82_FR_61691 82 FR 61443 - New Animal Drugs for Investigational Use; Disqualification of a Clinical Investigator

82 FR 61443 - New Animal Drugs for Investigational Use; Disqualification of a Clinical Investigator

DEPARTMENT OF HEALTH AND HUMAN SERVICES
Food and Drug Administration

Federal Register Volume 82, Issue 248 (December 28, 2017)

Page Range61443-61446
FR Document2017-27973

The Food and Drug Administration (FDA, the Agency, or we) is issuing a final rule amending the regulations for new animal drugs for investigational use to expand the scope of clinical investigator disqualification to include ineligibility to conduct nonclinical laboratory studies. Under this final rule, when the Commissioner of Food and Drugs (the Commissioner) determines that an investigator is ineligible to receive a new animal drug for investigational use, the investigator also will be ineligible to conduct any nonclinical study intended to support an application for a research or marketing permit for a new animal drug. This final rule will help ensure adequate protection of animal research subjects and the quality and integrity of data submitted to FDA.

Federal Register, Volume 82 Issue 248 (Thursday, December 28, 2017)
[Federal Register Volume 82, Number 248 (Thursday, December 28, 2017)]
[Rules and Regulations]
[Pages 61443-61446]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-27973]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

21 CFR Parts 16 and 511

[Docket No. FDA-2011-N-0079]
RIN 0910-AH64


New Animal Drugs for Investigational Use; Disqualification of a 
Clinical Investigator

AGENCY: Food and Drug Administration, HHS.

ACTION: Final rule.

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

SUMMARY: The Food and Drug Administration (FDA, the Agency, or we) is 
issuing a final rule amending the regulations for new animal drugs for 
investigational use to expand the scope of clinical investigator 
disqualification to include ineligibility to conduct nonclinical 
laboratory studies. Under this final rule, when the Commissioner of 
Food and Drugs (the Commissioner) determines that an investigator is 
ineligible to receive a new animal drug for investigational use, the 
investigator also will be ineligible to conduct any nonclinical study 
intended to support an application for a research or marketing permit 
for a new animal drug. This final rule will help ensure adequate 
protection of animal research subjects and the quality and integrity of 
data submitted to FDA.

DATES: This rule is effective January 29, 2018.

ADDRESSES: For access to the docket to read background documents or 
comments received, go to https://www.regulations.gov and insert the 
docket number found in brackets in the heading of this final rule into 
the ``Search'' box and follow the prompts,

[[Page 61444]]

and/or go to the Dockets Management Staff, 5630 Fishers Lane, Rm. 1061, 
Rockville, MD 20852.

FOR FURTHER INFORMATION CONTACT: Vernon Toelle, Center for Veterinary 
Medicine (HFV-230), Food and Drug Administration, 7519 Standish Pl., 
Rockville, MD 20855, 240-402-5637, [email protected].

SUPPLEMENTARY INFORMATION: 

Table of Contents

I. Executive Summary
    A. Purpose of the Final Rule
    B. Summary of the Major Provisions of the Final Rule
    C. Legal Authority
    D. Costs and Benefits
II. Background
    A. Need for the Regulation
    B. Summary of Comments to the Proposed Rule
III. Legal Authority
IV. Comments on the Proposed Rule and FDA Response
V. Effective Date
VI. Economic Analysis of Impacts
VII. Analysis of Environmental Impact
VIII. Paperwork Reduction Act of 1995
IX. Federalism

I. Executive Summary

A. Purpose of the Final Rule

    The regulations in Sec.  511.1(c) (21 CFR 511.1(c)) provide that a 
disqualified clinical investigator is ineligible to conduct any 
clinical investigation that supports an application for a research or 
marketing permit for products regulated by FDA. However, the animal 
drug regulations permit the same clinical investigator to conduct both 
nonclinical laboratory studies as well as clinical investigations. We 
have proposed changes to these regulations (81 FR 57812, August 24, 
2016) that would prevent disqualified clinical investigators from 
conducting nonclinical laboratory studies intended to support an 
application for a research or marketing permit for a new animal drug, 
thus enhancing protection of animal research subjects and ensuring the 
quality and integrity of data submitted to FDA in support of a new 
animal drug approval.

B. Summary of the Major Provisions of the Final Rule

    This final rule expands the clinical investigator disqualification 
regulations in Sec.  511.1(c) to include the ineligibility of a 
disqualified investigator to conduct any nonclinical laboratory study 
intended to support an application for a research or marketing permit 
for a new animal drug. We received one comment, and it supported the 
proposed amendment.

C. Legal Authority

    FDA is issuing these regulations based on its authority under the 
new animal drug provisions in section 512 of the Federal Food, Drug, 
and Cosmetic Act (FD&C Act) (21 U.S.C. 360b) and under section 701(a) 
of the FD&C Act (21 U.S.C. 371(a)), which gives the Agency general 
rulemaking authority to issue regulations for the efficient enforcement 
of the FD&C Act.

D. Costs and Benefits

    FDA believes this final rule is not a significant regulatory action 
as defined by Executive Order 12866 and certifies that it will not have 
a significant economic impact on a substantial number of small 
entities. FDA and applicants will not incur additional costs by 
expanding the scope in part 511 for disqualification of a clinical 
investigator. The benefit of preventing a disqualified clinical 
investigator from performing both nonclinical laboratory studies as 
well as clinical investigations will be enhanced protection of animal 
research subjects and data integrity submitted to FDA in support of a 
new animal drug approval.

II. Background

    FDA may consider disqualification of a clinical investigator when 
FDA has information that an investigator has repeatedly or deliberately 
failed to comply with applicable requirements for the conduct of 
clinical investigations, or has repeatedly or deliberately submitted to 
FDA or to the sponsor false information in any required report. 
Disqualification of an investigator is initiated by the appropriate FDA 
center depending upon the particular type of test article (e.g., new 
animal drug for investigational use) under study by the investigator in 
the clinical investigation. For example, the Center for Veterinary 
Medicine (CVM or the Center) may pursue disqualification of a clinical 
investigator who conducted a new animal drug clinical investigation and 
allegedly submitted to FDA or the sponsor false information in a 
required report.
    The regulations provide the investigator who is subject to 
disqualification an opportunity to be heard and explain the matter 
complained of, i.e., explain the alleged violations. If the explanation 
offered is not accepted by the Center, the investigator will be given 
an opportunity for an informal regulatory hearing under part 16 (21 CFR 
part 16). After evaluating all available information, including any 
explanation presented by the investigator, the Commissioner issues a 
Commissioner's decision regarding the eligibility of the investigator 
to receive a particular type of test article (e.g., a new animal drug 
for investigational use). When disqualified by a Commissioner's 
decision, the investigator is no longer eligible to receive the 
particular type of test article under study when the violations 
occurred (e.g., new animal drugs). Also, an investigator disqualified 
by a Commissioner's decision is ineligible to conduct any clinical 
investigation that supports an application for a research or marketing 
permit for products regulated by FDA.
    Because CVM regulates drugs for animal use, the study subjects are 
animals in both clinical investigations and nonclinical laboratory 
studies intended to support the approval of a new animal drug. 
Nonclinical laboratory studies such as those for target animal safety 
and human food safety may be essential in determining whether to 
approve an application for a research or marketing permit for a new 
animal drug. For animal drug products regulated by CVM, the same 
investigator may conduct both clinical investigations and nonclinical 
laboratory studies. For example, CVM's two most recent clinical 
investigator disqualification matters involved investigators who were 
also study directors on nonclinical laboratory studies submitted to CVM 
in support of applications for a new animal drug. In addition, CVM is 
aware of multiple persons who conduct both clinical investigations and 
nonclinical laboratory studies intended to support an application for a 
research or marketing permit for a new animal drug. Therefore, CVM 
proposed (81 FR 57812) that it have authority to disqualify an 
investigator from conducting nonclinical laboratory studies intended to 
support an application for a research or marketing permit for a new 
animal drug when that same investigator is disqualified from conducting 
clinical investigations.

A. Need for the Regulation

    Expanding the regulations to include that a disqualified 
investigator is ineligible to conduct any nonclinical laboratory study 
intended to support an application for a research or marketing permit 
for a new animal drug helps to ensure adequate protection of animal 
research subjects and data integrity. This action also leads to 
improved public confidence in the nonclinical and clinical data 
supporting FDA decisions for new animal drug approvals.

[[Page 61445]]

B. Summary of Comments to the Proposed Rule

    We received one comment to the proposed rule. The comment supports 
the proposal. Therefore, we are finalizing the proposal without 
revision.

III. Legal Authority

    We are issuing this final rule under section 512(j) of the FD&C 
Act, which authorizes FDA to issue regulations for exempting from the 
operation of section 512 of the FD&C Act new animal drugs intended 
solely for investigational use by experts qualified by scientific 
training and experience to investigate the safety and effectiveness of 
animal drugs, and section 701(a) of the FD&C Act, which authorizes FDA 
to issue regulations for the efficient enforcement of the FD&C Act. An 
investigator who repeatedly or deliberately submits to FDA or the 
sponsor false information in a required report would not be considered 
a qualified expert with the experience required to conduct nonclinical 
laboratory studies intended to support an application for a research or 
marketing permit for a new animal drug. FDA therefore concludes that 
legal authority to promulgate this rule exists under sections 512(j) 
and 701(a) of the FD&C Act, as essential to protection of the public 
health and safety and to enforcement of the Agency's responsibilities 
under sections 201, 501, 502, 503, 512, and 701 of the FD&C Act (21 
U.S.C. 321, 351, 352, 353, 360b, and 371).

IV. Comments on the Proposed Rule and FDA Response

    We received no adverse or substantive comment and are finalizing 
without change.

V. Effective Date

    This rule is effective January 29, 2018.

VI. Economic Analysis of Impacts

    We have examined the impacts of the final rule under Executive 
Order 12866, Executive Order 13563, Executive Order 13771, 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). Executive Order 13771 
requires that the costs associated with significant new regulations 
``shall, to the extent permitted by law, be offset by the elimination 
of existing costs associated with at least two prior regulations.'' 
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 impose new requirements on any 
entity and therefore has no associated compliance costs, we certify 
that the final rule will not have a significant economic impact on a 
substantial number of small entities.
    The Unfunded Mandates Reform Act of 1995 (section 202(a)) 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 $148 
million, using the most current (2016) Implicit Price Deflator for the 
Gross Domestic Product. This final rule will not result in an 
expenditure in any year that meets or exceeds this amount.
    This rule expands the scope in part 511 of disqualification of a 
clinical investigator to include ineligibility to conduct nonclinical 
laboratory studies intended to support an application for a research or 
marketing permit for a new animal drug. A final rule published on April 
30, 2012 (77 FR 25353), prevents a disqualified investigator from 
conducting any clinical investigation, and therefore applies explicitly 
to clinical investigations. However, that rule was silent on 
nonclinical laboratory studies. Thus, before this final rule, a 
disqualified investigator could conduct a nonclinical laboratory study 
intended to support an application for a research or marketing permit 
for a new animal drug. Because the reason for disqualification in part 
511 is typically the repeated or deliberate submission of false 
information to us or to sponsors in a required report, preventing a 
disqualified clinical investigator from performing both nonclinical 
laboratory studies and clinical investigations is essential to adequate 
protection of animal research subjects and data integrity.
    We will not incur additional costs by expanding the scope in part 
511 for disqualification of a clinical investigator because we already 
post the names of any disqualified investigator on FDA's internet site 
at https://www.accessdata.fda.gov/scripts/SDA/sdNavigation.cfm?sd=clinicalinvestigatorsdisqualificationproceedings&previewMode=true&displayAll=true. Similarly, industry will not incur 
additional costs because the rule does not require applicants to 
perform additional tasks. For instance, upon disqualification, we post 
the respective investigator's name on FDA's internet site, which helps 
mitigate the employment of a disqualified investigator for clinical 
investigations or nonclinical laboratory studies intended to support an 
application for a research or marketing permit for a new animal drug. 
The benefit of preventing a disqualified clinical investigator from 
performing both nonclinical laboratory studies and clinical 
investigations will be enhanced protection of animal research subjects 
and data integrity.

VII. Analysis of Environmental Impact

    We have determined under 21 CFR 25.30(h) 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.

VIII. Paperwork Reduction Act of 1995

    This 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.

IX. 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, we conclude 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

21 CFR Part 16

    Administrative practice and procedure.

21 CFR Part 511

    Animal drugs, Medical research, Reporting and recordkeeping 
requirements.


[[Page 61446]]


    Therefore, under the Federal Food, Drug, and Cosmetic Act and under 
authority delegated to the Commissioner of Food and Drugs, 21 CFR parts 
16 and 511 are amended as follows:

PART 16--REGULATORY HEARING BEFORE THE FOOD AND DRUG ADMINISTRATION

0
1. The authority citation for part 16 continues to read as follows:

    Authority:  15 U.S.C. 1451-1461; 21 U.S.C. 141-149, 321-394, 
467f, 679, 821, 1034; 28 U.S.C. 2112; 42 U.S.C. 201-262, 263b, 364.


0
2. In Sec.  16.1, in paragraph (b)(2), revise the numerically sequenced 
entry for Sec.  511.1(c)(1) to read as follows:


Sec.  16.1  Scope.

* * * * *
    (b) * * *
    (2) * * *
    (c)(1), relating to whether an investigator is eligible to receive 
test articles under part 511 of this chapter and eligible to conduct 
any clinical investigation that supports an application for a research 
or marketing permit for products regulated by FDA including drugs, 
biologics, devices, new animal drugs, foods, including dietary 
supplements, that bear a nutrient content claim or a health claim, 
infant formulas, food and color additives, and tobacco products; and 
any nonclinical laboratory study intended to support an application for 
a research or marketing permit for a new animal drug.
* * * * *

PART 511--NEW ANIMAL DRUGS FOR INVESTIGATIONAL USE

0
3. The authority citation for part 511 continues to read as follows:

    Authority:  21 U.S.C. 321, 351, 352, 353, 360b, 371.


0
4. In Sec.  511.1:
0
a. Revise the section heading;
0
b. Revise the last sentence in paragraph (c)(1);
0
c. Add paragraphs (c)(1)(i) and (ii);
0
d. Revise the last sentence in paragraph (c)(2);
0
e. Add paragraphs (c)(2)(i) and (ii); and
0
f. Revise paragraph (c)(6).
    The revisions and additions read as follows:


Sec.  511.1  New animal drugs for investigational use exempt from 
section 512(a) of the Federal Food, Drug, and Cosmetic Act.

* * * * *
    (c) * * *
    (1) * * * If an explanation is offered but not accepted by the 
Center for Veterinary Medicine, the investigator will be given an 
opportunity for a regulatory hearing under part 16 of this chapter on 
the question of whether the investigator is eligible to receive test 
articles under this part and eligible to conduct:
    (i) Any clinical investigation that supports an application for a 
research or marketing permit for products regulated by FDA; and
    (ii) Any nonclinical laboratory study intended to support an 
application for a research or marketing permit for a new animal drug.
    (2) * * * The notification also will explain that an investigator 
determined to be ineligible to receive test articles under this part 
will be ineligible to conduct:
    (i) Any clinical investigation that supports an application for a 
research or marketing permit for products regulated by FDA, including 
drugs, biologics, devices, new animal drugs, foods, including dietary 
supplements, that bear a nutrient content claim or a health claim, 
infant formulas, food and color additives, and tobacco products; and
    (ii) Any nonclinical laboratory study intended to support an 
application for a research or marketing permit for a new animal drug.
* * * * *
    (6) An investigator who has been determined to be ineligible under 
paragraph (c)(2) of this section may be reinstated as eligible when the 
Commissioner determines that the investigator has presented adequate 
assurances that the investigator will employ all test articles, and 
will conduct any clinical investigation that supports an application 
for a research or marketing permit for products regulated by FDA and 
any nonclinical laboratory study intended to support an application for 
a research or marketing permit for a new animal drug, solely in 
compliance with the applicable provisions of this chapter.
* * * * *

    Dated: December 21, 2017.
Leslie Kux,
Associate Commissioner for Policy.
[FR Doc. 2017-27973 Filed 12-27-17; 8:45 am]
BILLING CODE 4164-01-P



                                                                                                                                                                                                   61443

                                              Rules and Regulations                                                                                         Federal Register
                                                                                                                                                            Vol. 82, No. 248

                                                                                                                                                            Thursday, December 28, 2017



                                              This section of the FEDERAL REGISTER                    Greg Feder, Counsel, gfeder@fdic.gov, or              § 382.2    [Amended]
                                              contains regulatory documents having general            Francis Kuo, Counsel, fkuo@fdic.gov,                  ■  5. In § 382.2, amend paragraph
                                              applicability and legal effect, most of which           Legal Division, Federal Deposit                       (c)(1)(ii) by removing ‘‘January 19,
                                              are keyed to and codified in the Code of                Insurance Corporation, 550 17th Street
                                              Federal Regulations, which is published under                                                                 2019’’ and adding ‘‘January 1, 2019’’ in
                                                                                                      NW, Washington, DC 20429.                             its place.
                                              50 titles pursuant to 44 U.S.C. 1510.
                                                                                                      SUPPLEMENTARY INFORMATION: We are                       Dated at Washington, DC, on December 21,
                                              The Code of Federal Regulations is sold by              making technical corrections to 12 CFR                2017.
                                              the Superintendent of Documents.                        329.3 and 382.2. We are also making                   Federal Deposit Insurance Corporation.
                                                                                                      effective amendatory instruction #6,                  Valerie J. Best,
                                                                                                      published in the final rule on October                Assistant Executive Secretary.
                                              FEDERAL DEPOSIT INSURANCE
                                                                                                      30, 2017, at 82 FR 50228.
                                              CORPORATION                                                                                                   [FR Doc. 2017–27971 Filed 12–27–17; 8:45 am]
                                                                                                      List of Subjects                                      BILLING CODE 6714–01–P
                                              12 CFR Parts 324, 329, and 382
                                                                                                      12 CFR Part 329
                                              RIN 3064–AE46
                                                                                                        Administrative practice and                         DEPARTMENT OF HEALTH AND
                                              Restrictions on Qualified Financial                     procedure, Banks, banking, Federal                    HUMAN SERVICES
                                              Contracts of Certain FDIC-Supervised                    Deposit Insurance Corporation, FDIC,
                                              Institutions; Revisions to the Definition               Liquidity, Reporting and recordkeeping                Food and Drug Administration
                                              of Qualifying Master Netting                            requirements.
                                              Agreement and Related Definitions                                                                             21 CFR Parts 16 and 511
                                                                                                      12 CFR Part 382
                                              AGENCY:  Federal Deposit Insurance                                                                            [Docket No. FDA–2011–N–0079]
                                                                                                        Administrative practice and
                                              Corporation (FDIC).
                                                                                                      procedure, Banks, banking, Federal                    RIN 0910–AH64
                                              ACTION: Final rule; technical correction;               Deposit Insurance Corporation, FDIC,
                                              confirmation of effective date.                         Qualified financial contracts, Reporting              New Animal Drugs for Investigational
                                                                                                      and recordkeeping requirements, State                 Use; Disqualification of a Clinical
                                              SUMMARY:   This document makes
                                                                                                      savings associations, State non-member                Investigator
                                              technical corrections to regulations that
                                              were published in the Federal Register                  banks.                                                AGENCY:     Food and Drug Administration,
                                              on October 30, 2017. The FDIC added                       For the reasons stated in the                       HHS.
                                              Part 382 to its regulations to improve                  supplementary information, the Federal                ACTION:    Final rule.
                                              the resolvability of systemically                       Deposit Insurance Corporation amends
                                              important U.S. banking organizations                    12 CFR chapter III as follows:                        SUMMARY:    The Food and Drug
                                              and systemically important foreign                                                                            Administration (FDA, the Agency, or
                                              banking organizations and enhance the                   PART 329—LIQUIDITY RISK                               we) is issuing a final rule amending the
                                              resilience and the safety and soundness                 MEASUREMENT STANDARDS                                 regulations for new animal drugs for
                                              of certain State savings associations and                                                                     investigational use to expand the scope
                                              State-chartered banks and made certain                  ■ 1. The authority citation for part 329              of clinical investigator disqualification
                                              conforming changes to Part 329. This                    continues to read as follows:                         to include ineligibility to conduct
                                              document is being published to make                       Authority: 12 U.S.C. 1815, 1816, 1818,              nonclinical laboratory studies. Under
                                              technical corrections to certain rules                  1819, 1828, 1831p–1, 5412.                            this final rule, when the Commissioner
                                              under Parts 329 and 382 and make                                                                              of Food and Drugs (the Commissioner)
                                              effective amendatory instruction 6 in                   § 329.3   [Amended]                                   determines that an investigator is
                                              the previously published regulation.                    ■  2. In § 329.3, amend paragraph                     ineligible to receive a new animal drug
                                              DATES: Effective January 1, 2018.                       (2)(i)(A) of the definition of ‘‘Qualifying           for investigational use, the investigator
                                              Amendatory instruction 6 in the final                   master netting agreement’’ by adding                  also will be ineligible to conduct any
                                              rule published October 30, 2017, at 82                  ‘‘or’’ following the semi-colon.                      nonclinical study intended to support
                                              FR 50228, is effective January 1, 2018.                                                                       an application for a research or
                                              FOR FURTHER INFORMATION CONTACT:                        PART 382—RESTRICTIONS ON                              marketing permit for a new animal drug.
                                              Ryan Billingsley, Acting Associate                      QUALIFIED FINANCIAL CONTRACTS                         This final rule will help ensure
                                              Director, Capital Markets Branch,                                                                             adequate protection of animal research
                                              Division of Risk Management and                         ■ 3. The authority citation for part 382              subjects and the quality and integrity of
                                              Supervision, rbillingsley@fdic.gov;                     continues to read as follows:                         data submitted to FDA.
                                              Alexandra Steinberg Barrage, Senior                       Authority: 12 U.S.C. 1816, 1818, 1819,              DATES: This rule is effective January 29,
                                              Resolution Policy Specialist, Office of                 1820(g), 1828, 1828(m), 1831n, 1831o,                 2018.
sradovich on DSK3GMQ082PROD with RULES




                                              Complex Financial Institutions,                         1831p–l, 1831(u), 1831w.                              ADDRESSES: For access to the docket to
                                              abarrage@fdic.gov; David N. Wall,                                                                             read background documents or
                                                                                                      § 382.1   [Amended]
                                              Assistant General Counsel, dwall@                                                                             comments received, go to https://
                                              fdic.gov, Cristina Regojo, Counsel,                     ■ 4. As of January 1, 2018, make                      www.regulations.gov and insert the
                                              cregojo@fdic.gov, Phillip Sloan,                        effective amendatory instruction #6 as                docket number found in brackets in the
                                              Counsel, psloan@fdic.gov, Michael                       published October 30, 2017, at 82 FR                  heading of this final rule into the
                                              Phillips, Counsel, mphillips@fdic.gov,                  50228.                                                ‘‘Search’’ box and follow the prompts,


                                         VerDate Sep<11>2014   16:07 Dec 27, 2017   Jkt 244001   PO 00000   Frm 00001   Fmt 4700   Sfmt 4700   E:\FR\FM\28DER1.SGM    28DER1


                                              61444            Federal Register / Vol. 82, No. 248 / Thursday, December 28, 2017 / Rules and Regulations

                                              and/or go to the Dockets Management                      C. Legal Authority                                    Commissioner issues a Commissioner’s
                                              Staff, 5630 Fishers Lane, Rm. 1061,                        FDA is issuing these regulations based              decision regarding the eligibility of the
                                              Rockville, MD 20852.                                     on its authority under the new animal                 investigator to receive a particular type
                                              FOR FURTHER INFORMATION CONTACT:                         drug provisions in section 512 of the                 of test article (e.g., a new animal drug
                                              Vernon Toelle, Center for Veterinary                     Federal Food, Drug, and Cosmetic Act                  for investigational use). When
                                              Medicine (HFV–230), Food and Drug                        (FD&C Act) (21 U.S.C. 360b) and under                 disqualified by a Commissioner’s
                                              Administration, 7519 Standish Pl.,                       section 701(a) of the FD&C Act (21                    decision, the investigator is no longer
                                              Rockville, MD 20855, 240–402–5637,                       U.S.C. 371(a)), which gives the Agency                eligible to receive the particular type of
                                              vernon.toelle@fda.hhs.gov.                               general rulemaking authority to issue                 test article under study when the
                                                                                                       regulations for the efficient enforcement             violations occurred (e.g., new animal
                                              SUPPLEMENTARY INFORMATION:
                                                                                                       of the FD&C Act.                                      drugs). Also, an investigator disqualified
                                              Table of Contents                                                                                              by a Commissioner’s decision is
                                                                                                       D. Costs and Benefits                                 ineligible to conduct any clinical
                                              I. Executive Summary
                                                 A. Purpose of the Final Rule                            FDA believes this final rule is not a               investigation that supports an
                                                 B. Summary of the Major Provisions of the             significant regulatory action as defined              application for a research or marketing
                                                    Final Rule                                         by Executive Order 12866 and certifies                permit for products regulated by FDA.
                                                 C. Legal Authority                                    that it will not have a significant                      Because CVM regulates drugs for
                                                 D. Costs and Benefits                                 economic impact on a substantial
                                              II. Background                                                                                                 animal use, the study subjects are
                                                                                                       number of small entities. FDA and                     animals in both clinical investigations
                                                 A. Need for the Regulation
                                                 B. Summary of Comments to the Proposed                applicants will not incur additional                  and nonclinical laboratory studies
                                                    Rule                                               costs by expanding the scope in part 511              intended to support the approval of a
                                              III. Legal Authority                                     for disqualification of a clinical                    new animal drug. Nonclinical laboratory
                                              IV. Comments on the Proposed Rule and FDA                investigator. The benefit of preventing a             studies such as those for target animal
                                                    Response                                           disqualified clinical investigator from               safety and human food safety may be
                                              V. Effective Date                                        performing both nonclinical laboratory                essential in determining whether to
                                              VI. Economic Analysis of Impacts                         studies as well as clinical investigations
                                              VII. Analysis of Environmental Impact
                                                                                                                                                             approve an application for a research or
                                                                                                       will be enhanced protection of animal                 marketing permit for a new animal drug.
                                              VIII. Paperwork Reduction Act of 1995
                                                                                                       research subjects and data integrity                  For animal drug products regulated by
                                              IX. Federalism
                                                                                                       submitted to FDA in support of a new                  CVM, the same investigator may
                                              I. Executive Summary                                     animal drug approval.                                 conduct both clinical investigations and
                                              A. Purpose of the Final Rule                             II. Background                                        nonclinical laboratory studies. For
                                                                                                                                                             example, CVM’s two most recent
                                                 The regulations in § 511.1(c) (21 CFR                    FDA may consider disqualification of               clinical investigator disqualification
                                              511.1(c)) provide that a disqualified                    a clinical investigator when FDA has                  matters involved investigators who were
                                              clinical investigator is ineligible to                   information that an investigator has                  also study directors on nonclinical
                                              conduct any clinical investigation that                  repeatedly or deliberately failed to                  laboratory studies submitted to CVM in
                                              supports an application for a research or                comply with applicable requirements
                                                                                                                                                             support of applications for a new animal
                                              marketing permit for products regulated                  for the conduct of clinical
                                                                                                                                                             drug. In addition, CVM is aware of
                                              by FDA. However, the animal drug                         investigations, or has repeatedly or
                                                                                                                                                             multiple persons who conduct both
                                              regulations permit the same clinical                     deliberately submitted to FDA or to the
                                                                                                                                                             clinical investigations and nonclinical
                                              investigator to conduct both nonclinical                 sponsor false information in any
                                                                                                                                                             laboratory studies intended to support
                                              laboratory studies as well as clinical                   required report. Disqualification of an
                                                                                                                                                             an application for a research or
                                              investigations. We have proposed                         investigator is initiated by the
                                                                                                                                                             marketing permit for a new animal drug.
                                              changes to these regulations (81 FR                      appropriate FDA center depending upon
                                                                                                                                                             Therefore, CVM proposed (81 FR 57812)
                                              57812, August 24, 2016) that would                       the particular type of test article (e.g.,
                                                                                                                                                             that it have authority to disqualify an
                                              prevent disqualified clinical                            new animal drug for investigational use)
                                                                                                                                                             investigator from conducting
                                              investigators from conducting                            under study by the investigator in the
                                                                                                       clinical investigation. For example, the              nonclinical laboratory studies intended
                                              nonclinical laboratory studies intended
                                                                                                       Center for Veterinary Medicine (CVM or                to support an application for a research
                                              to support an application for a research
                                                                                                       the Center) may pursue disqualification               or marketing permit for a new animal
                                              or marketing permit for a new animal
                                              drug, thus enhancing protection of                       of a clinical investigator who conducted              drug when that same investigator is
                                              animal research subjects and ensuring                    a new animal drug clinical investigation              disqualified from conducting clinical
                                              the quality and integrity of data                        and allegedly submitted to FDA or the                 investigations.
                                              submitted to FDA in support of a new                     sponsor false information in a required               A. Need for the Regulation
                                              animal drug approval.                                    report.
                                                                                                          The regulations provide the                          Expanding the regulations to include
                                              B. Summary of the Major Provisions of                                                                          that a disqualified investigator is
                                                                                                       investigator who is subject to
                                              the Final Rule                                                                                                 ineligible to conduct any nonclinical
                                                                                                       disqualification an opportunity to be
                                                This final rule expands the clinical                   heard and explain the matter                          laboratory study intended to support an
                                              investigator disqualification regulations                complained of, i.e., explain the alleged              application for a research or marketing
                                              in § 511.1(c) to include the ineligibility               violations. If the explanation offered is             permit for a new animal drug helps to
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                                              of a disqualified investigator to conduct                not accepted by the Center, the                       ensure adequate protection of animal
                                              any nonclinical laboratory study                         investigator will be given an                         research subjects and data integrity.
                                              intended to support an application for a                 opportunity for an informal regulatory                This action also leads to improved
                                              research or marketing permit for a new                   hearing under part 16 (21 CFR part 16).               public confidence in the nonclinical
                                              animal drug. We received one comment,                    After evaluating all available                        and clinical data supporting FDA
                                              and it supported the proposed                            information, including any explanation                decisions for new animal drug
                                              amendment.                                               presented by the investigator, the                    approvals.


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                                                               Federal Register / Vol. 82, No. 248 / Thursday, December 28, 2017 / Rules and Regulations                                        61445

                                              B. Summary of Comments to the                            by the elimination of existing costs                  www.accessdata.fda.gov/scripts/SDA/
                                              Proposed Rule                                            associated with at least two prior                    sdNavigation.cfm?sd=clinical
                                                 We received one comment to the                        regulations.’’ This final rule is not a               investigatorsdisqualification
                                              proposed rule. The comment supports                      significant regulatory action as defined              proceedings&previewMode=true&
                                              the proposal. Therefore, we are                          by Executive Order 12866.                             displayAll=true. Similarly, industry will
                                              finalizing the proposal without revision.                   The Regulatory Flexibility Act                     not incur additional costs because the
                                                                                                       requires us to analyze regulatory options             rule does not require applicants to
                                              III. Legal Authority                                     that would minimize any significant                   perform additional tasks. For instance,
                                                 We are issuing this final rule under                  impact of a rule on small entities.                   upon disqualification, we post the
                                              section 512(j) of the FD&C Act, which                    Because this rule does not impose new                 respective investigator’s name on FDA’s
                                              authorizes FDA to issue regulations for                  requirements on any entity and                        internet site, which helps mitigate the
                                              exempting from the operation of section                  therefore has no associated compliance                employment of a disqualified
                                              512 of the FD&C Act new animal drugs                     costs, we certify that the final rule will            investigator for clinical investigations or
                                              intended solely for investigational use                  not have a significant economic impact                nonclinical laboratory studies intended
                                              by experts qualified by scientific                       on a substantial number of small                      to support an application for a research
                                              training and experience to investigate                   entities.                                             or marketing permit for a new animal
                                              the safety and effectiveness of animal                      The Unfunded Mandates Reform Act                   drug. The benefit of preventing a
                                              drugs, and section 701(a) of the FD&C                    of 1995 (section 202(a)) requires us to               disqualified clinical investigator from
                                              Act, which authorizes FDA to issue                       prepare a written statement, which                    performing both nonclinical laboratory
                                              regulations for the efficient enforcement                includes an assessment of anticipated                 studies and clinical investigations will
                                              of the FD&C Act. An investigator who                     costs and benefits, before issuing ‘‘any              be enhanced protection of animal
                                              repeatedly or deliberately submits to                    rule that includes any Federal mandate                research subjects and data integrity.
                                              FDA or the sponsor false information in                  that may result in the expenditure by
                                              a required report would not be                           State, local, and tribal governments, in              VII. Analysis of Environmental Impact
                                              considered a qualified expert with the                   the aggregate, or by the private sector, of             We have determined under 21 CFR
                                              experience required to conduct                           $100,000,000 or more (adjusted                        25.30(h) that this action is of a type that
                                              nonclinical laboratory studies intended                  annually for inflation) in any one year.’’            does not individually or cumulatively
                                              to support an application for a research                 The current threshold after adjustment                have a significant effect on the human
                                              or marketing permit for a new animal                     for inflation is $148 million, using the              environment. Therefore, neither an
                                              drug. FDA therefore concludes that legal                 most current (2016) Implicit Price                    environmental assessment nor an
                                              authority to promulgate this rule exists                 Deflator for the Gross Domestic Product.              environmental impact statement is
                                              under sections 512(j) and 701(a) of the                  This final rule will not result in an                 required.
                                              FD&C Act, as essential to protection of                  expenditure in any year that meets or
                                              the public health and safety and to                      exceeds this amount.                                  VIII. Paperwork Reduction Act of 1995
                                              enforcement of the Agency’s                                 This rule expands the scope in part                  This final rule contains no collection
                                              responsibilities under sections 201, 501,                511 of disqualification of a clinical                 of information. Therefore, clearance by
                                              502, 503, 512, and 701 of the FD&C Act                   investigator to include ineligibility to              the Office of Management and Budget
                                              (21 U.S.C. 321, 351, 352, 353, 360b, and                 conduct nonclinical laboratory studies
                                                                                                                                                             under the Paperwork Reduction Act of
                                              371).                                                    intended to support an application for a
                                                                                                                                                             1995 is not required.
                                                                                                       research or marketing permit for a new
                                              IV. Comments on the Proposed Rule                        animal drug. A final rule published on                IX. Federalism
                                              and FDA Response                                         April 30, 2012 (77 FR 25353), prevents                  We have analyzed this final rule in
                                                We received no adverse or substantive                  a disqualified investigator from                      accordance with the principles set forth
                                              comment and are finalizing without                       conducting any clinical investigation,
                                                                                                                                                             in Executive Order 13132. FDA has
                                              change.                                                  and therefore applies explicitly to
                                                                                                                                                             determined that the rule does not
                                                                                                       clinical investigations. However, that
                                              V. Effective Date                                                                                              contain policies that have substantial
                                                                                                       rule was silent on nonclinical laboratory
                                                                                                                                                             direct effects on the States, on the
                                                This rule is effective January 29, 2018.               studies. Thus, before this final rule, a
                                                                                                                                                             relationship between the National
                                                                                                       disqualified investigator could conduct
                                              VI. Economic Analysis of Impacts                                                                               Government and the States, or on the
                                                                                                       a nonclinical laboratory study intended
                                                 We have examined the impacts of the                                                                         distribution of power and
                                                                                                       to support an application for a research
                                              final rule under Executive Order 12866,                                                                        responsibilities among the various
                                                                                                       or marketing permit for a new animal
                                              Executive Order 13563, Executive Order                                                                         levels of government. Accordingly, we
                                                                                                       drug. Because the reason for
                                              13771, the Regulatory Flexibility Act (5                                                                       conclude that the rule does not contain
                                                                                                       disqualification in part 511 is typically
                                              U.S.C. 601–612), and the Unfunded                                                                              policies that have federalism
                                                                                                       the repeated or deliberate submission of
                                              Mandates Reform Act of 1995 (Pub. L.                                                                           implications as defined in the Executive
                                                                                                       false information to us or to sponsors in
                                              104–4). Executive Orders 12866 and                                                                             order and, consequently, a federalism
                                                                                                       a required report, preventing a
                                              13563 direct us to assess all costs and                                                                        summary impact statement is not
                                                                                                       disqualified clinical investigator from
                                              benefits of available regulatory                                                                               required.
                                                                                                       performing both nonclinical laboratory
                                              alternatives and, when regulation is                     studies and clinical investigations is                List of Subjects
                                              necessary, to select regulatory                          essential to adequate protection of
                                              approaches that maximize net benefits                                                                          21 CFR Part 16
                                                                                                       animal research subjects and data
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                                              (including potential economic,                           integrity.                                              Administrative practice and
                                              environmental, public health and safety,                    We will not incur additional costs by              procedure.
                                              and other advantages; distributive                       expanding the scope in part 511 for
                                              impacts; and equity). Executive Order                    disqualification of a clinical investigator           21 CFR Part 511
                                              13771 requires that the costs associated                 because we already post the names of                    Animal drugs, Medical research,
                                              with significant new regulations ‘‘shall,                any disqualified investigator on FDA’s                Reporting and recordkeeping
                                              to the extent permitted by law, be offset                internet site at https://                             requirements.


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                                              61446            Federal Register / Vol. 82, No. 248 / Thursday, December 28, 2017 / Rules and Regulations

                                                Therefore, under the Federal Food,                     Veterinary Medicine, the investigator                 DEPARTMENT OF HEALTH AND
                                              Drug, and Cosmetic Act and under                         will be given an opportunity for a                    HUMAN SERVICES
                                              authority delegated to the Commissioner                  regulatory hearing under part 16 of this
                                              of Food and Drugs, 21 CFR parts 16 and                   chapter on the question of whether the                Food and Drug Administration
                                              511 are amended as follows:                              investigator is eligible to receive test
                                                                                                       articles under this part and eligible to              21 CFR Part 884
                                              PART 16—REGULATORY HEARING                               conduct:                                              [Docket No. FDA–2017–N–6842]
                                              BEFORE THE FOOD AND DRUG
                                              ADMINISTRATION                                             (i) Any clinical investigation that
                                                                                                       supports an application for a research or             Medical Devices; Obstetrical and
                                                1. The authority citation for part 16                                                                        Gynecological Devices; Classification
                                              ■                                                        marketing permit for products regulated
                                              continues to read as follows:                                                                                  of the Pressure Wedge for the
                                                                                                       by FDA; and
                                                                                                                                                             Reduction of Cesarean Delivery
                                                Authority: 15 U.S.C. 1451–1461; 21 U.S.C.                (ii) Any nonclinical laboratory study
                                              141–149, 321–394, 467f, 679, 821, 1034; 28               intended to support an application for a              AGENCY:    Food and Drug Administration,
                                              U.S.C. 2112; 42 U.S.C. 201–262, 263b, 364.                                                                     HHS.
                                                                                                       research or marketing permit for a new
                                              ■ 2. In § 16.1, in paragraph (b)(2), revise              animal drug.                                          ACTION:   Final order.
                                              the numerically sequenced entry for                        (2) * * * The notification also will
                                              § 511.1(c)(1) to read as follows:                                                                              SUMMARY:    The Food and Drug
                                                                                                       explain that an investigator determined               Administration (FDA or we) is
                                              § 16.1   Scope.                                          to be ineligible to receive test articles             classifying the pressure wedge for the
                                              *     *      *     *    *                                under this part will be ineligible to                 reduction of cesarean delivery into class
                                                (b) * * *                                              conduct:                                              II (special controls). The special controls
                                                (2) * * *                                                (i) Any clinical investigation that                 that apply to the device type are
                                                (c)(1), relating to whether an                         supports an application for a research or             identified in this order and will be part
                                              investigator is eligible to receive test                 marketing permit for products regulated               of the codified language for the pressure
                                              articles under part 511 of this chapter                  by FDA, including drugs, biologics,                   wedge for the reduction of cesarean
                                              and eligible to conduct any clinical                     devices, new animal drugs, foods,                     delivery’s classification. We are taking
                                              investigation that supports an                           including dietary supplements, that bear              this action because we have determined
                                              application for a research or marketing                                                                        that classifying the device into class II
                                                                                                       a nutrient content claim or a health
                                              permit for products regulated by FDA                                                                           (special controls) will provide a
                                                                                                       claim, infant formulas, food and color
                                              including drugs, biologics, devices, new                                                                       reasonable assurance of safety and
                                              animal drugs, foods, including dietary                   additives, and tobacco products; and                  effectiveness of the device. We believe
                                              supplements, that bear a nutrient                          (ii) Any nonclinical laboratory study               this action will also enhance patients’
                                              content claim or a health claim, infant                  intended to support an application for a              access to beneficial innovative devices,
                                              formulas, food and color additives, and                  research or marketing permit for a new                in part by reducing regulatory burdens.
                                              tobacco products; and any nonclinical                    animal drug.                                          DATES: This order is effective December
                                              laboratory study intended to support an                  *      *    *     *     *                             28, 2017. The classification was
                                              application for a research or marketing                                                                        applicable on December 19, 2016.
                                              permit for a new animal drug.                              (6) An investigator who has been
                                                                                                       determined to be ineligible under                     FOR FURTHER INFORMATION CONTACT:
                                              *     *      *     *    *                                                                                      Mack Hall III, Center for Devices and
                                                                                                       paragraph (c)(2) of this section may be
                                                                                                       reinstated as eligible when the                       Radiological Health, Food and Drug
                                              PART 511—NEW ANIMAL DRUGS FOR                                                                                  Administration, 10903 New Hampshire
                                              INVESTIGATIONAL USE                                      Commissioner determines that the
                                                                                                       investigator has presented adequate                   Ave., Bldg. 66, Rm. 3572, Silver Spring,
                                              ■ 3. The authority citation for part 511                 assurances that the investigator will                 MD 20993–0002, 301–796–5621,
                                              continues to read as follows:                                                                                  mack.hall@fda.hhs.gov.
                                                                                                       employ all test articles, and will
                                                                                                       conduct any clinical investigation that               SUPPLEMENTARY INFORMATION:
                                                Authority: 21 U.S.C. 321, 351, 352, 353,
                                              360b, 371.                                               supports an application for a research or             I. Background
                                              ■ 4. In § 511.1:                                         marketing permit for products regulated
                                                                                                                                                               Upon request, FDA has classified the
                                              ■ a. Revise the section heading;                         by FDA and any nonclinical laboratory
                                                                                                                                                             pressure wedge for the reduction of
                                              ■ b. Revise the last sentence in                         study intended to support an                          cesarean delivery as class II (special
                                              paragraph (c)(1);                                        application for a research or marketing               controls), which we have determined
                                              ■ c. Add paragraphs (c)(1)(i) and (ii);                  permit for a new animal drug, solely in               will provide a reasonable assurance of
                                              ■ d. Revise the last sentence in                         compliance with the applicable                        safety and effectiveness. In addition, we
                                              paragraph (c)(2);                                        provisions of this chapter.                           believe this action will enhance
                                              ■ e. Add paragraphs (c)(2)(i) and (ii);
                                                                                                       *      *    *     *     *                             patients’ access to beneficial innovation,
                                              and                                                                                                            in part by reducing regulatory burdens
                                              ■ f. Revise paragraph (c)(6).                              Dated: December 21, 2017.
                                                                                                                                                             by placing the device into a lower
                                                The revisions and additions read as                    Leslie Kux,
                                                                                                                                                             device class than the automatic class III
                                              follows:                                                 Associate Commissioner for Policy.                    assignment.
                                              § 511.1 New animal drugs for                             [FR Doc. 2017–27973 Filed 12–27–17; 8:45 am]            The automatic assignment of class III
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                                              investigational use exempt from section                  BILLING CODE 4164–01–P                                occurs by operation of law and without
                                              512(a) of the Federal Food, Drug, and                                                                          any action by FDA, regardless of the
                                              Cosmetic Act.                                                                                                  level of risk posed by the new device.
                                              *     *    *     *     *                                                                                       Any device that was not in commercial
                                                (c) * * *                                                                                                    distribution before May 28, 1976, is
                                                (1) * * * If an explanation is offered                                                                       automatically classified as, and remains
                                              but not accepted by the Center for                                                                             within, class III and requires premarket


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Document Created: 2017-12-28 00:44:05
Document Modified: 2017-12-28 00:44:05
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
ActionFinal rule.
DatesThis rule is effective January 29, 2018.
ContactVernon Toelle, Center for Veterinary Medicine (HFV-230), Food and Drug Administration, 7519 Standish Pl., Rockville, MD 20855, 240-402-5637, [email protected]
FR Citation82 FR 61443 
RIN Number0910-AH64
CFR Citation21 CFR 16
21 CFR 511
CFR AssociatedAdministrative Practice and Procedure; Animal Drugs; Medical Research and Reporting and Recordkeeping Requirements

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