH mission to advance
                                              obligation to contribute to the general                 excluding phase 1 studies of drugs and                the translation of research results into
                                              body of knowledge through peer                          biological products and small feasibility             knowledge, products, and procedures
                                              reviewed journal publications.                          studies of devices. Under FDAAA, a                    that improve human health. This Policy
                                              However, journal publication is not                     minimal set of summary information                    is intended to complement the statutory
                                              always possible, and many clinical trials               about such clinical trials must be                    mandate under Title VIII of the Food
                                              are not being published or published in                 submitted in a structured, tabular format             and Drug Administration Amendments
                                              a timely manner. A recent study found                   to ClinicalTrials.gov, a freely accessible            Act of 2007 (FDAAA) that requires
                                              that the results of less than half of NIH-              and searchable registry and results data              registration and submission of summary
                                              funded clinical trials had been                         bank operated by the National Library of              results for certain clinical trials,
                                              published in a peer-reviewed                            Medicine (NLM), NIH.                                  whether funded by NIH or by other
                                              biomedical journal within 30 months of                     NIH is proposing to issue a policy to              entities, to be registered and have
                                                                                                      ensure that all NIH-funded clinical trials            summary results submitted to
                                                 1 NIH’s mission is to seek fundamental knowledge
                                                                                                      are registered and have summary                       ClincalTrials.gov.6
                                              about the nature and behavior of living systems and     results, including adverse event                         Scope and Applicability. This Policy
                                              the application of that knowledge to enhance            information, submitted to                             applies to all NIH-funded awardees and
                                              health, lengthen life, and reduce illness and           ClinicalTrials.gov. Compliance with this              investigators conducting clinical trials,
                                              disability. See http://www.nih.gov/about/                                                                     funded in whole or in part by NIH,
                                              mission.htm.
                                                                                                      policy will be a term and condition in
                                                 2 See http://www.grants.nih.gov/grants/policy/       the Notice of Grant Award and a                       regardless of study phase, type of
                                              data_sharing/data_sharing_guidance.htm; http://                                                               intervention, or whether they are subject
                                              publicaccess.nih.gov/; http://grants.nih.gov/grants/      4 Ross JS, Tse T, Zarin DA, Xu H, Zhou L,           to the FDAAA registration and results
                                              intell-property_64FR72090.pdf; and http://              Krumholz HM. Publication of NIH funded trials         submission requirements set forth in
                                              gds.nih.gov/03policy2.html.                             registered in ClinicalTrials.gov: cross-sectional
                                                 3 See the Office of Science and Technology           analysis. BMJ. 2012;344:d7292.
                                                                                                                                                            Section 402(j) of the Public Health
                                              Policy’s memorandum, ‘‘Increasing Access to the           5 Nissen S, Biomarkers in Cardiovascular            Service Act (42 U.S.C. 282(j)). For
                                              Results of Federally Funded Scientific Research,’’      Medicine, The Shame of Publication Bias, JAMA
tkelley on DSK3SPTVN1PROD with NOTICES




                                              (February 22, 2013), the Office of Management and       Intern Med 2013 March 25; doi:10.001/                    6 The mandate applies to certain ‘‘applicable

                                              Budget’s memorandum, ‘‘Open Data Policy—                jamainternmed.2013.4074; Dwan K et al.,               clinical trials’’ (ACTs) of drugs (defined by section
                                              Managing Information as an Asset,’’ M–13–13 (May        Systematic review of the empirical evidence of        402(j)(1)(A)(vii) of the Public Health Service Act to
                                              9, 2013) http://www.whitehouse.gov/sites/default/       study publication bias and outcome reporting bias,    include biological products) and devices, including
                                              files/omb/memoranda/2013/m-13-13.pdf, and               PLoS One 2008 Aug 28;3(8):e3081. doi: 0.1371/         any pediatric postmarket surveillance of a device
                                              Executive Order No. 13,642 (May 9, 2013) http://        journal.pone.0003081; Begg C, Berlin J, Publication   required by FDA under section 522 of the Federal
                                              www.gpo.gov/fdsys/pkg/DCPD-201300318/pdf/               bias and dissemination of clinical research, J Natl   Food, Drug, and Cosmetic Act (FD&C Act). See 42
                                              DCPD-201300318.pdf.                                     Cancer Inst 1989, Jan 18;81(2):107–15.                U.S.C. 282(j).



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                                              8098                           Federal Register / Vol. 80, No. 30 / Friday, February 13, 2015 / Notices

                                              purposes of this Policy, a clinical trial                accord with the timelines that will be                  45 CFR 74.62 and/or other authorities,
                                              is defined as ‘‘a research study in which                set forth at ClinicalTrials.gov. Generally,             as appropriate.9
                                              one or more human subjects are                           this means registration of the clinical                    Dated: January 8, 2015.
                                              prospectively assigned to one or more                    trial not later than 21 days after                      Lawrence Tabak,
                                              interventions (which may include                         enrollment of the first participant and                 Principal Deputy Director, National Institutes
                                              placebo or other control) to evaluate the                submission of summary results                           of Health.
                                              effects of those interventions on health-                information not later than one year after               [FR Doc. 2015–02994 Filed 2–12–15; 8:45 am]
                                              related biomedical or behavioral                         the completion date. ‘‘Completion date’’                BILLING CODE 4140–01–P
                                              outcomes.7’’                                             is defined to be the date that the final
                                                 Effective Date. This Policy is effective              subject was examined or received an
                                              for:                                                     intervention for the purpose of final
                                                 • Competing grant applications that                   collection of data for the primary
                                                                                                                                                               DEPARTMENT OF THE INTERIOR
                                              include clinical trials and are submitted                outcome, whether the clinical trial                     Office of the Secretary
                                              to the NIH for the [date to be                           concluded according to the pre-
                                              determined] receipt date and                                                                                     [AAK6006201 1565A2100DD
                                                                                                       specified protocol or was terminated. It                AOR3030.999900]
                                              subsequent receipt dates;
                                                                                                       will be possible to delay results
                                                 • Proposals for contracts that include
                                              clinical trials and are submitted to the                 submission for up to two years beyond                   National Environmental Policy Act:
                                              NIH on or after [date to be determined];                 the initial deadline with a certification               Implementing Procedures; Additions
                                              and                                                      that regulatory approval of the product                 to Categorical Exclusions for Bureau
                                                 • NIH intramural research projects                    is being sought. Clinical trials covered                of Indian Affairs (516 DM 10)
                                              that include clinical trials for which                   by the policy will be expected to submit
                                                                                                                                                               AGENCY: Department of the Interior.
                                              Institutional Review Board review is                     the same type of registration and results
                                                                                                       data and in the same timeframes as the                  ACTION:Notice of Final National
                                              initiated after [date to be determined].                                                                         Environmental Policy Act Implementing
                                                 Responsibilities. As set forth in the                 trials subject to FDAAA. The specific
                                                                                                       registration and results information to                 Procedures.
                                              terms and conditions of grant and
                                              contract awards, all NIH-funded                          be submitted will be made available at                  SUMMARY:   In accordance with the
                                              awardees and investigators conducting                    the ClinicalTrials.gov site.                            National Environmental Policy Act of
                                              clinical trials, funded in whole or in                      Institutions and investigators should                1969 (NEPA) and the Council on
                                              part by NIH, who have committed to                       submit information directly to                          Environmental Quality regulations
                                              NIH that they will comply with NIH                       ClinicalTrials.gov. If the trial is subject             implementing NEPA, and Department of
                                              policies, are expected to ensure that                    to FDAAA, i.e., section 402(j) of the                   the Interior (Department) NEPA
                                              their NIH-funded clinical trials are                     Public Health Service Act (42 U.S.C.                    implementing regulations, the Bureau of
                                              registered and summary results,                          282(j)), submissions must be made by                    Indian Affairs (BIA) in the Department
                                              including adverse event information, are                 the Responsible Party, as defined at 42                 is adding three categorical exclusions
                                              submitted to ClinicalTrials.gov in                       U.S.C. 282(j)(1)(A)(ix). If an NIH-funded               (CE) to the Departmental Manual 516
                                                                                                       clinical trial is also subject to FDAAA,                DM 10. The three proposed CEs pertain
                                                 7 Several terms within the NIH definition of
                                                                                                       it needs to have only one entry in                      to timber harvesting on Indian lands.
                                              clinical trial definition mean are defined as follows.
                                              ‘‘Research’’ and ‘‘human subject’’ are defined in the    ClinicalTrials.gov that contains its                    DATES: Effective Date: The categorical
                                              Common Rule at 45 CFR 46.102(d) and 45 CFR               registration and results information.                   exclusions are effective February 13,
                                              46.102(f), respectively. ‘‘Prospectively assigned’’      Investigators and funding recipients are                2015.
                                              refers to a pre-defined process (e.g., randomization)
                                              specified in an approved protocol that stipulates the    expected to cooperate with NLM to                       ADDRESSES:   To obtain a copy of the new
                                              assignment of research subjects (individually or in      address any data curation or quality                    categorical exclusions contact Mr. David
                                              clusters) to one or more arms (e.g., intervention,       control issues to facilitate timely                     Koch, Acting Chief Forester, Bureau of
                                              placebo or other control) of the clinical trial. An
                                              ‘‘intervention’’ is defined as a manipulation of the
                                                                                                       posting.                                                Indian Affairs, 1849 C Street,
                                              subject or subject’s environment for the purpose of         In general, NIH expects to make                      Washington, DC 20240; email:
                                              modifying one or more health-related biomedical or       clinical trial registration and results                 david.koch@bia.gov.
                                              behavioral processes and/or endpoints. Examples
                                              include drugs/small molecules/compounds;                 information publicly available through                  FOR FURTHER INFORMATION CONTACT: Mr.
                                              biologics; devices; procedures (e.g., surgical           ClinicalTrials.gov within 30 days after                 David Koch, Acting Chief Forester, (202)
                                              techniques); delivery systems (e.g., telemedicine,       receipt by ClinicalTrials.gov.8 For NIH-                208–4837.
                                              face-to-face interviews); strategies to change health-
                                              related behavior (e.g., diet, cognitive therapy,
                                                                                                       funded trials that are subject to section               SUPPLEMENTARY INFORMATION:
                                              exercise, development of new habits); treatment          402(j) of the Public Health Services Act
                                                                                                                                                               Background
                                              strategies; prevention strategies; and, diagnostic       (42 U.S.C. 282(j)), submitted
                                              strategies. A ‘‘health-related biomedical or             information will be posted in                              Harvesting timber on Indian lands, as
                                              behavioral outcome’’ is defined as the pre-specified                                                             defined in 25 CFR 163.1, allows
                                              goal(s) or condition(s) that reflect the effect of one   compliance with the relevant
                                              or more interventions on human subjects’                 requirements of that section.                           landowners to realize value from lands
                                              biomedical or behavioral status or quality of life.                                                              held in trust for them by the Federal
                                              Examples include positive or negative changes to
                                                                                                          Failure to comply with the terms and                 Government or subject to restrictions
                                              physiological or biological parameters (e.g.,            conditions of NIH awards may provide                    against alienation. The National Indian
                                              improvement of lung capacity, gene expression);          a basis for enforcement actions,                        Forest Resources Management Act, and
                                              positive or negative changes to psychological or         including termination, consistent with
                                              neurodevelopmental parameters (e.g., mood                                                                        its implementing regulations, require
tkelley on DSK3SPTVN1PROD with NOTICES




                                              management intervention for smokers; reading                                                                     the Secretary, with the participation of
                                              comprehension and/or information retention);               8 For clinical trials funded through SBIRs, the
                                                                                                                                                               the landowners, to undertake forest land
                                              positive or negative changes to disease processes;       timeframe for posting results will be consistent with
                                              positive or negative changes to health-related           the SBIR Policy Directive, which generally prohibits    management activities on Indian forest
                                              behaviors; and, positive or negative changes to          the agency from posting SBIR data for at least 4
                                              quality of life. See http://osp.od.nih.gov/office-       years from completion of the study unless the             9 When the final policy is issued, NIH will also

                                              clinical-research-and-bioethics-policy/clinical-         awardee consents to an earlier release. See SBIR        provide more specific procedural guidance to
                                              research-policy/clinical-trials>                         Policy Directive, Sections 8(b)(2) and (4).             facilitate implementation.



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Document Created: 2015-12-18 13:17:41
Document Modified: 2015-12-18 13:17:41
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionNotices
DatesThe deadline for receiving comments on the draft policy is no later than 5:00 p.m. on March 23, 2015.
ContactOffice of Clinical Research and Bioethics Policy, Office of Science Policy, National Institutes of Health, 6705 Rockledge Drive, Suite 750, Bethesda, MD 20892, 301-496- 9838, [email protected]
FR Citation80 FR 8096 

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