81_FR_87805 81 FR 87572 - Agency Information Collection Activities; Submission for Office of Management and Budget Review; Comment Request; Medical Device: Current Good Manufacturing Practice Quality System Regulations

81 FR 87572 - Agency Information Collection Activities; Submission for Office of Management and Budget Review; Comment Request; Medical Device: Current Good Manufacturing Practice Quality System Regulations

DEPARTMENT OF HEALTH AND HUMAN SERVICES
Food and Drug Administration

Federal Register Volume 81, Issue 233 (December 5, 2016)

Page Range87572-87575
FR Document2016-29028

The Food and Drug Administration (FDA) is announcing that a proposed collection of information has been submitted to the Office of Management and Budget (OMB) for review and clearance under the Paperwork Reduction Act of 1995.

Federal Register, Volume 81 Issue 233 (Monday, December 5, 2016)
[Federal Register Volume 81, Number 233 (Monday, December 5, 2016)]
[Notices]
[Pages 87572-87575]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-29028]


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

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2016-N-2544]


Agency Information Collection Activities; Submission for Office 
of Management and Budget Review; Comment Request; Medical Device: 
Current Good Manufacturing Practice Quality System Regulations

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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

SUMMARY: The Food and Drug Administration (FDA) is announcing that a 
proposed collection of information has been submitted to the Office of 
Management and Budget (OMB) for review and clearance under the 
Paperwork Reduction Act of 1995.

DATES: Fax written comments on the collection of information by January 
4, 2017.

ADDRESSES: To ensure that comments on the information collection are 
received, OMB recommends that written comments be faxed to the Office 
of Information and Regulatory Affairs, OMB, Attn: FDA Desk Officer, 
FAX: 202-395-7285, or emailed to [email protected]. All 
comments should be identified with the OMB control number 0910-0073. 
Also include the FDA docket number found in brackets in the heading of 
this document.

FOR FURTHER INFORMATION CONTACT: FDA PRA Staff, Office of Operations, 
Food and Drug Administration, Three White Flint North, 10A63, 11601 
Landsdown St., North Bethesda, MD 20852, [email protected].

SUPPLEMENTARY INFORMATION: In compliance with 44 U.S.C. 3507, FDA has 
submitted the following proposed collection of information to OMB for 
review and clearance.

Medical Device: Current Good Manufacturing Practice Quality System 
Regulations-- OMB Control Number 0910-0073--Extension

    Under section 520(f) of the Federal Food, Drug, and Cosmetic Act 
(the FD&C Act) (21 U.S.C. 360j(f)), the Secretary of the Department of 
Health and Human Services has the authority to prescribe regulations 
requiring that the methods used in, and the facilities and controls 
used for, the manufacture, preproduction design validation (including a 
process to assess the performance of a device, but not including an 
evaluation of the safety and effectiveness of a device), packing, 
storage, and installation of a device conform to Current Good 
Manufacturing Practice (CGMP), as described in such regulations, to 
assure that the device will be safe and effective and otherwise in 
compliance with the FD&C Act.
    The CGMP/Quality System (QS) regulation implementing authority 
provided by this statutory provision is found under part 820 (21 CFR 
part 820) and sets forth basic CGMP requirements governing the design, 
manufacture, packing, labeling, storage, installation, and servicing of 
all finished medical devices intended for human use. The authority for 
this regulation is covered under sections 501, 502, 510, 513, 514, 515, 
518, 519, 520, 522, 701, 704, 801, and 803 of the FD&C Act (21 U.S.C. 
351, 352, 360, 360c, 360d, 360e, 360h, 360i, 360j, 360l, 371, 374, 381, 
and 383). The CGMP/QS regulation includes requirements for purchasing 
and service controls, clarifies recordkeeping requirements for device 
failure and complaint investigations, clarifies requirements for 
verifying/validating production processes and process or product 
changes, and clarifies requirements for product acceptance activities 
quality data evaluations and corrections of nonconforming product/
quality problems.
    Requirements are compatible with specifications in the 
international standards ``ISO 9001: Quality Systems Model for Quality 
Assurance in Design/Development, Production, Installation, and 
Servicing.'' The CGMP/QS information collections will assist FDA 
inspections of manufacturers for compliance with QS requirements 
encompassing design, production, installation, and servicing processes.
    Section 820.20(a) through (e) requires management with executive 
responsibility to establish, maintain, and/or review the following 
topics: (1) The quality policy, (2) the organizational structure, (3) 
the quality plan, and (4) the quality system procedures of the 
organization. Section 820.22 requires the conduct and documentation of 
QS audits and re-audits. Section 820.25(b) requires the establishment 
of procedures to identify training needs and documentation of such 
training.
    Section 820.30(a)(1) and (b) through (j) requires, in respective 
order, the establishment, maintenance, and/or documentation of the 
following topics: (1) Procedures to control design of class III and 
class II devices and certain class I devices as listed therein; (2) 
plans for design and development activities and updates; (3) procedures 
identifying, documenting, and approving design input requirements; (4) 
procedures defining design output, including acceptance criteria, and 
documentation of approved records; (5) procedures for formal review of 
design results and documentation of results in the design history file 
(DHF); (6) procedures for verifying device design and documentation of 
results and approvals in the DHF; (7) procedures for validating device 
design, including documentation of results in the DHF; (8) procedures 
for translating device design into production specifications; (9) 
procedures for documenting, verifying, and validating approved design 
changes before implementation of changes; and (10) the records and 
references constituting the DHF for each type of device.
    Section 820.40 requires manufacturers to establish and maintain 
procedures controlling approval and distribution of required documents 
and document

[[Page 87573]]

changes. Section 820.40(a) and (b) requires the establishment and 
maintenance of procedures for the review, approval, issuance, and 
documentation of required records (documents) and changes to those 
records.
    Section 820.50(a) and (b) requires the establishment and 
maintenance of procedures and requirements to ensure service and 
product quality, records of acceptable suppliers, and purchasing data 
describing specified requirements for products and services.
    Sections 820.60 and 820.65 require, respectively, the establishment 
and maintenance of procedures for identifying all products from receipt 
to distribution and for using control numbers to track surgical 
implants and life-sustaining or supporting devices and their 
components.
    Section 820.70(a) through (e), (g)(1) through (g)(3), (h), and (i) 
requires the establishment, maintenance, and/or documentation of the 
following topics: (1) Process control procedures; (2) procedures for 
verifying or validating changes to specification, method, process, or 
procedure; (3) procedures to control environmental conditions and 
inspection result records; (4) requirements for personnel hygiene; (5) 
procedures for preventing contamination of equipment and products; (6) 
equipment adjustment, cleaning, and maintenance schedules; (7) 
equipment inspection records; (8) equipment tolerance postings, 
procedures for utilizing manufacturing materials expected to have an 
adverse effect on product quality; and (9) validation protocols and 
validation records for computer software and software changes.
    Sections 820.72(a), (b)(1), and (b)(2); and 820.75(a) through (c) 
require, respectively, the establishment, maintenance, and/or 
documentation of the following topics: (1) Equipment calibration and 
inspection procedures; (2) national, international, or in-house 
calibration standards; (3) records that identify calibrated equipment 
and next calibration dates; (4) validation procedures and validation 
results for processes not verifiable by inspections and tests; (5) 
procedures for keeping validated processes within specified limits; (6) 
records for monitoring and controlling validated processes; and (7) 
records of the results of revalidation where necessitated by process 
changes or deviations.
    Sections 820.80(a) through (e) and 820.86, respectively, require 
the establishment, maintenance, and/or documentation of the following 
topics: (1) Procedures for incoming acceptance by inspection, test, or 
other verification; (2) procedures for ensuring that in process 
products meet specified requirements and the control of product until 
inspection and tests are completed; (3) procedures for, and records 
that show, incoming acceptance or rejection is conducted by 
inspections, tests or other verifications; (4) procedures for, and 
records that show, finished devices meet acceptance criteria and are 
not distributed until device master record (DMR) activities are 
completed; (5) records in the device history record (DHR) showing 
acceptance dates, results, and equipment used; and (6) the acceptance/
rejection identification of products from receipt to installation and 
servicing.
    Sections 820.90(a), (b)(1), and (b)(2) and 820.100 require, 
respectively, the establishment, maintenance and/or documentation of 
the following topics: (1) Procedures for identifying, recording, 
evaluating, and disposing of nonconforming product; (2) procedures for 
reviewing and recording concessions made for, and disposition of, 
nonconforming product; (3) procedures for reworking products, 
evaluating possible adverse rework effect and recording results in the 
DHR; (4) procedures and requirements for corrective and preventive 
actions, including analysis, investigation, identification and review 
of data, records, causes, and results; and (5) records for all 
corrective and preventive action activities.
    Section 820.100(a)(1) through (a)(7) states that procedures and 
requirements shall be established and maintained for corrective/
preventive actions, including the following: (1) Analysis of data from 
process, work, quality, servicing records, investigation of 
nonconformance causes; (2) identification of corrections and their 
effectiveness; (3) recording of changes made; and (4) appropriate 
distribution and managerial review of corrective and preventive action 
information. Section 820.120 states that manufacturers shall establish/
maintain procedures to control labeling storage/application; and 
examination/release for storage and use, and document those procedures.
    Sections 820.120(b) and (d); 820.130; 820.140; 820.150(a) and (b); 
820.160(a) and (b); and 820.170(a) and (b), respectively, require the 
establishment, maintenance, and/or documentation of the following 
topics: (1) Procedures for controlling and recording the storage, 
examination, release, and use of labeling; (2) the filing of labels/
labeling used in the DHR; (3) procedures for controlling product 
storage areas and receipt/dispatch authorizations; (4) procedures 
controlling the release of products for distribution; (5) distribution 
records that identify consignee, product, date, and control numbers; 
and (6) instructions, inspection and test procedures that are made 
available, and the recording of results for devices requiring 
installation.
    Sections 820.180(b) and (c); 820.181(a) through (e); 820.184(a) 
through (f); and 820.186 require, respectively, the maintenance of 
records that are: (1) Retained at prescribed site(s), made readily 
available and accessible to FDA, and retained for the device's life 
expectancy or for 2 years; (2) contained or referenced in a DMR 
consisting of device, process, quality assurance, packaging and 
labeling, and installation, maintenance, and servicing specifications 
and procedures; (3) contained in a DHR and demonstrate the manufacture 
of each unit, lot, or batch of product in conformance with DMR and 
regulatory requirements include manufacturing and distribution dates, 
quantities, acceptance documents, labels and labeling, and control 
numbers; and (4) contained in a quality system record, consisting of 
references, documents, procedures, and activities not specific to 
particular devices.
    Sections 820.198(a) through (c); and 820.200(a) through (d), 
respectively, require the establishment, maintenance, and/or 
documentation of the following topics: (1) Complaint files and 
procedures for receiving, reviewing, and evaluating complaints; (2) 
complaint investigation records identifying the device, complainant, 
and relationship of the device to the incident; (3) complaint records 
that are reasonably accessible to the manufacturing site or at 
prescribed sites; (4) procedures for performing and verifying that 
device servicing requirements are met and that service reports 
involving complaints are processed as complaints; and (5) service 
reports that record the device, service activity, and test and 
inspection data.
    Section 820.250 requires the establishment and maintenance of 
procedures to identify valid statistical techniques necessary to verify 
process and product acceptability; and sampling plans, when used, which 
are written and based on valid statistical rationale; and procedures 
for ensuring adequate sampling methods.
    The CGMP/QS regulation added design and purchasing controls, 
modified previous critical device requirements, revised previous 
validation and other requirements, and harmonized device CGMP 
requirements with QS specifications in the international standard ``ISO 
9001: Quality Systems Model for Quality

[[Page 87574]]

Assurance in Design/Development, Production, Installation, and 
Servicing.'' The rule does not apply to manufacturers of components or 
parts of finished devices, or to manufacturers of human blood and blood 
components subject to 21 CFR part 606. With respect to devices 
classified in class I, design control requirements apply only to class 
I devices listed in Sec.  820.30(a)(2) of the regulation. The rule 
imposes burden upon: (1) Finished device manufacturer firms, which are 
subject to all recordkeeping requirements; (2) finished device contract 
manufacturers, specification developers; and (3) re-packer, re-
labelers, and contract sterilizer firms, which are subject only to 
requirements applicable to their activities. In addition, 
remanufacturers of hospital single-use devices are now considered to 
have the same requirements as manufacturers in regard to the 
regulation.
    The establishment, maintenance, and/or documentation of procedures, 
records, and data required by the regulation assists FDA in determining 
whether firms are in compliance with CGMP requirements, which are 
intended to ensure that devices meet their design, production, 
labeling, installation, and servicing specifications and, thus are 
safe, effective, and suitable for their intended purpose. In 
particular, compliance with CGMP design control requirements should 
decrease the number of design-related device failures that have 
resulted in deaths and serious injuries.
    The CGMP/QS regulation applies to approximately 24,738 respondents. 
A query of the Agency's registration and listing database shows that 
approximately 13,294 domestic and 11,444 foreign establishments are 
respondents to this information collection.\1\ Respondents to this 
collection have no reporting activities, but must make required records 
available for review or copying during FDA inspection. Except for 
manufacturers, not every type of firm is subject to every CGMP/QS 
requirement. For example, all are subject to Quality Policy (Sec.  
820.20(a)), Document Control (Sec.  820.40), and other requirements, 
whereas only manufacturers and specification developers are subject to 
subpart C, Design Controls. The Paperwork Reduction Act burden placed 
on the 24,738 establishments is an average burden.
---------------------------------------------------------------------------

    \1\ Based on fiscal year 2015 data.
---------------------------------------------------------------------------

    In the Federal Register of September 8, 2016 (81 FR 62144), FDA 
published a 60-day notice requesting public comment on the proposed 
collection of information. No comments were received.
    FDA estimates the burden of this collection of information as 
follows:

                               Table 1--Estimated Annual Recordkeeping Burden \1\
----------------------------------------------------------------------------------------------------------------
                                                         Number of                    Average burden
       Activity/21 CFR section           Number of      records per    Total annual         per          Total
                                       recordkeepers   recordkeeper       records      recordkeeping     hours
----------------------------------------------------------------------------------------------------------------
Quality policy--820.20(a)...........          24,738               1          24,738               7     173,166
Organization--820.20(b).............          24,738               1          24,738               4      98,952
Management review--820.20(c)........          24,738               1          24,738               6     148,428
Quality planning--820.20(d).........          24,738               1          24,738              10     247,380
Quality system procedures--820.20(e)          24,738               1          24,738              10     247,380
Quality audit--820.22...............          24,738               1          24,738              33     816,354
Training--820.25(b).................          24,738               1          24,738              13     321,594
Design procedures--820.30(a)(1).....          24,738               1          24,738               2      49,476
Design and development planning--             24,738               1          24,738               6     148,428
 820.30(b)..........................
Design input--820.30(c).............          24,738               1          24,738               2      49,476
Design output--820.30(d)............          24,738               1          24,738               2      49,476
Design review--820.30(e)............          24,738               1          24,738              23     568,974
Design verification--820.30(f)......          24,738               1          24,738              37     915,306
Design validation--820.30(g)........          24,738               1          24,738              37     915,306
Design transfer--820.30(h)..........          24,738               1          24,738               3      74,214
Design changes--820.30(i)...........          24,738               1          24,738              17     420,546
Design history file--820.30(j)......          24,738               1          24,738               3      74,214
Document controls--820.40...........          24,738               1          24,738               9     222,642
Documentation approval and                    24,738               1          24,738               2      49,476
 distribution and document changes--
 820.40(a) and (b)..................
Purchasing controls--820.50(a)......          24,738               1          24,738              22     544,236
Purchasing data--820.50(b)..........          24,738               1          24,738               6     148,428
Identification--820.60..............          24,738               1          24,738               1      24,738
Traceability--820.65................          24,738               1          24,738               1      24,738
Production and process controls--             24,738               1          24,738               2      49,476
 820.70(a)..........................
Production and process changes and            24,738               1          24,738               2      49,476
 environmental control--820.70(b)
 and (c)............................
Personnel--820.70(d)................          24,738               1          24,738               3      74,214
Contamination control--820.70(e)....          24,738               1          24,738               2      49,476
Equipment maintenance schedule,               24,738               1          24,738               1      24,738
 inspection, and adjustment--
 820.70(g)(1)-(g)(3)................
Manufacturing material--820.70(h)...          24,738               1          24,738               2      49,476
Automated processes--820.70(i)......          24,738               1          24,738               8     197,904
Control of inspection, measuring,             24,738               1          24,738               5     123,690
 and test equipment--820.72(a)......
Calibration procedures, standards,            24,738               1          24,738               1      24,738
 and records--820.72(b)(1)-(b)(2)...
Process validation--820.75(a).......          24,738               1          24,738               3      74,214
Validated process parameters,                 24,738               1          24,738               1      24,738
 monitoring, control methods, and
 data--820.75(b)....................
Revalidation--820.75(c).............          24,738               1          24,738               1      24,738

[[Page 87575]]

 
Acceptance activities--820.80(a)-(e)          24,738               1          24,738               5     123,690
Acceptance status--820.86...........          24,738               1          24,738               1      24,738
Control of nonconforming product--            24,738               1          24,738               5     123,690
 820.90(a)..........................
Nonconforming product review/                 24,738               1          24,738               5     123,690
 disposition procedures and rework
 procedures--820.90(b)(1)-(b)(2)....
Procedures for corrective/preventive          24,738               1          24,738              12     296,856
 actions--820.100(a)(1)-(a)(7)......
Corrective/preventive activities--            24,738               1          24,738               1      24,738
 820.100(b).........................
Labeling procedures--820.120(b).....          24,738               1          24,738               1      24,738
Labeling documentation--820.120(d)..          24,738               1          24,738               1      24,738
Device packaging--820.130...........          24,738               1          24,738               1      24,738
Handling--820.140...................          24,738               1          24,738               6     148,428
Storage--820.150(a) and (b).........          24,738               1          24,738               6     148,428
Distribution procedures and records--         24,738               1          24,738               1      24,738
 820.160(a) and (b).................
Installation--820.170...............          24,738               1          24,738               2      49,476
Record retention period--820.180(b)           24,738               1          24,738               2      49,476
 and (c)............................
Device master record--820.181.......          24,738               1          24,738               1      24,738
Device history record--820.184......          24,738               1          24,738               1      24,738
Quality system record--820.186......          24,738               1          24,738               1      24,738
Complaint files--820.198(a), (c),             24,738               1          24,738               5     123,690
 and (g)............................
Servicing procedures and reports--            24,738               1          24,738               3      74,214
 820.200(a) and (d).................
Statistical techniques procedures             24,738               1          24,738               1      24,738
 and sampling plans--820.250........
                                     ---------------------------------------------------------------------------
    Total...........................  ..............  ..............  ..............  ..............   8,608,824
----------------------------------------------------------------------------------------------------------------
\1\ There are no capital costs or operating and maintenance costs associated with this collection of
  information.


    Dated: November 28, 2016.
Leslie Kux,
Associate Commissioner for Policy.
[FR Doc. 2016-29028 Filed 12-2-16; 8:45 am]
 BILLING CODE 4160-01-P



                                                87572                                Federal Register / Vol. 81, No. 233 / Monday, December 5, 2016 / Notices

                                                the specific symbols used in labels or                                     FDA estimates the burden of this
                                                labeling for the IVDs manufactured.                                      collection of information as follows:

                                                                                               TABLE 1—ESTIMATED ANNUAL THIRD-PARTY DISCLOSURE BURDEN 1
                                                                                                                                                           Number of            Total                Average
                                                                                                                                    Number of                                                                    Total
                                                                                 Activity                                                               disclosures per        annual               burden per
                                                                                                                                   respondents                                                                   hours
                                                                                                                                                          respondent         disclosures            disclosure

                                                Glossary .....................................................................          689                    1                 689                    4        2,756
                                                   1 There    are no capital costs or operating and maintenance costs associated with this collection of information.


                                                  Dated: November 30, 2016.                                              collection of information to OMB for                    Model for Quality Assurance in Design/
                                                Leslie Kux,                                                              review and clearance.                                   Development, Production, Installation,
                                                Associate Commissioner for Policy.                                                                                               and Servicing.’’ The CGMP/QS
                                                                                                                         Medical Device: Current Good
                                                [FR Doc. 2016–29104 Filed 12–2–16; 8:45 am]                                                                                      information collections will assist FDA
                                                                                                                         Manufacturing Practice Quality System
                                                BILLING CODE 4164–01–P                                                                                                           inspections of manufacturers for
                                                                                                                         Regulations— OMB Control Number
                                                                                                                                                                                 compliance with QS requirements
                                                                                                                         0910–0073—Extension
                                                                                                                                                                                 encompassing design, production,
                                                DEPARTMENT OF HEALTH AND                                                    Under section 520(f) of the Federal                  installation, and servicing processes.
                                                HUMAN SERVICES                                                           Food, Drug, and Cosmetic Act (the                          Section 820.20(a) through (e) requires
                                                                                                                         FD&C Act) (21 U.S.C. 360j(f)), the                      management with executive
                                                Food and Drug Administration                                             Secretary of the Department of Health                   responsibility to establish, maintain,
                                                [Docket No. FDA–2016–N–2544]                                             and Human Services has the authority                    and/or review the following topics: (1)
                                                                                                                         to prescribe regulations requiring that                 The quality policy, (2) the
                                                Agency Information Collection                                            the methods used in, and the facilities                 organizational structure, (3) the quality
                                                Activities; Submission for Office of                                     and controls used for, the manufacture,                 plan, and (4) the quality system
                                                Management and Budget Review;                                            preproduction design validation                         procedures of the organization. Section
                                                Comment Request; Medical Device:                                         (including a process to assess the                      820.22 requires the conduct and
                                                Current Good Manufacturing Practice                                      performance of a device, but not                        documentation of QS audits and re-
                                                Quality System Regulations                                               including an evaluation of the safety                   audits. Section 820.25(b) requires the
                                                                                                                         and effectiveness of a device), packing,                establishment of procedures to identify
                                                AGENCY:       Food and Drug Administration,                              storage, and installation of a device                   training needs and documentation of
                                                HHS.                                                                     conform to Current Good Manufacturing                   such training.
                                                ACTION:      Notice.                                                     Practice (CGMP), as described in such                      Section 820.30(a)(1) and (b) through
                                                SUMMARY:   The Food and Drug                                             regulations, to assure that the device                  (j) requires, in respective order, the
                                                Administration (FDA) is announcing                                       will be safe and effective and otherwise                establishment, maintenance, and/or
                                                that a proposed collection of                                            in compliance with the FD&C Act.                        documentation of the following topics:
                                                information has been submitted to the                                       The CGMP/Quality System (QS)                         (1) Procedures to control design of class
                                                Office of Management and Budget                                          regulation implementing authority                       III and class II devices and certain class
                                                (OMB) for review and clearance under                                     provided by this statutory provision is                 I devices as listed therein; (2) plans for
                                                the Paperwork Reduction Act of 1995.                                     found under part 820 (21 CFR part 820)                  design and development activities and
                                                                                                                         and sets forth basic CGMP requirements                  updates; (3) procedures identifying,
                                                DATES: Fax written comments on the
                                                                                                                         governing the design, manufacture,                      documenting, and approving design
                                                collection of information by January 4,
                                                                                                                         packing, labeling, storage, installation,               input requirements; (4) procedures
                                                2017.
                                                                                                                         and servicing of all finished medical                   defining design output, including
                                                ADDRESSES: To ensure that comments on
                                                                                                                         devices intended for human use. The                     acceptance criteria, and documentation
                                                the information collection are received,                                 authority for this regulation is covered                of approved records; (5) procedures for
                                                OMB recommends that written                                              under sections 501, 502, 510, 513, 514,                 formal review of design results and
                                                comments be faxed to the Office of                                       515, 518, 519, 520, 522, 701, 704, 801,                 documentation of results in the design
                                                Information and Regulatory Affairs,                                      and 803 of the FD&C Act (21 U.S.C. 351,                 history file (DHF); (6) procedures for
                                                OMB, Attn: FDA Desk Officer, FAX:                                        352, 360, 360c, 360d, 360e, 360h, 360i,                 verifying device design and
                                                202–395–7285, or emailed to oira_                                        360j, 360l, 371, 374, 381, and 383). The                documentation of results and approvals
                                                submission@omb.eop.gov. All                                              CGMP/QS regulation includes                             in the DHF; (7) procedures for validating
                                                comments should be identified with the                                   requirements for purchasing and service                 device design, including documentation
                                                OMB control number 0910–0073. Also                                       controls, clarifies recordkeeping                       of results in the DHF; (8) procedures for
                                                include the FDA docket number found                                      requirements for device failure and                     translating device design into
                                                in brackets in the heading of this                                       complaint investigations, clarifies                     production specifications; (9)
                                                document.                                                                requirements for verifying/validating                   procedures for documenting, verifying,
                                                FOR FURTHER INFORMATION CONTACT: FDA                                     production processes and process or                     and validating approved design changes
                                                PRA Staff, Office of Operations, Food                                    product changes, and clarifies                          before implementation of changes; and
sradovich on DSK3GMQ082PROD with NOTICES




                                                and Drug Administration, Three White                                     requirements for product acceptance                     (10) the records and references
                                                Flint North, 10A63, 11601 Landsdown                                      activities quality data evaluations and                 constituting the DHF for each type of
                                                St., North Bethesda, MD 20852,                                           corrections of nonconforming product/                   device.
                                                PRAStaff@fda.hhs.gov.                                                    quality problems.                                          Section 820.40 requires manufacturers
                                                SUPPLEMENTARY INFORMATION: In                                               Requirements are compatible with                     to establish and maintain procedures
                                                compliance with 44 U.S.C. 3507, FDA                                      specifications in the international                     controlling approval and distribution of
                                                has submitted the following proposed                                     standards ‘‘ISO 9001: Quality Systems                   required documents and document


                                           VerDate Sep<11>2014        19:12 Dec 02, 2016         Jkt 241001      PO 00000        Frm 00043   Fmt 4703   Sfmt 4703   E:\FR\FM\05DEN1.SGM    05DEN1


                                                                            Federal Register / Vol. 81, No. 233 / Monday, December 5, 2016 / Notices                                             87573

                                                changes. Section 820.40(a) and (b)                      by inspection, test, or other verification;           procedures controlling the release of
                                                requires the establishment and                          (2) procedures for ensuring that in                   products for distribution; (5)
                                                maintenance of procedures for the                       process products meet specified                       distribution records that identify
                                                review, approval, issuance, and                         requirements and the control of product               consignee, product, date, and control
                                                documentation of required records                       until inspection and tests are                        numbers; and (6) instructions,
                                                (documents) and changes to those                        completed; (3) procedures for, and                    inspection and test procedures that are
                                                records.                                                records that show, incoming acceptance                made available, and the recording of
                                                   Section 820.50(a) and (b) requires the               or rejection is conducted by inspections,             results for devices requiring installation.
                                                establishment and maintenance of                        tests or other verifications; (4)                        Sections 820.180(b) and (c);
                                                procedures and requirements to ensure                   procedures for, and records that show,                820.181(a) through (e); 820.184(a)
                                                service and product quality, records of                 finished devices meet acceptance                      through (f); and 820.186 require,
                                                acceptable suppliers, and purchasing                    criteria and are not distributed until                respectively, the maintenance of records
                                                data describing specified requirements                  device master record (DMR) activities                 that are: (1) Retained at prescribed
                                                for products and services.                              are completed; (5) records in the device              site(s), made readily available and
                                                   Sections 820.60 and 820.65 require,                  history record (DHR) showing                          accessible to FDA, and retained for the
                                                respectively, the establishment and                     acceptance dates, results, and                        device’s life expectancy or for 2 years;
                                                maintenance of procedures for                           equipment used; and (6) the acceptance/               (2) contained or referenced in a DMR
                                                identifying all products from receipt to                rejection identification of products from             consisting of device, process, quality
                                                distribution and for using control                      receipt to installation and servicing.                assurance, packaging and labeling, and
                                                numbers to track surgical implants and                     Sections 820.90(a), (b)(1), and (b)(2)             installation, maintenance, and servicing
                                                life-sustaining or supporting devices                   and 820.100 require, respectively, the                specifications and procedures; (3)
                                                and their components.                                   establishment, maintenance and/or                     contained in a DHR and demonstrate the
                                                   Section 820.70(a) through (e), (g)(1)                documentation of the following topics:                manufacture of each unit, lot, or batch
                                                through (g)(3), (h), and (i) requires the               (1) Procedures for identifying,                       of product in conformance with DMR
                                                establishment, maintenance, and/or                      recording, evaluating, and disposing of               and regulatory requirements include
                                                documentation of the following topics:                  nonconforming product; (2) procedures                 manufacturing and distribution dates,
                                                (1) Process control procedures; (2)                     for reviewing and recording concessions               quantities, acceptance documents,
                                                procedures for verifying or validating                  made for, and disposition of,                         labels and labeling, and control
                                                changes to specification, method,                       nonconforming product; (3) procedures                 numbers; and (4) contained in a quality
                                                process, or procedure; (3) procedures to                for reworking products, evaluating                    system record, consisting of references,
                                                control environmental conditions and                    possible adverse rework effect and                    documents, procedures, and activities
                                                inspection result records; (4)                          recording results in the DHR; (4)                     not specific to particular devices.
                                                requirements for personnel hygiene; (5)                 procedures and requirements for                          Sections 820.198(a) through (c); and
                                                procedures for preventing                               corrective and preventive actions,                    820.200(a) through (d), respectively,
                                                contamination of equipment and                          including analysis, investigation,                    require the establishment, maintenance,
                                                products; (6) equipment adjustment,                     identification and review of data,                    and/or documentation of the following
                                                cleaning, and maintenance schedules;                    records, causes, and results; and (5)                 topics: (1) Complaint files and
                                                (7) equipment inspection records; (8)                   records for all corrective and preventive             procedures for receiving, reviewing, and
                                                equipment tolerance postings,                           action activities.                                    evaluating complaints; (2) complaint
                                                procedures for utilizing manufacturing                     Section 820.100(a)(1) through (a)(7)               investigation records identifying the
                                                materials expected to have an adverse                   states that procedures and requirements               device, complainant, and relationship of
                                                effect on product quality; and (9)                      shall be established and maintained for               the device to the incident; (3) complaint
                                                validation protocols and validation                     corrective/preventive actions, including              records that are reasonably accessible to
                                                records for computer software and                       the following: (1) Analysis of data from              the manufacturing site or at prescribed
                                                software changes.                                       process, work, quality, servicing                     sites; (4) procedures for performing and
                                                   Sections 820.72(a), (b)(1), and (b)(2);              records, investigation of                             verifying that device servicing
                                                and 820.75(a) through (c) require,                      nonconformance causes; (2)                            requirements are met and that service
                                                respectively, the establishment,                        identification of corrections and their               reports involving complaints are
                                                maintenance, and/or documentation of                    effectiveness; (3) recording of changes               processed as complaints; and (5) service
                                                the following topics: (1) Equipment                     made; and (4) appropriate distribution                reports that record the device, service
                                                calibration and inspection procedures;                  and managerial review of corrective and               activity, and test and inspection data.
                                                (2) national, international, or in-house                preventive action information. Section                   Section 820.250 requires the
                                                calibration standards; (3) records that                 820.120 states that manufacturers shall               establishment and maintenance of
                                                identify calibrated equipment and next                  establish/maintain procedures to control              procedures to identify valid statistical
                                                calibration dates; (4) validation                       labeling storage/application; and                     techniques necessary to verify process
                                                procedures and validation results for                   examination/release for storage and use,              and product acceptability; and sampling
                                                processes not verifiable by inspections                 and document those procedures.                        plans, when used, which are written
                                                and tests; (5) procedures for keeping                      Sections 820.120(b) and (d); 820.130;              and based on valid statistical rationale;
                                                validated processes within specified                    820.140; 820.150(a) and (b); 820.160(a)               and procedures for ensuring adequate
                                                limits; (6) records for monitoring and                  and (b); and 820.170(a) and (b),                      sampling methods.
                                                controlling validated processes; and (7)                respectively, require the establishment,                 The CGMP/QS regulation added
                                                                                                        maintenance, and/or documentation of                  design and purchasing controls,
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                                                records of the results of revalidation
                                                where necessitated by process changes                   the following topics: (1) Procedures for              modified previous critical device
                                                or deviations.                                          controlling and recording the storage,                requirements, revised previous
                                                   Sections 820.80(a) through (e) and                   examination, release, and use of                      validation and other requirements, and
                                                820.86, respectively, require the                       labeling; (2) the filing of labels/labeling           harmonized device CGMP requirements
                                                establishment, maintenance, and/or                      used in the DHR; (3) procedures for                   with QS specifications in the
                                                documentation of the following topics:                  controlling product storage areas and                 international standard ‘‘ISO 9001:
                                                (1) Procedures for incoming acceptance                  receipt/dispatch authorizations; (4)                  Quality Systems Model for Quality


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                                                87574                                Federal Register / Vol. 81, No. 233 / Monday, December 5, 2016 / Notices

                                                Assurance in Design/Development,                                           The establishment, maintenance, and/                       collection have no reporting activities,
                                                Production, Installation, and Servicing.’’                              or documentation of procedures,                               but must make required records
                                                The rule does not apply to                                              records, and data required by the                             available for review or copying during
                                                manufacturers of components or parts of                                 regulation assists FDA in determining                         FDA inspection. Except for
                                                finished devices, or to manufacturers of                                whether firms are in compliance with                          manufacturers, not every type of firm is
                                                human blood and blood components                                        CGMP requirements, which are                                  subject to every CGMP/QS requirement.
                                                subject to 21 CFR part 606. With respect                                intended to ensure that devices meet                          For example, all are subject to Quality
                                                to devices classified in class I, design                                their design, production, labeling,                           Policy (§ 820.20(a)), Document Control
                                                control requirements apply only to class                                installation, and servicing specifications                    (§ 820.40), and other requirements,
                                                I devices listed in § 820.30(a)(2) of the                               and, thus are safe, effective, and suitable                   whereas only manufacturers and
                                                regulation. The rule imposes burden                                     for their intended purpose. In particular,                    specification developers are subject to
                                                upon: (1) Finished device manufacturer                                  compliance with CGMP design control                           subpart C, Design Controls. The
                                                firms, which are subject to all                                         requirements should decrease the                              Paperwork Reduction Act burden
                                                recordkeeping requirements; (2)                                         number of design-related device failures                      placed on the 24,738 establishments is
                                                finished device contract manufacturers,                                 that have resulted in deaths and serious                      an average burden.
                                                specification developers; and (3) re-                                   injuries.
                                                packer, re-labelers, and contract                                          The CGMP/QS regulation applies to                             In the Federal Register of September
                                                sterilizer firms, which are subject only                                approximately 24,738 respondents. A                           8, 2016 (81 FR 62144), FDA published
                                                to requirements applicable to their                                     query of the Agency’s registration and                        a 60-day notice requesting public
                                                activities. In addition, remanufacturers                                listing database shows that                                   comment on the proposed collection of
                                                of hospital single-use devices are now                                  approximately 13,294 domestic and                             information. No comments were
                                                considered to have the same                                             11,444 foreign establishments are                             received.
                                                requirements as manufacturers in regard                                 respondents to this information                                  FDA estimates the burden of this
                                                to the regulation.                                                      collection.1 Respondents to this                              collection of information as follows:

                                                                                                       TABLE 1—ESTIMATED ANNUAL RECORDKEEPING BURDEN 1
                                                                                                                                                                         Number of                         Average
                                                                                                                                                 Number of                             Total annual
                                                                            Activity/21 CFR section                                                                     records per                       burden per    Total hours
                                                                                                                                               recordkeepers                             records
                                                                                                                                                                       recordkeeper                     recordkeeping

                                                Quality policy—820.20(a) ...........................................................                      24,738                  1            24,738               7      173,166
                                                Organization—820.20(b) ............................................................                       24,738                  1            24,738               4       98,952
                                                Management review—820.20(c) ................................................                              24,738                  1            24,738               6      148,428
                                                Quality planning—820.20(d) ......................................................                         24,738                  1            24,738              10      247,380
                                                Quality system procedures—820.20(e) .....................................                                 24,738                  1            24,738              10      247,380
                                                Quality audit—820.22 ................................................................                     24,738                  1            24,738              33      816,354
                                                Training—820.25(b) ...................................................................                    24,738                  1            24,738              13      321,594
                                                Design procedures—820.30(a)(1) .............................................                              24,738                  1            24,738               2       49,476
                                                Design and development planning—820.30(b) .........................                                       24,738                  1            24,738               6      148,428
                                                Design input—820.30(c) ............................................................                       24,738                  1            24,738               2       49,476
                                                Design output—820.30(d) ..........................................................                        24,738                  1            24,738               2       49,476
                                                Design review—820.30(e) .........................................................                         24,738                  1            24,738              23      568,974
                                                Design verification—820.30(f) ....................................................                        24,738                  1            24,738              37      915,306
                                                Design validation—820.30(g) .....................................................                         24,738                  1            24,738              37      915,306
                                                Design transfer—820.30(h) ........................................................                        24,738                  1            24,738               3       74,214
                                                Design changes—820.30(i) .......................................................                          24,738                  1            24,738              17      420,546
                                                Design history file—820.30(j) .....................................................                       24,738                  1            24,738               3       74,214
                                                Document controls—820.40 ......................................................                           24,738                  1            24,738               9      222,642
                                                Documentation approval and distribution and document
                                                  changes—820.40(a) and (b) ..................................................                            24,738                  1            24,738               2       49,476
                                                Purchasing controls—820.50(a) ................................................                            24,738                  1            24,738              22      544,236
                                                Purchasing data—820.50(b) ......................................................                          24,738                  1            24,738               6      148,428
                                                Identification—820.60 ................................................................                    24,738                  1            24,738               1       24,738
                                                Traceability—820.65 ..................................................................                    24,738                  1            24,738               1       24,738
                                                Production and process controls—820.70(a) ............................                                    24,738                  1            24,738               2       49,476
                                                Production and process changes and environmental control—
                                                  820.70(b) and (c) ....................................................................                  24,738                  1            24,738               2       49,476
                                                Personnel—820.70(d) ................................................................                      24,738                  1            24,738               3       74,214
                                                Contamination control—820.70(e) .............................................                             24,738                  1            24,738               2       49,476
                                                Equipment maintenance schedule, inspection, and adjust-
                                                  ment—820.70(g)(1)–(g)(3) .....................................................                          24,738                  1            24,738               1       24,738
                                                Manufacturing material—820.70(h) ...........................................                              24,738                  1            24,738               2       49,476
                                                Automated processes—820.70(i) ..............................................                              24,738                  1            24,738               8      197,904
                                                Control of inspection, measuring, and test equipment—
                                                  820.72(a) ................................................................................              24,738                  1            24,738               5      123,690
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                                                Calibration    procedures,              standards,              and         records—
                                                  820.72(b)(1)–(b)(2) .................................................................                   24,738                  1            24,738               1       24,738
                                                Process validation—820.75(a) ...................................................                          24,738                  1            24,738               3       74,214
                                                Validated process parameters, monitoring, control methods,
                                                  and data—820.75(b) ..............................................................                       24,738                  1            24,738               1       24,738
                                                Revalidation—820.75(c) .............................................................                      24,738                  1            24,738               1       24,738

                                                  1 Based    on fiscal year 2015 data.



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                                                                                      Federal Register / Vol. 81, No. 233 / Monday, December 5, 2016 / Notices                                                                                                   87575

                                                                                              TABLE 1—ESTIMATED ANNUAL RECORDKEEPING BURDEN 1—Continued
                                                                                                                                                                                 Number of                                             Average
                                                                                                                                                     Number of                                            Total annual
                                                                              Activity/21 CFR section                                                                           records per                                           burden per               Total hours
                                                                                                                                                   recordkeepers                                            records
                                                                                                                                                                               recordkeeper                                         recordkeeping

                                                Acceptance activities—820.80(a)–(e) ........................................                                    24,738                              1                 24,738                              5       123,690
                                                Acceptance status—820.86 .......................................................                                24,738                              1                 24,738                              1        24,738
                                                Control of nonconforming product—820.90(a) ..........................                                           24,738                              1                 24,738                              5       123,690
                                                Nonconforming product review/disposition procedures and re-
                                                  work procedures—820.90(b)(1)–(b)(2) ...................................                                       24,738                              1                 24,738                              5       123,690
                                                Procedures for corrective/preventive actions—820.100(a)(1)–
                                                  (a)(7) .......................................................................................                24,738                              1                 24,738                            12        296,856
                                                Corrective/preventive activities—820.100(b) .............................                                       24,738                              1                 24,738                             1         24,738
                                                Labeling procedures—820.120(b) .............................................                                    24,738                              1                 24,738                             1         24,738
                                                Labeling documentation—820.120(d) ........................................                                      24,738                              1                 24,738                             1         24,738
                                                Device packaging—820.130 ......................................................                                 24,738                              1                 24,738                             1         24,738
                                                Handling—820.140 ....................................................................                           24,738                              1                 24,738                             6        148,428
                                                Storage—820.150(a) and (b) .....................................................                                24,738                              1                 24,738                             6        148,428
                                                Distribution procedures and records—820.160(a) and (b) ........                                                 24,738                              1                 24,738                             1         24,738
                                                Installation—820.170 .................................................................                          24,738                              1                 24,738                             2         49,476
                                                Record retention period—820.180(b) and (c) ............................                                         24,738                              1                 24,738                             2         49,476
                                                Device master record—820.181 ................................................                                   24,738                              1                 24,738                             1         24,738
                                                Device history record—820.184 ................................................                                  24,738                              1                 24,738                             1         24,738
                                                Quality system record—820.186 ...............................................                                   24,738                              1                 24,738                             1         24,738
                                                Complaint files—820.198(a), (c), and (g) ..................................                                     24,738                              1                 24,738                             5        123,690
                                                Servicing procedures and reports—820.200(a) and (d) ............                                                24,738                              1                 24,738                             3         74,214
                                                Statistical techniques procedures and sampling plans—
                                                  820.250 ...................................................................................                   24,738                              1                 24,738                             1         24,738

                                                      Total ....................................................................................   ........................   ........................   ........................   ........................    8,608,824
                                                   1 There     are no capital costs or operating and maintenance costs associated with this collection of information.


                                                  Dated: November 28, 2016.                                                ‘‘Providing Information About Pediatric                                       public, submit the comment as a
                                                Leslie Kux,                                                                Uses of Medical Devices Under Section                                         written/paper submission and in the
                                                Associate Commissioner for Policy.                                         515A of the Federal Food, Drug, and                                           manner detailed (see ‘‘Written/Paper
                                                [FR Doc. 2016–29028 Filed 12–2–16; 8:45 am]                                Cosmetic Act.’’                                                               Submissions’’ and ‘‘Instructions’’).
                                                BILLING CODE 4160–01–P                                                     DATES: Submit either electronic or                                            Written/Paper Submissions
                                                                                                                           written comments on the collection of
                                                                                                                           information by February 3, 2017.                                                 Submit written/paper submissions as
                                                DEPARTMENT OF HEALTH AND                                                   ADDRESSES: You may submit comments                                            follows:
                                                HUMAN SERVICES                                                             as follows:                                                                      • Mail/Hand delivery/Courier (for
                                                                                                                                                                                                         written/paper submissions): Division of
                                                Food and Drug Administration                                               Electronic Submissions                                                        Dockets Management (HFA–305), Food
                                                [Docket No. FDA–2013–D–0117]                                                 Submit electronic comments in the                                           and Drug Administration, 5630 Fishers
                                                                                                                           following way:                                                                Lane, Rm. 1061, Rockville, MD 20852.
                                                Agency Information Collection                                                • Federal eRulemaking Portal:                                                  • For written/paper comments
                                                Activities; Proposed Collection;                                           https://www.regulations.gov. Follow the                                       submitted to the Division of Dockets
                                                Comment Request; Providing                                                 instructions for submitting comments.                                         Management, FDA will post your
                                                Information About Pediatric Uses of                                        Comments submitted electronically,                                            comment, as well as any attachments,
                                                Medical Devices                                                            including attachments, to https://                                            except for information submitted,
                                                                                                                           www.regulations.gov will be posted to                                         marked and identified, as confidential,
                                                AGENCY:        Food and Drug Administration,
                                                                                                                           the docket unchanged. Because your                                            if submitted as detailed in
                                                HHS.
                                                                                                                           comment will be made public, you are                                          ‘‘Instructions.’’
                                                ACTION:       Notice.                                                                                                                                       Instructions: All submissions received
                                                                                                                           solely responsible for ensuring that your
                                                SUMMARY:  The Food and Drug                                                comment does not include any                                                  must include the Docket No. FDA–
                                                Administration (FDA) is announcing an                                      confidential information that you or a                                        2013–D–0117 for ‘‘Agency Information
                                                opportunity for public comment on the                                      third party may not wish to be posted,                                        Collection Activities; Proposed
                                                proposed collection of certain                                             such as medical information, your or                                          Collection; Comment Request; Providing
                                                information by the Agency. Under the                                       anyone else’s Social Security number, or                                      Information About Pediatric Uses of
                                                Paperwork Reduction Act of 1995 (the                                       confidential business information, such                                       Medical Devices.’’ Received comments
                                                PRA), Federal Agencies are required to                                     as a manufacturing process. Please note                                       will be placed in the docket and, except
                                                                                                                                                                                                         for those submitted as ‘‘Confidential
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                                                publish notice in the Federal Register                                     that if you include your name, contact
                                                concerning each proposed collection of                                     information, or other information that                                        Submissions,’’ publicly viewable at
                                                information, including each proposed                                       identifies you in the body of your                                            https://www.regulations.gov or at the
                                                extension of an existing collection of                                     comments, that information will be                                            Division of Dockets Management
                                                information, and to allow 60 days for                                      posted on https://www.regulations.gov.                                        between 9 a.m. and 4 p.m., Monday
                                                public comment in response to the                                            • If you want to submit a comment                                           through Friday.
                                                notice. This notice solicits comments on                                   with confidential information that you                                           • Confidential Submissions—To
                                                the information collection regarding                                       do not wish to be made available to the                                       submit a comment with confidential


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Document Created: 2016-12-03 00:26:14
Document Modified: 2016-12-03 00:26:14
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
ActionNotice.
DatesFax written comments on the collection of information by January 4, 2017.
ContactFDA PRA Staff, Office of Operations, Food and Drug Administration, Three White Flint North, 10A63, 11601 Landsdown St., North Bethesda, MD 20852, [email protected]
FR Citation81 FR 87572 

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