81_FR_19097 81 FR 19033 - Administrative Actions for Noncompliance; Lesser Administrative Actions

81 FR 19033 - Administrative Actions for Noncompliance; Lesser Administrative Actions

DEPARTMENT OF HEALTH AND HUMAN SERVICES
Food and Drug Administration

Federal Register Volume 81, Issue 64 (April 4, 2016)

Page Range19033-19036
FR Document2016-07523

The Food and Drug Administration (FDA) is amending the regulation describing lesser administrative actions that may be imposed on an Institutional Review Board (IRB) that has failed to comply with FDA's IRB regulations. We are clarifying that FDA may require the IRB to withhold approval of new FDA-regulated studies, stop the enrollment of new subjects in ongoing studies, and terminate ongoing studies, or any combination of these actions until the noncompliance with FDA's IRB regulations is corrected. We are taking this action to ensure clarity and improve the accuracy of the regulations.

Federal Register, Volume 81 Issue 64 (Monday, April 4, 2016)
[Federal Register Volume 81, Number 64 (Monday, April 4, 2016)]
[Rules and Regulations]
[Pages 19033-19036]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-07523]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

21 CFR Part 56

[Docket No. FDA-2015-N-5052]


Administrative Actions for Noncompliance; Lesser Administrative 
Actions

AGENCY: Food and Drug Administration, HHS.

ACTION: Direct final rule.

-----------------------------------------------------------------------

SUMMARY: The Food and Drug Administration (FDA) is amending the 
regulation describing lesser administrative actions that may be imposed 
on an Institutional Review Board (IRB) that has failed to comply with 
FDA's IRB regulations. We are clarifying that FDA may require the IRB 
to withhold approval of new FDA-regulated studies, stop the enrollment 
of new subjects in ongoing studies, and terminate ongoing studies, or 
any combination of these actions until the noncompliance with FDA's IRB 
regulations is corrected. We are taking this action to ensure clarity 
and improve the accuracy of the regulations.

DATES: This rule is effective August 17, 2016. Submit electronic or 
written comments on this direct final rule or its companion proposed 
rule by June 20, 2016.

ADDRESSES: You may submit comments as follows:

Electronic Submissions

    Submit electronic comments in the following way:
     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments. Comments submitted 
electronically, including attachments, to http://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 http://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): Division of Dockets Management (HFA-305), Food and Drug 
Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852.
     For written/paper comments submitted to the Division of 
Dockets Management, 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-2015-N-5052 for ``Subpart E--Administrative Actions for 
Noncompliance; Lesser Administrative Actions.'' Received comments will 
be placed in the docket and, except for those submitted as 
``Confidential Submissions,'' publicly viewable at http://www.regulations.gov or at the Division of Dockets Management between 9 
a.m. and 4 p.m., Monday through Friday.
     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

[[Page 19034]]

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 http://www.regulations.gov. Submit both copies to the Division of Dockets 
Management. 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: http://www.fda.gov/regulatoryinformation/dockets/default.htm.
    Docket: For access to the docket to read background documents or 
the electronic and written/paper comments received, go to http://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 Division of Dockets Management, 5630 Fishers 
Lane, Rm. 1061, Rockville, MD 20852.

FOR FURTHER INFORMATION CONTACT: Sheila Brown, Office of Good Clinical 
Practice, Office of Special Medical Programs, Food and Drug 
Administration, 10903 New Hampshire Ave., Bldg. 32, Rm. 5129, Silver 
Spring, MD 20993-0002, 301-796-6563.

SUPPLEMENTARY INFORMATION:

I. Background

    FDA is amending Sec.  56.120(b) (21 CFR 56.120(b)), which describes 
lesser administrative actions that the Agency may impose on an IRB 
until the IRB takes appropriate action to correct the IRB's 
noncompliance. We are publishing this direct final rule because it is 
intended to clarify an existing regulation, and we do not anticipate 
any significant adverse comment regarding this amendment to Sec.  
56.120(b). Specifically, this direct final rule would amend Sec.  
56.120(b) by clarifying that FDA has authority to require the IRB to 
withhold approval of new FDA-regulated studies conducted at the 
institution or reviewed by the IRB, direct that no new subjects be 
added to ongoing studies, and terminate ongoing studies provided that 
doing so would not endanger study subjects.
    This amendment also renumbers current paragraphs (b)(4) and (c) as 
paragraphs (c) and (d), respectively, and inserts ``FDA may'' into 
newly designated paragraph (c) so that it is a complete sentence.
    FDA first proposed requirements for the composition and operations 
of institutional review committees in the ``Proposed Investigational 
Device Exemptions,'' published in the Federal Register of August 20, 
1976 (41 FR 35282; ``Proposed IDE Rule''). In that document, FDA 
proposed disqualification procedures for institutional review 
committees and requested comments on the proposed procedures and other 
possible administrative actions that FDA might take against a committee 
that is not in compliance with the regulations (41 FR 35282 at 35293). 
FDA also stated its intention to publish uniform, Agency-wide 
regulations governing clinical investigations at a later date, 
including requirements governing institutional review committees (41 FR 
35282 at 35283).
    Subsequently, FDA published ``Standards for Institutional Review 
Boards for Clinical Investigations'' on August 8, 1978 (43 FR 35186; 
``Proposed IRB Standards''). Comments on implementing institutional 
review requirements received in response to the Proposed IDE Rule were 
reviewed and utilized in preparing the Proposed IRB Standards (43 FR 
35186 at 35187). In the Proposed IRB Standards, FDA proposed that 
disqualification would be used only if the Commissioner of Food and 
Drugs finds that: (1) The IRB failed to comply with one or more of the 
standards for IRBs in part 56 or other supplemental requirements in the 
investigational new drug or investigational device exemptions (IDE) 
regulations; (2) the noncompliance adversely affects the validity of 
the data or the rights or safety of the human subjects; and (3) other 
lesser regulatory actions (e.g., warnings or rejection of data from 
individual clinical investigations) have not been or probably will not 
be adequate in achieving compliance (43 FR 35186 at 35195).
    FDA received numerous comments to the Proposed IRB Standards, and 
addressed those comments in the Federal Register of January 27, 1981 
(46 FR 8958), ``Protection of Human Subjects: Standards for 
Institutional Review Boards for Clinical Investigations, Final Rule.'' 
Specifically, several comments suggested that any lesser regulatory 
actions should be listed (46 FR 8958 at 8973). FDA accepted these 
comments and revised Sec.  56.120(b) to set forth the lesser 
administrative actions that the Agency may take if FDA finds 
deficiencies in the operation of an IRB and to describe the 
circumstances in which these lesser administrative actions may be used 
by the Agency. FDA's longstanding interpretation of Sec.  56.120(b) is 
that FDA may impose these restrictions on a noncompliant IRB until the 
IRB takes appropriate corrective action. The text of the regulation, 
however, suggests that it is the Agency that would withhold approval of 
studies that have been reviewed by a noncompliant IRB, rather than 
authorizing FDA to direct the IRB to stop approving new studies until 
the IRB comes back into compliance.
    This direct final rule amends Sec.  56.120(b) to read, in addition, 
until the IRB or the parent institution takes appropriate corrective 
action, the Agency may require the IRB to withhold approval of new 
studies, direct that no new subjects be added to ongoing studies, or 
terminate ongoing studies. This will ensure that those activities are 
suspended until the IRB takes appropriate corrective action to address 
its noncompliance. We believe revising Sec.  56.120(b) as described in 
this document will improve the clarity and accuracy of the regulations. 
We are also renumbering Sec.  56.120(b)(4) as Sec.  56.120(c), and 
Sec.  56.120(c) as Sec.  56.120(d). We are inserting ``FDA may'' into 
newly designated Sec.  56.120(c) so that it is a complete sentence.
    FDA may notify relevant State and Federal regulatory Agencies when 
warranted to assure that organizations with a need to know about the 
IRB's apparent noncompliance are appropriately informed. The revision 
would eliminate confusion by stating clearly that FDA is authorized to 
notify others about the IRB's noncompliance. We believe these changes 
will ensure clarity and improve the accuracy of the regulations.

II. Procedures for Issuing a Direct Final Rule

    In the Federal Register of November 21, 1997 (62 FR 62466), FDA 
announced the availability of the guidance document entitled ``Guidance 
for FDA and Industry: Direct Final Rule Procedures'' \1\ that described 
when and how we will employ direct final rulemaking. We believe that 
this rule is

[[Page 19035]]

appropriate for direct final rulemaking because it is intended to 
clarify an existing regulation. We anticipate no significant adverse 
comment.
---------------------------------------------------------------------------

    \1\ http://www.fda.gov/regulatoryinformation/guidances/ucm125166.htm.
---------------------------------------------------------------------------

    Consistent with FDA's direct final rulemaking procedures, we are 
publishing a companion proposed rule elsewhere in this issue of the 
Federal Register. That proposed rule is identical in substance to this 
direct final rule. The companion proposed rule will serve the purpose 
of issuing a proposed rule under usual notice-and-comment procedures in 
the event we withdraw this direct final rule because we receive 
significant adverse comment. The comment period for this direct final 
rule runs concurrently with the comment period of the companion 
proposed rule. We will consider any comments that we receive in 
response to the companion proposed rule to be comments also regarding 
this direct final rule and vice versa.
    If FDA receives any significant adverse comment, we will withdraw 
this direct final rule before its effective date by publishing a notice 
in the Federal Register within 30 days after the comment period ends. A 
significant adverse comment is one that explains why the rule would be 
inappropriate (including challenges to the rule's underlying premise or 
approach), or would be ineffective or unacceptable without a change. In 
determining whether an adverse comment is significant and warrants 
withdrawing a direct final rule, we consider whether the comment raises 
an issue serious enough to warrant a substantive response in a notice-
and-comment process in accordance with section 553 of the 
Administrative Procedure Act (APA) (5 U.S.C. 553). Comments that are 
frivolous, insubstantial, or outside the scope of the rule would not be 
considered adverse. A comment recommending a rule change in addition to 
the rule would not be considered a significant adverse comment, unless 
the comment states why the rule would be ineffective without the 
additional change. In addition, if a significant adverse comment 
applies to part of a rule and that part can be severed from the 
remainder of the rule, we may adopt as final those parts of the rule 
that are not the subject of a significant adverse comment.
    If we withdraw this direct final rule, FDA will consider all 
comments that we received regarding the companion proposed rule as we 
develop a final rule through the usual notice-and-comment procedures of 
the APA. If we receive no significant adverse comment during the 
specified comment period regarding this direct final rule, we intend to 
publish a confirmation notice in the Federal Register within 30 days 
after the comment period ends.

III. Legal Authority

    This rule, if finalized, would amend Sec.  56.120(b). FDA's 
authority to modify Sec.  56.120(b) arises from the same authority 
under which FDA initially issued this regulation, the IRB regulations, 
and general administrative provisions of the Federal Food, Drug, and 
Cosmetic Act (21 U.S.C. 321, 343, 346, 346a, 348, 350a, 350b, 351, 352, 
353, 355, 360, 360c-360f, 360h, 360i, 360j, 360hh-360ss, 371, 379e, 
381; 42 U.S.C. 216, 241, 262).

IV. Analysis of Environmental Impact

    We have determined under 21 CFR 25.30(h) and 25.34(a) that this 
action is of a type that does not individually or cumulatively have a 
significant effect on the human environment. Therefore, neither an 
environmental assessment nor an environmental impact statement is 
required.

V. Economic Analysis of Impact

    We have examined the impacts of the final rule under Executive 
Order 12866, Executive Order 13563, the Regulatory Flexibility Act (5 
U.S.C. 601-612), and the Unfunded Mandates Reform Act of 1995 (Pub. L. 
104-4). Executive Orders 12866 and 13563 direct us to assess all costs 
and benefits of available regulatory alternatives and, when regulation 
is necessary, to select regulatory approaches that maximize net 
benefits (including potential economic, environmental, public health 
and safety, and other advantages; distributive impacts; and equity). We 
believe that this final rule is not a significant regulatory action as 
defined by Executive Order 12866.
    The Regulatory Flexibility Act requires us to analyze regulatory 
options that would minimize any significant impact of a rule on small 
entities. Because this rule does not add any additional regulatory 
burdens, we certify that this final rule will not have a significant 
economic impact on a substantial number of small entities.
    Section 202(a) of the Unfunded Mandates Reform Act of 1995 requires 
us to prepare a written statement, which includes an assessment of 
anticipated costs and benefits, before issuing ``any rule that includes 
any Federal mandate that may result in the expenditure by State, local, 
and tribal governments, in the aggregate, or by the private sector, of 
$100,000,000 or more (adjusted annually for inflation) in any one 
year.'' The current threshold after adjustment for inflation is $144 
million, using the most current (2014) Implicit Price Deflator for the 
Gross Domestic Product. This final rule would not result in an 
expenditure in any year that meets or exceeds this amount.
    The purpose of this final rule is to affirm FDA's longstanding 
interpretation of Sec.  56.120(b), that FDA may impose these 
administrative actions on a noncompliant IRB until the IRB takes 
appropriate corrective action. The amendment will improve the clarity 
and accuracy of the regulations. Because this final rule is a 
clarification and would impose no additional regulatory burdens, this 
regulation is not anticipated to result in any compliance costs, and 
the economic impact is expected to be minimal.

VI. Paperwork Reduction Act of 1995

    This direct final rule contains no collection of information. 
Therefore, clearance by the Office of Management and Budget under the 
Paperwork Reduction Act of 1995 is not required.

VII. Federalism

    We have analyzed this final rule in accordance with the principles 
set forth in Executive Order 13132. FDA has determined that the rule 
does not contain policies that have substantial direct effects on the 
States, on the relationship between the National Government and the 
States, or on the distribution of power and responsibilities among the 
various levels of government. Accordingly, the Agency has concluded 
that the rule does not contain policies that have federalism 
implications as defined in the Executive Order and, consequently, a 
federalism summary impact statement is not required.

List of Subjects in 21 CFR Part 56

    Human research subjects, Reporting and recordkeeping requirements, 
Safety.

    Therefore, under the Federal Food, Drug, and Cosmetic Act and under 
authority delegated to the Commissioner of Food and Drugs, 21 CFR part 
56 is amended as follows:

PART 56--INSTITUTIONAL REVIEW BOARDS

0
1. The authority citation for 21 CFR part 56 is revised to read as 
follows:

    Authority: 21 U.S.C. 321, 343, 346, 346a, 348, 350a, 350b, 351, 
352, 353, 355, 360, 360c-360f, 360h, 360i, 360j, 360hh-360ss, 371, 
379e, 381; 42 U.S.C. 216, 241, 262.


0
2. In Sec.  56.120, redesignate paragraphs (b)(4) and (c) as paragraphs 
(c) and (d), respectively, and revise paragraph (b) and newly 
designated paragraph (c) to read as follows:

[[Page 19036]]

Sec.  56.120  Lesser administrative actions.

* * * * *
    (b) On the basis of the IRB's or the institution's response, FDA 
may schedule a reinspection to confirm the adequacy of corrective 
actions. In addition, until the IRB or the parent institution takes 
appropriate corrective action, the Agency may require the IRB to:
    (1) Withhold approval of new studies subject to the requirements of 
this part that are conducted at the institution or reviewed by the IRB;
    (2) Direct that no new subjects be added to ongoing studies subject 
to this part; or
    (3) Terminate ongoing studies subject to this part when doing so 
would not endanger the subjects.
    (c) When the apparent noncompliance creates a significant threat to 
the rights and welfare of human subjects, FDA may notify relevant State 
and Federal regulatory agencies and other parties with a direct 
interest in the Agency's action of the deficiencies in the operation of 
the IRB.
* * * * *

    Dated: March 29, 2016.
Leslie Kux,
Associate Commissioner for Policy.
[FR Doc. 2016-07523 Filed 4-1-16; 8:45 am]
 BILLING CODE 4164-01-P



                                                                     Federal Register / Vol. 81, No. 64 / Monday, April 4, 2016 / Rules and Regulations                                          19033

                                                Regulatory Flexibility Act                              ■ 4. In § 404.401, revise paragraph (a)(4)            ADDRESSES:        You may submit comments
                                                   We certify that this final rule will not             to read as follows:                                   as follows:
                                                have a significant economic impact on                   § 404.401 Deduction, reduction, and                   Electronic Submissions
                                                a substantial number of small entities                  nonpayment of monthly benefits or lump-                 Submit electronic comments in the
                                                because it applies to individuals only.                 sum death payments.
                                                                                                                                                              following way:
                                                Thus, a regulatory flexibility analysis is              *      *      *    *      *                             • Federal eRulemaking Portal: http://
                                                not required under the Regulatory                          (a) * * *                                          www.regulations.gov. Follow the
                                                Flexibility Act, as amended.                               (4) An individual under full                       instructions for submitting comments.
                                                                                                        retirement age (see § 404.409) is                     Comments submitted electronically,
                                                Paperwork Reduction Act
                                                                                                        concurrently entitled to disability                   including attachments, to http://
                                                   These rules do not create any new or                 insurance benefits and to certain public              www.regulations.gov will be posted to
                                                affect any existing collections and,                    disability benefits (see § 404.408);                  the docket unchanged. Because your
                                                therefore, do not require Office of                     *      *      *    *      *                           comment will be made public, you are
                                                Management and Budget approval                          ■ 5. In § 404.408, revise paragraph                   solely responsible for ensuring that your
                                                under the Paperwork Reduction Act.                      (a)(2)(ii) to read as follows:
                                                (Catalog of Federal Domestic Assistance                                                                       comment does not include any
                                                Program No. 96.006, Supplemental Security                                                                     confidential information that you or a
                                                                                                        § 404.408 Reduction of benefits based on
                                                Income.)                                                disability on account of receipt of certain           third party may not wish to be posted,
                                                                                                        other disability benefits provided under              such as medical information, your or
                                                List of Subjects in 20 CFR Part 404                                                                           anyone else’s Social Security number, or
                                                                                                        Federal, State, or local laws or plans.
                                                  Administrative practice and                           *      *    *    *     *                              confidential business information, such
                                                procedure; Blind; Disability benefits;                    (a) * * *                                           as a manufacturing process. Please note
                                                Government employees; Old-age,                            (2) * * *                                           that if you include your name, contact
                                                Survivors and Disability Insurance;                       (ii) The individual has not attained                information, or other information that
                                                Reporting and recordkeeping                             full retirement age as defined in                     identifies you in the body of your
                                                requirements; Social security.                          § 404.409.                                            comments, that information will be
                                                  Dated: March 25, 2016.                                *      *    *    *     *                              posted on http://www.regulations.gov.
                                                                                                        [FR Doc. 2016–07602 Filed 4–1–16; 8:45 am]              • If you want to submit a comment
                                                Carolyn W. Colvin,
                                                                                                        BILLING CODE 4191–02–P                                with confidential information that you
                                                Acting Commissioner of Social Security.
                                                                                                                                                              do not wish to be made available to the
                                                  For the reasons set forth in the                                                                            public, submit the comment as a
                                                preamble, we amend subparts D and E                     DEPARTMENT OF HEALTH AND                              written/paper submission and in the
                                                of part 404 of title 20 of the Code of                  HUMAN SERVICES                                        manner detailed (see ‘‘Written/Paper
                                                Federal Regulations as set forth below:                                                                       Submissions’’ and ‘‘Instructions’’).
                                                                                                        Food and Drug Administration                          Written/Paper Submissions
                                                PART 404—FEDERAL OLD-AGE,
                                                SURVIVORS AND DISABILITY                                21 CFR Part 56                                           Submit written/paper submissions as
                                                INSURANCE (1950– ).                                                                                           follows:
                                                                                                        [Docket No. FDA–2015–N–5052]                             • Mail/Hand delivery/Courier (for
                                                Subpart D—[Amended]                                                                                           written/paper submissions): Division of
                                                                                                        Administrative Actions for                            Dockets Management (HFA–305), Food
                                                ■ 1. The authority citation for subpart D               Noncompliance; Lesser Administrative                  and Drug Administration, 5630 Fishers
                                                of part 404 continues to read as follows:               Actions                                               Lane, Rm. 1061, Rockville, MD 20852.
                                                  Authority: Secs. 202, 203(a) and (b), 205(a),         AGENCY:    Food and Drug Administration,                 • For written/paper comments
                                                216, 223, 225, 228(a)–(e), and 702(a)(5) of the         HHS.                                                  submitted to the Division of Dockets
                                                Social Security Act (42 U.S.C. 402, 403(a)                                                                    Management, FDA will post your
                                                and (b), 405(a), 416, 423, 425, 428(a)–(e), and         ACTION:   Direct final rule.
                                                                                                                                                              comment, as well as any attachments,
                                                902(a)(5)).                                             SUMMARY:   The Food and Drug                          except for information submitted,
                                                ■ 2. Amend § 404.317 by revising the                    Administration (FDA) is amending the                  marked and identified, as confidential,
                                                fourth sentence to read as follows:                     regulation describing lesser                          if submitted as detailed in
                                                                                                        administrative actions that may be                    ‘‘Instructions.’’
                                                § 404.317 How is the amount of my                       imposed on an Institutional Review
                                                disability benefit calculated?
                                                                                                                                                                 Instructions: All submissions received
                                                                                                        Board (IRB) that has failed to comply                 must include the Docket No. FDA–
                                                  * * * Your monthly benefit amount                     with FDA’s IRB regulations. We are                    2015–N–5052 for ‘‘Subpart E—
                                                may be reduced if you receive workers’                  clarifying that FDA may require the IRB               Administrative Actions for
                                                compensation or public disability                       to withhold approval of new FDA-                      Noncompliance; Lesser Administrative
                                                payments before you attain full                         regulated studies, stop the enrollment of             Actions.’’ Received comments will be
                                                retirement age (as defined in § 404.409)                new subjects in ongoing studies, and                  placed in the docket and, except for
                                                (see § 404.408). * * *                                  terminate ongoing studies, or any                     those submitted as ‘‘Confidential
                                                                                                        combination of these actions until the                Submissions,’’ publicly viewable at
                                                Subpart E—[Amended]
                                                                                                        noncompliance with FDA’s IRB                          http://www.regulations.gov or at the
                                                ■ 3. The authority citation for subpart E               regulations is corrected. We are taking               Division of Dockets Management
mstockstill on DSK4VPTVN1PROD with RULES




                                                of part 404 continues to read as follows:               this action to ensure clarity and improve             between 9 a.m. and 4 p.m., Monday
                                                                                                        the accuracy of the regulations.                      through Friday.
                                                  Authority: Secs. 202, 203, 204(a) and (e),
                                                205(a) and (c), 216(l), 222(c), 223(e), 224, 225,       DATES: This rule is effective August 17,                 • Confidential Submissions—To
                                                702(a)(5), and 1129A of the Social Security             2016. Submit electronic or written                    submit a comment with confidential
                                                Act (42 U.S.C. 402, 403, 404(a) and (e), 405(a)         comments on this direct final rule or its             information that you do not wish to be
                                                and (c), 416(l), 422(c), 423(e), 424a, 425,             companion proposed rule by June 20,                   made publicly available, submit your
                                                902(a)(5), and 1320a–8a); 48 U.S.C. 1801.               2016.                                                 comments only as a written/paper


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                                                19034                Federal Register / Vol. 81, No. 64 / Monday, April 4, 2016 / Rules and Regulations

                                                submission. You should submit two                       regulated studies conducted at the                    Investigations, Final Rule.’’ Specifically,
                                                copies total. One copy will include the                 institution or reviewed by the IRB,                   several comments suggested that any
                                                information you claim to be confidential                direct that no new subjects be added to               lesser regulatory actions should be
                                                with a heading or cover note that states                ongoing studies, and terminate ongoing                listed (46 FR 8958 at 8973). FDA
                                                ‘‘THIS DOCUMENT CONTAINS                                studies provided that doing so would                  accepted these comments and revised
                                                CONFIDENTIAL INFORMATION.’’ The                         not endanger study subjects.                          § 56.120(b) to set forth the lesser
                                                Agency will review this copy, including                    This amendment also renumbers                      administrative actions that the Agency
                                                the claimed confidential information, in                current paragraphs (b)(4) and (c) as                  may take if FDA finds deficiencies in
                                                its consideration of comments. The                      paragraphs (c) and (d), respectively, and             the operation of an IRB and to describe
                                                second copy, which will have the                        inserts ‘‘FDA may’’ into newly                        the circumstances in which these lesser
                                                claimed confidential information                        designated paragraph (c) so that it is a              administrative actions may be used by
                                                redacted/blacked out, will be available                 complete sentence.                                    the Agency. FDA’s longstanding
                                                for public viewing and posted on                           FDA first proposed requirements for                interpretation of § 56.120(b) is that FDA
                                                http://www.regulations.gov. Submit                      the composition and operations of                     may impose these restrictions on a
                                                both copies to the Division of Dockets                  institutional review committees in the                noncompliant IRB until the IRB takes
                                                Management. If you do not wish your                     ‘‘Proposed Investigational Device                     appropriate corrective action. The text
                                                name and contact information to be                      Exemptions,’’ published in the Federal                of the regulation, however, suggests that
                                                made publicly available, you can                        Register of August 20, 1976 (41 FR                    it is the Agency that would withhold
                                                provide this information on the cover                   35282; ‘‘Proposed IDE Rule’’). In that                approval of studies that have been
                                                sheet and not in the body of your                       document, FDA proposed                                reviewed by a noncompliant IRB, rather
                                                comments and you must identify this                     disqualification procedures for                       than authorizing FDA to direct the IRB
                                                information as ‘‘confidential.’’ Any                    institutional review committees and                   to stop approving new studies until the
                                                information marked as ‘‘confidential’’                  requested comments on the proposed                    IRB comes back into compliance.
                                                will not be disclosed except in                         procedures and other possible                            This direct final rule amends
                                                accordance with 21 CFR 10.20 and other                  administrative actions that FDA might                 § 56.120(b) to read, in addition, until the
                                                applicable disclosure law. For more                     take against a committee that is not in               IRB or the parent institution takes
                                                information about FDA’s posting of                      compliance with the regulations (41 FR                appropriate corrective action, the
                                                comments to public dockets, see 80 FR                   35282 at 35293). FDA also stated its                  Agency may require the IRB to withhold
                                                56469, September 18, 2015, or access                    intention to publish uniform, Agency-                 approval of new studies, direct that no
                                                the information at: http://www.fda.gov/                 wide regulations governing clinical                   new subjects be added to ongoing
                                                regulatoryinformation/dockets/                          investigations at a later date, including             studies, or terminate ongoing studies.
                                                default.htm.                                            requirements governing institutional                  This will ensure that those activities are
                                                   Docket: For access to the docket to                  review committees (41 FR 35282 at                     suspended until the IRB takes
                                                read background documents or the                        35283).                                               appropriate corrective action to address
                                                                                                           Subsequently, FDA published                        its noncompliance. We believe revising
                                                electronic and written/paper comments
                                                                                                        ‘‘Standards for Institutional Review                  § 56.120(b) as described in this
                                                received, go to http://
                                                                                                        Boards for Clinical Investigations’’ on               document will improve the clarity and
                                                www.regulations.gov and insert the
                                                                                                        August 8, 1978 (43 FR 35186; ‘‘Proposed               accuracy of the regulations. We are also
                                                docket number, found in brackets in the                 IRB Standards’’). Comments on
                                                heading of this document, into the                                                                            renumbering § 56.120(b)(4) as
                                                                                                        implementing institutional review                     § 56.120(c), and § 56.120(c) as
                                                ‘‘Search’’ box and follow the prompts                   requirements received in response to the
                                                and/or go to the Division of Dockets                                                                          § 56.120(d). We are inserting ‘‘FDA
                                                                                                        Proposed IDE Rule were reviewed and                   may’’ into newly designated § 56.120(c)
                                                Management, 5630 Fishers Lane, Rm.                      utilized in preparing the Proposed IRB
                                                1061, Rockville, MD 20852.                                                                                    so that it is a complete sentence.
                                                                                                        Standards (43 FR 35186 at 35187). In the                 FDA may notify relevant State and
                                                FOR FURTHER INFORMATION CONTACT:                        Proposed IRB Standards, FDA proposed                  Federal regulatory Agencies when
                                                Sheila Brown, Office of Good Clinical                   that disqualification would be used only              warranted to assure that organizations
                                                Practice, Office of Special Medical                     if the Commissioner of Food and Drugs                 with a need to know about the IRB’s
                                                Programs, Food and Drug                                 finds that: (1) The IRB failed to comply              apparent noncompliance are
                                                Administration, 10903 New Hampshire                     with one or more of the standards for                 appropriately informed. The revision
                                                Ave., Bldg. 32, Rm. 5129, Silver Spring,                IRBs in part 56 or other supplemental                 would eliminate confusion by stating
                                                MD 20993–0002, 301–796–6563.                            requirements in the investigational new               clearly that FDA is authorized to notify
                                                SUPPLEMENTARY INFORMATION:                              drug or investigational device                        others about the IRB’s noncompliance.
                                                                                                        exemptions (IDE) regulations; (2) the                 We believe these changes will ensure
                                                I. Background
                                                                                                        noncompliance adversely affects the                   clarity and improve the accuracy of the
                                                   FDA is amending § 56.120(b) (21 CFR                  validity of the data or the rights or safety          regulations.
                                                56.120(b)), which describes lesser                      of the human subjects; and (3) other
                                                administrative actions that the Agency                  lesser regulatory actions (e.g., warnings             II. Procedures for Issuing a Direct Final
                                                may impose on an IRB until the IRB                      or rejection of data from individual                  Rule
                                                takes appropriate action to correct the                 clinical investigations) have not been or                In the Federal Register of November
                                                IRB’s noncompliance. We are                             probably will not be adequate in                      21, 1997 (62 FR 62466), FDA announced
                                                publishing this direct final rule because               achieving compliance (43 FR 35186 at                  the availability of the guidance
                                                it is intended to clarify an existing                   35195).                                               document entitled ‘‘Guidance for FDA
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                                                regulation, and we do not anticipate any                   FDA received numerous comments to                  and Industry: Direct Final Rule
                                                significant adverse comment regarding                   the Proposed IRB Standards, and                       Procedures’’ 1 that described when and
                                                this amendment to § 56.120(b).                          addressed those comments in the                       how we will employ direct final
                                                Specifically, this direct final rule would              Federal Register of January 27, 1981 (46              rulemaking. We believe that this rule is
                                                amend § 56.120(b) by clarifying that                    FR 8958), ‘‘Protection of Human
                                                FDA has authority to require the IRB to                 Subjects: Standards for Institutional                   1 http://www.fda.gov/regulatoryinformation/

                                                withhold approval of new FDA-                           Review Boards for Clinical                            guidances/ucm125166.htm.



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                                                                     Federal Register / Vol. 81, No. 64 / Monday, April 4, 2016 / Rules and Regulations                                            19035

                                                appropriate for direct final rulemaking                 confirmation notice in the Federal                    most current (2014) Implicit Price
                                                because it is intended to clarify an                    Register within 30 days after the                     Deflator for the Gross Domestic Product.
                                                existing regulation. We anticipate no                   comment period ends.                                  This final rule would not result in an
                                                significant adverse comment.                                                                                  expenditure in any year that meets or
                                                   Consistent with FDA’s direct final                   III. Legal Authority
                                                                                                                                                              exceeds this amount.
                                                rulemaking procedures, we are                              This rule, if finalized, would amend                  The purpose of this final rule is to
                                                publishing a companion proposed rule                    § 56.120(b). FDA’s authority to modify                affirm FDA’s longstanding
                                                elsewhere in this issue of the Federal                  § 56.120(b) arises from the same                      interpretation of § 56.120(b), that FDA
                                                Register. That proposed rule is identical               authority under which FDA initially                   may impose these administrative
                                                in substance to this direct final rule. The             issued this regulation, the IRB                       actions on a noncompliant IRB until the
                                                companion proposed rule will serve the                  regulations, and general administrative               IRB takes appropriate corrective action.
                                                purpose of issuing a proposed rule                      provisions of the Federal Food, Drug,                 The amendment will improve the clarity
                                                under usual notice-and-comment                          and Cosmetic Act (21 U.S.C. 321, 343,                 and accuracy of the regulations. Because
                                                procedures in the event we withdraw                     346, 346a, 348, 350a, 350b, 351, 352,                 this final rule is a clarification and
                                                this direct final rule because we receive               353, 355, 360, 360c–360f, 360h, 360i,                 would impose no additional regulatory
                                                significant adverse comment. The                        360j, 360hh–360ss, 371, 379e, 381; 42                 burdens, this regulation is not
                                                comment period for this direct final rule               U.S.C. 216, 241, 262).                                anticipated to result in any compliance
                                                runs concurrently with the comment                                                                            costs, and the economic impact is
                                                                                                        IV. Analysis of Environmental Impact
                                                period of the companion proposed rule.                                                                        expected to be minimal.
                                                We will consider any comments that we                      We have determined under 21 CFR
                                                receive in response to the companion                    25.30(h) and 25.34(a) that this action is             VI. Paperwork Reduction Act of 1995
                                                proposed rule to be comments also                       of a type that does not individually or                 This direct final rule contains no
                                                regarding this direct final rule and vice               cumulatively have a significant effect on             collection of information. Therefore,
                                                versa.                                                  the human environment. Therefore,                     clearance by the Office of Management
                                                   If FDA receives any significant                      neither an environmental assessment                   and Budget under the Paperwork
                                                adverse comment, we will withdraw                       nor an environmental impact statement                 Reduction Act of 1995 is not required.
                                                this direct final rule before its effective             is required.
                                                date by publishing a notice in the                                                                            VII. Federalism
                                                                                                        V. Economic Analysis of Impact
                                                Federal Register within 30 days after                                                                            We have analyzed this final rule in
                                                the comment period ends. A significant                     We have examined the impacts of the                accordance with the principles set forth
                                                adverse comment is one that explains                    final rule under Executive Order 12866,               in Executive Order 13132. FDA has
                                                why the rule would be inappropriate                     Executive Order 13563, the Regulatory                 determined that the rule does not
                                                (including challenges to the rule’s                     Flexibility Act (5 U.S.C. 601–612), and               contain policies that have substantial
                                                underlying premise or approach), or                     the Unfunded Mandates Reform Act of                   direct effects on the States, on the
                                                would be ineffective or unacceptable                    1995 (Pub. L. 104–4). Executive Orders                relationship between the National
                                                without a change. In determining                        12866 and 13563 direct us to assess all               Government and the States, or on the
                                                whether an adverse comment is                           costs and benefits of available regulatory            distribution of power and
                                                significant and warrants withdrawing a                  alternatives and, when regulation is                  responsibilities among the various
                                                direct final rule, we consider whether                  necessary, to select regulatory                       levels of government. Accordingly, the
                                                the comment raises an issue serious                     approaches that maximize net benefits                 Agency has concluded that the rule does
                                                enough to warrant a substantive                         (including potential economic,                        not contain policies that have
                                                response in a notice-and-comment                        environmental, public health and safety,              federalism implications as defined in
                                                process in accordance with section 553                  and other advantages; distributive                    the Executive Order and, consequently,
                                                of the Administrative Procedure Act                     impacts; and equity). We believe that                 a federalism summary impact statement
                                                (APA) (5 U.S.C. 553). Comments that are                 this final rule is not a significant                  is not required.
                                                frivolous, insubstantial, or outside the                regulatory action as defined by
                                                scope of the rule would not be                          Executive Order 12866.                                List of Subjects in 21 CFR Part 56
                                                considered adverse. A comment                              The Regulatory Flexibility Act                       Human research subjects, Reporting
                                                recommending a rule change in addition                  requires us to analyze regulatory options             and recordkeeping requirements, Safety.
                                                to the rule would not be considered a                   that would minimize any significant                     Therefore, under the Federal Food,
                                                significant adverse comment, unless the                 impact of a rule on small entities.                   Drug, and Cosmetic Act and under
                                                comment states why the rule would be                    Because this rule does not add any                    authority delegated to the Commissioner
                                                ineffective without the additional                      additional regulatory burdens, we                     of Food and Drugs, 21 CFR part 56 is
                                                change. In addition, if a significant                   certify that this final rule will not have            amended as follows:
                                                adverse comment applies to part of a                    a significant economic impact on a
                                                rule and that part can be severed from                  substantial number of small entities.                 PART 56—INSTITUTIONAL REVIEW
                                                the remainder of the rule, we may adopt                    Section 202(a) of the Unfunded                     BOARDS
                                                as final those parts of the rule that are               Mandates Reform Act of 1995 requires
                                                not the subject of a significant adverse                us to prepare a written statement, which              ■ 1. The authority citation for 21 CFR
                                                comment.                                                includes an assessment of anticipated                 part 56 is revised to read as follows:
                                                   If we withdraw this direct final rule,               costs and benefits, before issuing ‘‘any                Authority: 21 U.S.C. 321, 343, 346, 346a,
                                                FDA will consider all comments that we                  rule that includes any Federal mandate                348, 350a, 350b, 351, 352, 353, 355, 360,
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                                                received regarding the companion                        that may result in the expenditure by                 360c–360f, 360h, 360i, 360j, 360hh–360ss,
                                                proposed rule as we develop a final rule                State, local, and tribal governments, in              371, 379e, 381; 42 U.S.C. 216, 241, 262.
                                                through the usual notice-and-comment                    the aggregate, or by the private sector, of           ■ 2. In § 56.120, redesignate paragraphs
                                                procedures of the APA. If we receive no                 $100,000,000 or more (adjusted                        (b)(4) and (c) as paragraphs (c) and (d),
                                                significant adverse comment during the                  annually for inflation) in any one year.’’            respectively, and revise paragraph (b)
                                                specified comment period regarding this                 The current threshold after adjustment                and newly designated paragraph (c) to
                                                direct final rule, we intend to publish a               for inflation is $144 million, using the              read as follows:


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                                                19036                Federal Register / Vol. 81, No. 64 / Monday, April 4, 2016 / Rules and Regulations

                                                § 56.120    Lesser administrative actions.              ADDRESSES:   To view documents                        are associated with the areas used in the
                                                *     *     *     *     *                               mentioned in this preamble as being                   Charleston Race Week sailboat races
                                                  (b) On the basis of the IRB’s or the                  available in the docket, go to http://                that can be alleviated by prohibiting
                                                institution’s response, FDA may                         www.regulations.gov, type USCG–2015–                  access to the regulated areas.
                                                schedule a reinspection to confirm the                  1055 in the ‘‘SEARCH’’ box and click
                                                adequacy of corrective actions. In                      ‘‘SEARCH.’’ Click on Open Docket                      IV. Discussion of Comments, Changes,
                                                addition, until the IRB or the parent                   Folder on the line associated with this               and the Rule
                                                institution takes appropriate corrective                rule.                                                    As noted above, we received no
                                                action, the Agency may require the IRB                  FOR FURTHER INFORMATION CONTACT: If                   comments on our NPRM published
                                                to:                                                     you have questions about this rule, call              February 5, 2016. There are no changes
                                                  (1) Withhold approval of new studies                  or email Lieutenant John Downing,                     in the regulatory text of this rule from
                                                subject to the requirements of this part                Sector Charleston Office of Waterways                 the proposed rule in the NPRM.
                                                that are conducted at the institution or                Management, Coast Guard;
                                                reviewed by the IRB;                                    telephone(843)740–3184, email                            From April 15, 2016 through April 17,
                                                  (2) Direct that no new subjects be                    John.Z.Downing@uscg.mil.                              2016, Charleston Ocean Racing
                                                added to ongoing studies subject to this                                                                      Association will host three sailboat
                                                                                                        SUPPLEMENTARY INFORMATION:
                                                part; or                                                                                                      races on Charleston Harbor in
                                                  (3) Terminate ongoing studies subject                 I. Table of Abbreviations                             Charleston, South Carolina during
                                                to this part when doing so would not                                                                          Charleston Race Week. Approximately
                                                                                                        CFR Code of Federal Regulations
                                                endanger the subjects.                                  DHS Department of Homeland Security                   300 sailboats will participate in the
                                                  (c) When the apparent noncompliance                   NPRM Notice of proposed rulemaking                    three races. This rule establishes a
                                                creates a significant threat to the rights              § Section                                             special local regulation on certain
                                                and welfare of human subjects, FDA                      U.S.C. United States Code                             waters of Charleston Harbor in
                                                may notify relevant State and Federal                                                                         Charleston, South Carolina. The special
                                                regulatory agencies and other parties                   II. Background Information and
                                                                                                        Regulatory History                                    local regulation will be enforced daily
                                                with a direct interest in the Agency’s                                                                        from 8:30 a.m. until 5 p.m. on April 15,
                                                action of the deficiencies in the                          On November 18, 2015, the                          2016 through April 17, 2016. The
                                                operation of the IRB.                                   Charleston Ocean Racing Association                   special local regulation consists of the
                                                *     *     *     *     *                               notified the Coast Guard that it will                 following three race areas.
                                                                                                        sponsor a series of sailboat races in the
                                                  Dated: March 29, 2016.                                                                                         1. Race Area #1. All waters
                                                                                                        Charleston Harbor, Charleston, SC. from
                                                Leslie Kux,                                                                                                   encompassed within a 700 yard radius
                                                                                                        8:30 a.m. to 5 p.m. April 15, 2016
                                                Associate Commissioner for Policy.                      through April 17, 2016. In response, on               of position 32°46′10″ N. 79°55′15″ W.
                                                [FR Doc. 2016–07523 Filed 4–1–16; 8:45 am]              February 5, 2016, the Coast Guard                        2. Race Area #2. All waters
                                                BILLING CODE 4164–01–P                                  published a notice of proposed                        encompassed within a 700 yard radius
                                                                                                        rulemaking titled Charleston Race                     of position 32°46′02″ N. 79°54′15″ W.
                                                                                                        Week. There we stated why we issued                      3. Race Area #3. All waters
                                                DEPARTMENT OF HOMELAND                                  the NPRM and invited comments on our                  encompassed within a 700 yard radius
                                                SECURITY                                                proposed regulatory action related to                 of position 32°45′55″ N. 79°53′39″ W.
                                                                                                        this special local regulation. During the
                                                Coast Guard                                             comment period that ended March 7,                       Except for those persons and vessels
                                                                                                        2016, we received no comments.                        participating in the sailboat races,
                                                33 CFR Part 100                                            Under good cause provisions in 5                   persons and vessels are prohibited from
                                                [Docket Number USCG–2015–1055]                          U.S.C. 553(d)(3), we are making this rule             entering, transiting through, anchoring
                                                                                                        effective less than 30 days after its                 in, or remaining within any of the race
                                                RIN 1625–AA08                                                                                                 areas unless specifically authorized by
                                                                                                        publication in the Federal Register. The
                                                                                                        Coast Guard finds that good cause exists              the Captain of the Port Charleston or a
                                                Special Local Regulation; Charleston                                                                          designated representative. Persons and
                                                Race Week, Charleston Harbor,                           for making this rule effective starting
                                                                                                        April 15, 2016 because this special local             vessels desiring to enter, transit through,
                                                Charleston, SC
                                                                                                        regulation is necessary to ensure the                 anchor in, or remain within any of the
                                                AGENCY:     Coast Guard, DHS.                           safety of life and property during this               race areas may contact the Captain of
                                                ACTION:    Temporary final rule.                        high speed boat race and it would be                  the Port Charleston by telephone at
                                                                                                        contrary to public interest not to make               (843) 740–7050, or a designated
                                                SUMMARY:   The Coast Guard is                           this rule effective by April 15, 2016.                representative via VHF radio on channel
                                                establishing a special local regulation on              Also, this regulation will have a limited             16, to request authorization. If
                                                the waters of Charleston Harbor in                      impact on the waterway for a limited                  authorization to enter, transit through,
                                                Charleston, SC during the Charleston                    time and designated representatives will              anchor in, or remain within the race
                                                Race Week from April 15, 2016 through                   be on scene to assist the public with                 areas is granted by the Captain of the
                                                April 17, 2016. This special local                      compliance.                                           Port Charleston or a designated
                                                regulation is necessary to ensure the                                                                         representative, all persons and vessels
                                                safety of participants, spectators, and                 III. Legal Authority and Need for Rule                receiving such authorization must
                                                the general public during the event.                       The legal basis for the rule is the                comply with the instructions of the
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                                                This regulation prohibits persons and                   Coast Guard’s authority to establish                  Captain of the Port Charleston or a
                                                vessels from being in the regulated area                special local regulations: 33 U.S.C.                  designated representative. The Coast
                                                unless authorized by the Captain of the                 1233. The purpose of the rule is to                   Guard will provide notice of the
                                                Port Charleston or a designated                         insure safety of life on navigable waters             regulated areas by Local Notice to
                                                representative.                                         of the United States during three                     Mariners, Broadcast Notice to Mariners,
                                                DATES: This rule is effective from April                Charleston Race Week sailboat races. It               and on-scene designated
                                                15, 2016 through April 17, 2016.                        was determined that potential hazards                 representatives.


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Document Created: 2016-04-02 03:54:10
Document Modified: 2016-04-02 03:54:10
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionRules and Regulations
ActionDirect final rule.
DatesThis rule is effective August 17, 2016. Submit electronic or written comments on this direct final rule or its companion proposed rule by June 20, 2016.
ContactSheila Brown, Office of Good Clinical Practice, Office of Special Medical Programs, Food and Drug Administration, 10903 New Hampshire Ave., Bldg. 32, Rm. 5129, Silver Spring, MD 20993-0002, 301-796-6563.
FR Citation81 FR 19033 
CFR AssociatedHuman Research Subjects; Reporting and Recordkeeping Requirements and Safety

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