83_FR_46921 83 FR 46742 - 510(k) Third-Party Review Program; Draft Guidance for Industry, Food and Drug Administration Staff, and Third-Party Review Organizations; Availability

83 FR 46742 - 510(k) Third-Party Review Program; Draft Guidance for Industry, Food and Drug Administration Staff, and Third-Party Review Organizations; Availability

DEPARTMENT OF HEALTH AND HUMAN SERVICES
Food and Drug Administration

Federal Register Volume 83, Issue 179 (September 14, 2018)

Page Range46742-46745
FR Document2018-19992

The Food and Drug Administration (FDA or Agency) is announcing the availability of the draft guidance entitled ``510(k) Third-Party Review Program; Draft Guidance for Industry, Food and Drug Administration Staff, and Third-Party Review Organizations.'' This draft guidance provides a comprehensive look into FDA's current thinking regarding the 510(k) Third-Party (3P) Review Program authorized under the Federal Food, Drug, and Cosmetic Act (FD&C Act). Under the FDA Reauthorization Act of 2017 (FDARA), FDA was directed to issue draft guidance on the factors that will be used in determining whether a class I or class II device type, or subset of such device types, is eligible for review by an accredited person. The 3P Review Program is intended to allow review of devices by 3P Review Organizations to provide manufacturers of these devices an alternative review process that allows FDA to best utilize our resources on higher risk devices. This draft guidance is not final nor is it in effect at this time.

Federal Register, Volume 83 Issue 179 (Friday, September 14, 2018)
[Federal Register Volume 83, Number 179 (Friday, September 14, 2018)]
[Notices]
[Pages 46742-46745]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-19992]


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

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2016-D-2565]


510(k) Third-Party Review Program; Draft Guidance for Industry, 
Food and Drug Administration Staff, and Third-Party Review 
Organizations; Availability

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice of availability.

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

SUMMARY: The Food and Drug Administration (FDA or Agency) is announcing 
the availability of the draft guidance entitled ``510(k) Third-Party 
Review Program; Draft Guidance for Industry, Food and Drug 
Administration Staff, and Third-Party Review Organizations.'' This 
draft guidance provides a comprehensive look into FDA's current 
thinking regarding the 510(k) Third-Party (3P) Review Program 
authorized under the Federal Food, Drug, and Cosmetic Act (FD&C Act). 
Under the FDA Reauthorization Act of 2017 (FDARA), FDA was directed to 
issue draft guidance on the factors that will be used in determining 
whether a class I or class II device type, or subset of such device 
types, is eligible for review by an accredited person. The 3P Review 
Program is intended to allow review of devices by 3P Review 
Organizations to provide manufacturers of these devices an alternative 
review process that allows FDA to best utilize our resources on higher 
risk devices. This draft guidance is not final nor is it in effect at 
this time.

DATES: Submit either electronic or written comments on the draft 
guidance by December 13, 2018 to ensure that the Agency considers your 
comment on this draft guidance before it begins work on the final 
version of the guidance. Submit either electronic or written comments 
on the collection of information by November 13, 2018.

ADDRESSES: You may submit comments on any guidance at any time as 
follows:

Electronic Submissions

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

Written/Paper Submissions

    Submit written/paper submissions as follows:
     Mail/Hand Delivery/Courier (for written/paper 
submissions): Dockets Management Staff (HFA-305), Food and Drug 
Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852.
     For written/paper comments submitted to the Dockets 
Management Staff, FDA will post your comment, as well as any 
attachments, except for information submitted, marked and identified, 
as confidential, if submitted as detailed in ``Instructions.''
    Instructions: All submissions received must include the Docket No. 
FDA-2016-D-2565 for ``510(k) Third-Party Review Program.'' Received 
comments will be placed in the docket and, except for those submitted 
as ``Confidential Submissions,'' publicly viewable at https://www.regulations.gov or at the Dockets Management Staff between 9 a.m. 
and 4 p.m., Monday through Friday.
     Confidential Submissions--To submit a comment with 
confidential information that you do not wish to be

[[Page 46743]]

made publicly available, submit your comments only as a written/paper 
submission. You should submit two copies total. One copy will include 
the information you claim to be confidential with a heading or cover 
note that states ``THIS DOCUMENT CONTAINS CONFIDENTIAL INFORMATION.'' 
The Agency will review this copy, including the claimed confidential 
information, in its consideration of comments. The second copy, which 
will have the claimed confidential information redacted/blacked out, 
will be available for public viewing and posted on https://www.regulations.gov. Submit both copies to the Dockets Management 
Staff. If you do not wish your name and contact information to be made 
publicly available, you can provide this information on the cover sheet 
and not in the body of your comments and you must identify this 
information as ``confidential.'' Any information marked as 
``confidential'' will not be disclosed except in accordance with 21 CFR 
10.20 and other applicable disclosure law. For more information about 
FDA's posting of comments to public dockets, see 80 FR 56469, September 
18, 2015, or access the information at: https://www.thefederalregister.org/fdsys/pkg/FR-2015-09-18/pdf/2015-23389.pdf.
    Docket: For access to the docket to read background documents or 
the electronic and written/paper comments received, go to https://www.regulations.gov and insert the docket number, found in brackets in 
the heading of this document, into the ``Search'' box and follow the 
prompts and/or go to the Dockets Management Staff, 5630 Fishers Lane, 
Rm. 1061, Rockville, MD 20852.
    You may submit comments on any guidance at any time (see 21 CFR 
10.115(g)(5)).
    An electronic copy of the guidance document is available for 
download from the internet. See the SUPPLEMENTARY INFORMATION section 
for information on electronic access to the guidance. Submit written 
requests for a single hard copy of the draft guidance document entitled 
``510(k) Third-Party Review Program'' to the Office of the Center 
Director, Guidance and Policy Development, Center for Devices and 
Radiological Health, Food and Drug Administration, 10903 New Hampshire 
Ave., Bldg. 66, Rm. 5431, Silver Spring, MD 20993-0002. Send one self-
addressed adhesive label to assist that office in processing your 
request.

FOR FURTHER INFORMATION CONTACT: Gregory Pishko, Center for Devices and 
Radiological Health, Food and Drug Administration, 10903 New Hampshire 
Ave., Bldg. 66, Rm. 5659, Silver Spring, MD 20993-0002, 240-402-6635.

SUPPLEMENTARY INFORMATION:

I. Background

    FDA's implementation of section 523 of the FD&C Act (21 U.S.C. 
360m) establishes a process for recognition of qualified third parties 
to conduct the initial review of premarket notification (510(k)) 
submissions for certain low-to-moderate risk devices eligible under the 
3P Review Program. Under FDARA (Pub. L. 115-52), the criteria used to 
establish device eligibility in the 3P Review Program changed and FDA 
was directed to issue draft guidance on the factors that will be used 
in determining whether a class I or class II device type, or subset of 
such device types, is eligible for review by an accredited person. The 
objectives of this draft guidance are: (1) To describe the factors FDA 
will use in determining device type eligibility for review by 3P Review 
Organizations; (2) to outline FDA's process for the recognition, re-
recognition, suspension, and withdrawal of recognition for 3P Review 
Organizations; and (3) to ensure consistent quality of work among 3P 
Review Organizations through Medical Device User Fee Amendments IV 
commitments authorized under FDARA. This draft guidance also outlines 
FDA's current thinking on leveraging the International Medical Device 
Regulators Forum's requirements for the Medical Device Single Audit 
Program.
    Upon issuance, this draft guidance will replace the draft guidance 
entitled ``510(k) Third-Party Review Program--Draft Guidance for 
Industry, Food and Drug Administration Staff, and Third-Party Review 
Organizations'' (81 FR 62744) issued on September 12, 2016.
    This draft guidance, when finalized, will supersede 
``Implementation of Third-Party Programs Under the FDA Modernization 
Act of 1997; Final Guidance for Staff, Industry, and Third Parties'' 
issued on February 2, 2001, and ``Guidance for Third Parties and FDA 
Staff; Third-Party Review of Premarket Notifications'' issued on 
September 28, 2004.

II. Significance of Guidance

    This draft guidance is being issued consistent with FDA's good 
guidance practices regulation (21 CFR 10.115). The draft guidance, when 
finalized, will represent the current thinking of FDA on the ``510(k) 
Third-Party Review Program.'' It does not establish any rights for any 
person and is not binding on FDA or the public. You can use an 
alternative approach if it satisfies the requirements of the applicable 
statutes and regulations. This guidance is not subject to Executive 
Order 12866.

III. Electronic Access

    Persons interested in obtaining a copy of the draft guidance may do 
so by downloading an electronic copy from the internet. A search 
capability for all Center for Devices and Radiological Health guidance 
documents is available at https://www.fda.gov/MedicalDevices/DeviceRegulationandGuidance/GuidanceDocuments/default.htm. This 
guidance document is also available at https://www.regulations.gov. 
Persons unable to download an electronic copy of ``510(k) Third-Party 
Review Program'' may send an email request to [email protected] 
to receive an electronic copy of the document. Please use the document 
number 17-028 to identify the guidance you are requesting.

IV. Paperwork Reduction Act of 1995

    Under the PRA (44 U.S.C. 3501-3520), Federal Agencies must obtain 
approval from the Office of Management and Budget (OMB) for each 
collection of information they conduct or sponsor. ``Collection of 
information'' is defined in 44 U.S.C. 3502(3) and 5 CFR 1320.3(c) and 
includes Agency requests or requirements that members of the public 
submit reports, keep records, or provide information to a third party. 
Section 3506(c)(2)(A) of the PRA (44 U.S.C. 3506(c)(2)(A)) requires 
Federal Agencies to provide a 60-day notice in the Federal Register 
concerning each proposed collection of information before submitting 
the collection to OMB for approval. To comply with this requirement, 
FDA is publishing notice of the proposed collection of information set 
forth in this document.
    With respect to the following collection of information, FDA 
invites comments on these topics: (1) Whether the proposed collection 
of information is necessary for the proper performance of FDA's 
functions, including whether the information will have practical 
utility; (2) the accuracy of FDA's estimate of the burden of the 
proposed collection of information, including the validity of the 
methodology and assumptions used; (3) ways to enhance the quality, 
utility, and clarity of the information to be collected; and (4) ways 
to minimize the burden of the collection of information on respondents, 
including through the use of automated collection techniques, when 
appropriate, and other forms of information technology.

[[Page 46744]]

510(k) Third-Party Review Program (Formerly Medical Devices; Third-
Party Review Under the Food and Drug Administration Modernization Act)

OMB Control Number 0910-0375--Revision

    Information collections (ICs) associated with the 510(k) Third-
Party Review Program have been approved under OMB control number 0910-
0375, ``Medical Devices; Third-Party Review Under the Food and Drug 
Administration Modernization Act.'' When finalized, the draft guidance 
entitled ``510(k) Third-Party Review Program; Draft Guidance for 
Industry, Food and Drug Administration Staff, and Third-Party Review 
Organizations'' will necessitate revisions to the burden estimates in 
OMB control number 0910-0375.
    Section 210 of the Food and Drug Administration Modernization Act 
(FDAMA) established section 523 of the FD&C Act (21 U.S.C. 360m), 
directing FDA to accredit persons in the private sector to review 
certain premarket notifications (510(k)s). Participation in this third-
party review program by accredited persons is entirely voluntary. A 
third party wishing to participate will submit a request for 
accreditation to FDA. Accredited third-party reviewers have the ability 
to review a manufacturer's 510(k) submission for selected devices. 
After reviewing a submission, the reviewer will forward a copy of the 
510(k) submission, along with the reviewer's documented review and 
recommendation, to FDA. Third-party reviewers should maintain records 
of their 510(k) reviews and a copy of the 510(k) for a reasonable 
period of time, usually a period of 3 years.
    Respondents to this information collection are businesses or other 
for-profit organizations.
    FDA estimates the burden of this IC as follows:

Estimated Annual Reporting Burden

    Requests for accreditation (initial): On average, the Agency has 
received one application for accreditation for 3P review per year. 
There is no change to this IC from the currently approved burden 
estimate.
    Requests for accreditation (re-recognition): We have added an IC 
for re-recognition requests to be consistent with the guidance which 
states that requests for re-recognition will be handled in the same 
manner as initial recognition requests. Based on the estimated number 
of 3P Review Organizations (7) and the frequency of re-recognition (3 
years), we expect to receive approximately 2 re-recognition requests 
per year. We expect the average burden per response to be the same as 
an initial request (24 hours).
    510(k) reviews conducted by accredited third parties: Based on 
FDA's recent experience with this program, we estimate the number of 
510(k)s submitted for third-party review to be 147 annually; 
approximately 21 annual reviews for each of the 7 3P Review 
Organizations. This IC has been adjusted based on current trends, 
however, there is no program change to this IC.
    Complaints: The guidance recommends that the 3P Review Organization 
should forward to FDA information on any complaint (e.g., 
whistleblowing) it receives about a 510(k) submitter that could 
indicate an issue related to the safety or effectiveness of a medical 
device or a public health risk. Therefore, we have added an IC for 
complaints to the reporting burden. We expect to receive one forwarded 
complaint per year. Based on similar information collections, we 
estimate the average burden per complaint to be 0.25 hours (15 
minutes).

                                 Table 1--Estimated Annual Reporting Burden \1\
----------------------------------------------------------------------------------------------------------------
                                                     Number of
            Activity                 Number of     responses per   Total annual   Average burden    Total hours
                                    respondents     respondent       responses     per response
----------------------------------------------------------------------------------------------------------------
Requests for accreditation                     1               1               1              24              24
 (initial) \3\..................
Requests for accreditation (re-                2               1               2              24              48
 recognition) \5\...............
510(k) reviews conducted by                    7              21             147              40           5,880
 accredited third parties \4\...
Complaints \5\..................               1               1               1            0.25               1
                                 -------------------------------------------------------------------------------
    Total.......................  ..............  ..............  ..............  ..............           5,952
----------------------------------------------------------------------------------------------------------------
\1\ There are no capital costs or operating and maintenance costs associated with this IC.
(15 minutes)

Estimated Annual Recordkeeping Burden

    510(k) Reviews: 3P Review Organizations should retain copies of all 
510(k) reviews and associated correspondence. Based on FDA's recent 
experience with this program, we estimate the number of 510(k)s 
submitted for 3P review to be 147 annually; approximately 21 annual 
reviews for each of the 7 3P Review Organizations. We estimate the 
average burden per recordkeeping to be 10 hours. The estimated number 
of records and recordkeepers have been adjusted based on current 
trends, however, there is no program change to this IC.
    Records regarding qualifications to receive FDA recognition as a 3P 
Review Organization: Under section 704(f) of the FD&C Act (21 U.S.C. 
374(f)), a 3P Review Organization must maintain records that support 
their initial and continuing qualifications to receive FDA recognition, 
including documentation of the training and qualifications of the 3P 
Review Organization and its personnel; the procedures used by the 3P 
Review Organization for handling confidential information; the 
compensation arrangements made by the 3P Review Organization; and the 
procedures used by the 3P Review Organization to identify and avoid 
conflicts of interest. Additionally, the draft guidance states that 3P 
Review Organizations should retain information on the identity and 
qualifications of all personnel who contributed to the technical review 
of each 510(k) submission and other relevant records. Therefore, we 
have added an IC for ``Records regarding qualification to receive FDA 
recognition as a 3P Review Organization.'' Because most of the burden 
of compiling the records is expressed in the reporting burden for 
requests for accreditation, we estimate the maintenance of such records 
to be 1 hour per recordkeeping annually.
    Recordkeeping system regarding complaints: Section 523(b)(3)(E)(iv) 
of the FD&C Act requires 3P Review Organizations to agree in writing 
that they will promptly respond and attempt to resolve complaints 
regarding their activities. The draft guidance

[[Page 46745]]

recommends that 3P Review Organizations establish a recordkeeping 
system for tracking the submission of those complaints and how those 
complaints were resolved, or attempted to be resolved. Therefore, we 
have added an IC for ``Recordkeeping system regarding complaints.'' 
Based on our experience with the program and the recommendations in the 
guidance, we estimate the average burden per recordkeeping to be 2 
hours.

                               Table 2--Estimated Annual Recordkeeping Burden \1\
----------------------------------------------------------------------------------------------------------------
                                                     Number of                    Average burden
            Activity                 Number of      records per    Total annual         per         Total hours
                                   recordkeepers   recordkeeper       records      recordkeeping
----------------------------------------------------------------------------------------------------------------
510(k) reviews \3\..............               7              21             147              10           1,470
Records regarding qualifications               7               1               7               1               7
 to receive FDA recognition as a
 3P Review Organization \4\.....
Recordkeeping system regarding                 7               1               7               2              14
 complaints \4\.................
                                 -------------------------------------------------------------------------------
    Total.......................  ..............  ..............  ..............  ..............           1,491
----------------------------------------------------------------------------------------------------------------
\1\ There are no capital costs or operating and maintenance costs associated with this IC.

    We revised our estimates for OMB control number 0910-0375 by adding 
new ICs, changing the title of the ICR, and adjusting the existing ICs 
based on current trends. Despite the addition of new ICs, the estimated 
burden reflects an overall decrease of 5,581 hours. We attribute this 
adjustment to a decrease in the number of submissions we received over 
the last few years.
    The draft guidance also refers to previously approved ICs found in 
FDA regulations. The ICs in 21 CFR part 807, subpart E have been 
approved under OMB control number 0910-0120; the ICs regarding 3P 
Review of medical devices under FDAMA have been approved under OMB 
control number 0910-0375; the ICs for the device appeals processes have 
been approved under OMB control number 0910-0738; the ICs in the 
guidance document ``Requests for Feedback on Medical Device 
Submissions: The Pre-Submission Program and Meetings with Food and Drug 
Administration Staff'' have been approved under OMB control number 
0910-0756.

    Dated: September 10, 2018.
Leslie Kux,
Associate Commissioner for Policy.
[FR Doc. 2018-19992 Filed 9-13-18; 8:45 am]
 BILLING CODE 4164-01-P



                                               46742                        Federal Register / Vol. 83, No. 179 / Friday, September 14, 2018 / Notices

                                               and rationales for withdrawing a                            • Title of the standard;                            of the device(s) or process(es), that
                                               standard. The guidance also provides                        • Any reference number and date;                    would be addressed by a declaration of
                                               that any interested party may request                       • Proposed list of devices for which                conformity.
                                               recognition of a standard. The draft                      a declaration of conformity should                      Based on previous requests for
                                               guidance recommends that for                              routinely apply;                                      recognition of standards, we estimate
                                               recognition of a standard the request                       • Basis for recognition, e.g., including            that FDA will receive nine requests
                                               should, at a minimum, contain the                         the scientific, technical, regulatory, or             annually. We estimate that each request
                                               following information:                                    other basis for such request; and                     will take less than 1 hour to prepare.
                                                 • Name and electronic or mailing                          • A brief identification of the testing               FDA estimates the burden of this
                                               address of the requestor;                                 or performance or other characteristics               collection of information as follows:

                                                                                                TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1
                                                                                                                                            Number of                              Average
                                                                                                                        Number of                             Total annual
                                                                            Activity                                                      responses per                          burden per   Total hours
                                                                                                                       respondents                             responses
                                                                                                                                            respondent                            response

                                               Request for recognition of a voluntary consensus standard                      9                   1                9                 1            9
                                                  1 There   are no capital costs or operating and maintenance costs associated with this collection of information.


                                               V. Reference                                              Industry, Food and Drug Administration                confidential information that you or a
                                                  The following reference is on display                  Staff, and Third-Party Review                         third party may not wish to be posted,
                                               with the Dockets Management Staff (see                    Organizations.’’ This draft guidance                  such as medical information, your or
                                               ADDRESSES) and is available for viewing
                                                                                                         provides a comprehensive look into                    anyone else’s Social Security number, or
                                               by interested persons between 9 a.m.                      FDA’s current thinking regarding the                  confidential business information, such
                                               and 4 p.m., Monday through Friday; it                     510(k) Third-Party (3P) Review Program                as a manufacturing process. Please note
                                               is also available electronically at https://              authorized under the Federal Food,                    that if you include your name, contact
                                               www.regulations.gov. FDA has verified                     Drug, and Cosmetic Act (FD&C Act).                    information, or other information that
                                               the website address, as of the date this                  Under the FDA Reauthorization Act of                  identifies you in the body of your
                                               document publishes in the Federal                         2017 (FDARA), FDA was directed to                     comments, that information will be
                                               Register, but websites are subject to                     issue draft guidance on the factors that              posted on https://www.regulations.gov.
                                               change over time.                                         will be used in determining whether a                   • If you want to submit a comment
                                                                                                         class I or class II device type, or subset            with confidential information that you
                                               1. OMB, ‘‘Federal Participation in the
                                                   Development and Use of Voluntary
                                                                                                         of such device types, is eligible for                 do not wish to be made available to the
                                                   Consensus Standards and in Conformity                 review by an accredited person. The 3P                public, submit the comment as a
                                                   Assessment Activities,’’ Circular A–119               Review Program is intended to allow                   written/paper submission and in the
                                                   (revised). January 22, 2016. Available at:            review of devices by 3P Review                        manner detailed (see ‘‘Written/Paper
                                                   https://www.nist.gov/sites/default/files/             Organizations to provide manufacturers                Submissions’’ and ‘‘Instructions’’).
                                                   revised_circular_a-119_as_of_01-22-                   of these devices an alternative review
                                                   2016.pdf.                                                                                                   Written/Paper Submissions
                                                                                                         process that allows FDA to best utilize
                                                 Dated: September 10, 2018.                              our resources on higher risk devices.                   Submit written/paper submissions as
                                               Leslie Kux,                                               This draft guidance is not final nor is it            follows:
                                               Associate Commissioner for Policy.                        in effect at this time.                                 • Mail/Hand Delivery/Courier (for
                                                                                                         DATES: Submit either electronic or                    written/paper submissions): Dockets
                                               [FR Doc. 2018–19993 Filed 9–13–18; 8:45 am]
                                                                                                         written comments on the draft guidance                Management Staff (HFA–305), Food and
                                               BILLING CODE 4164–01–P
                                                                                                         by December 13, 2018 to ensure that the               Drug Administration, 5630 Fishers
                                                                                                         Agency considers your comment on this                 Lane, Rm. 1061, Rockville, MD 20852.
                                               DEPARTMENT OF HEALTH AND                                  draft guidance before it begins work on                 • For written/paper comments
                                               HUMAN SERVICES                                            the final version of the guidance.                    submitted to the Dockets Management
                                                                                                         Submit either electronic or written                   Staff, FDA will post your comment, as
                                               Food and Drug Administration                              comments on the collection of                         well as any attachments, except for
                                                                                                         information by November 13, 2018.                     information submitted, marked and
                                               [Docket No. FDA–2016–D–2565]                                                                                    identified, as confidential, if submitted
                                                                                                         ADDRESSES: You may submit comments
                                                                                                         on any guidance at any time as follows:               as detailed in ‘‘Instructions.’’
                                               510(k) Third-Party Review Program;
                                                                                                                                                                 Instructions: All submissions received
                                               Draft Guidance for Industry, Food and                     Electronic Submissions                                must include the Docket No. FDA–
                                               Drug Administration Staff, and Third-
                                                                                                           Submit electronic comments in the                   2016–D–2565 for ‘‘510(k) Third-Party
                                               Party Review Organizations;
                                                                                                         following way:                                        Review Program.’’ Received comments
                                               Availability
                                                                                                           • Federal eRulemaking Portal:                       will be placed in the docket and, except
                                               AGENCY:      Food and Drug Administration,                https://www.regulations.gov. Follow the               for those submitted as ‘‘Confidential
                                               HHS.                                                      instructions for submitting comments.                 Submissions,’’ publicly viewable at
daltland on DSKBBV9HB2PROD with NOTICES




                                               ACTION:   Notice of availability.                         Comments submitted electronically,                    https://www.regulations.gov or at the
                                                                                                         including attachments, to https://                    Dockets Management Staff between 9
                                               SUMMARY:  The Food and Drug                               www.regulations.gov will be posted to                 a.m. and 4 p.m., Monday through
                                               Administration (FDA or Agency) is                         the docket unchanged. Because your                    Friday.
                                               announcing the availability of the draft                  comment will be made public, you are                    • Confidential Submissions—To
                                               guidance entitled ‘‘510(k) Third-Party                    solely responsible for ensuring that your             submit a comment with confidential
                                               Review Program; Draft Guidance for                        comment does not include any                          information that you do not wish to be


                                          VerDate Sep<11>2014    17:06 Sep 13, 2018    Jkt 244001   PO 00000   Frm 00045   Fmt 4703   Sfmt 4703   E:\FR\FM\14SEN1.SGM   14SEN1


                                                                           Federal Register / Vol. 83, No. 179 / Friday, September 14, 2018 / Notices                                         46743

                                               made publicly available, submit your                    Ave., Bldg. 66, Rm. 5659, Silver Spring,              and regulations. This guidance is not
                                               comments only as a written/paper                        MD 20993–0002, 240–402–6635.                          subject to Executive Order 12866.
                                               submission. You should submit two                       SUPPLEMENTARY INFORMATION:
                                               copies total. One copy will include the                                                                       III. Electronic Access
                                               information you claim to be confidential                I. Background
                                                                                                                                                                Persons interested in obtaining a copy
                                               with a heading or cover note that states                   FDA’s implementation of section 523                of the draft guidance may do so by
                                               ‘‘THIS DOCUMENT CONTAINS                                of the FD&C Act (21 U.S.C. 360m)
                                                                                                                                                             downloading an electronic copy from
                                               CONFIDENTIAL INFORMATION.’’ The                         establishes a process for recognition of
                                                                                                                                                             the internet. A search capability for all
                                               Agency will review this copy, including                 qualified third parties to conduct the
                                                                                                       initial review of premarket notification              Center for Devices and Radiological
                                               the claimed confidential information, in
                                                                                                       (510(k)) submissions for certain low-to-              Health guidance documents is available
                                               its consideration of comments. The
                                                                                                       moderate risk devices eligible under the              at https://www.fda.gov/MedicalDevices/
                                               second copy, which will have the
                                                                                                       3P Review Program. Under FDARA                        DeviceRegulationandGuidance/
                                               claimed confidential information
                                               redacted/blacked out, will be available                 (Pub. L. 115–52), the criteria used to                GuidanceDocuments/default.htm. This
                                               for public viewing and posted on                        establish device eligibility in the 3P                guidance document is also available at
                                               https://www.regulations.gov. Submit                     Review Program changed and FDA was                    https://www.regulations.gov. Persons
                                               both copies to the Dockets Management                   directed to issue draft guidance on the               unable to download an electronic copy
                                               Staff. If you do not wish your name and                 factors that will be used in determining              of ‘‘510(k) Third-Party Review Program’’
                                               contact information to be made publicly                 whether a class I or class II device type,            may send an email request to CDRH-
                                               available, you can provide this                         or subset of such device types, is                    Guidance@fda.hhs.gov to receive an
                                               information on the cover sheet and not                  eligible for review by an accredited                  electronic copy of the document. Please
                                               in the body of your comments and you                    person. The objectives of this draft                  use the document number 17–028 to
                                               must identify this information as                       guidance are: (1) To describe the factors             identify the guidance you are
                                               ‘‘confidential.’’ Any information marked                FDA will use in determining device                    requesting.
                                               as ‘‘confidential’’ will not be disclosed               type eligibility for review by 3P Review
                                                                                                       Organizations; (2) to outline FDA’s                   IV. Paperwork Reduction Act of 1995
                                               except in accordance with 21 CFR 10.20
                                               and other applicable disclosure law. For                process for the recognition, re-                         Under the PRA (44 U.S.C. 3501–
                                               more information about FDA’s posting                    recognition, suspension, and                          3520), Federal Agencies must obtain
                                               of comments to public dockets, see 80                   withdrawal of recognition for 3P Review
                                                                                                                                                             approval from the Office of Management
                                               FR 56469, September 18, 2015, or access                 Organizations; and (3) to ensure
                                                                                                                                                             and Budget (OMB) for each collection of
                                               the information at: https://www.gpo.gov/                consistent quality of work among 3P
                                                                                                                                                             information they conduct or sponsor.
                                               fdsys/pkg/FR-2015-09-18/pdf/2015-                       Review Organizations through Medical
                                                                                                                                                             ‘‘Collection of information’’ is defined
                                               23389.pdf.                                              Device User Fee Amendments IV
                                                                                                       commitments authorized under FDARA.                   in 44 U.S.C. 3502(3) and 5 CFR
                                                  Docket: For access to the docket to                                                                        1320.3(c) and includes Agency requests
                                               read background documents or the                        This draft guidance also outlines FDA’s
                                                                                                       current thinking on leveraging the                    or requirements that members of the
                                               electronic and written/paper comments                                                                         public submit reports, keep records, or
                                               received, go to https://                                International Medical Device Regulators
                                                                                                       Forum’s requirements for the Medical                  provide information to a third party.
                                               www.regulations.gov and insert the                                                                            Section 3506(c)(2)(A) of the PRA (44
                                               docket number, found in brackets in the                 Device Single Audit Program.
                                                                                                          Upon issuance, this draft guidance                 U.S.C. 3506(c)(2)(A)) requires Federal
                                               heading of this document, into the                                                                            Agencies to provide a 60-day notice in
                                                                                                       will replace the draft guidance entitled
                                               ‘‘Search’’ box and follow the prompts                                                                         the Federal Register concerning each
                                                                                                       ‘‘510(k) Third-Party Review Program—
                                               and/or go to the Dockets Management                                                                           proposed collection of information
                                                                                                       Draft Guidance for Industry, Food and
                                               Staff, 5630 Fishers Lane, Rm. 1061,                                                                           before submitting the collection to OMB
                                                                                                       Drug Administration Staff, and Third-
                                               Rockville, MD 20852.                                                                                          for approval. To comply with this
                                                                                                       Party Review Organizations’’ (81 FR
                                                  You may submit comments on any
                                                                                                       62744) issued on September 12, 2016.                  requirement, FDA is publishing notice
                                               guidance at any time (see 21 CFR                           This draft guidance, when finalized,               of the proposed collection of
                                               10.115(g)(5)).                                          will supersede ‘‘Implementation of                    information set forth in this document.
                                                  An electronic copy of the guidance                   Third-Party Programs Under the FDA
                                               document is available for download                                                                               With respect to the following
                                                                                                       Modernization Act of 1997; Final                      collection of information, FDA invites
                                               from the internet. See the                              Guidance for Staff, Industry, and Third
                                               SUPPLEMENTARY INFORMATION section for                                                                         comments on these topics: (1) Whether
                                                                                                       Parties’’ issued on February 2, 2001, and
                                               information on electronic access to the                                                                       the proposed collection of information
                                                                                                       ‘‘Guidance for Third Parties and FDA
                                               guidance. Submit written requests for a                                                                       is necessary for the proper performance
                                                                                                       Staff; Third-Party Review of Premarket
                                               single hard copy of the draft guidance                                                                        of FDA’s functions, including whether
                                                                                                       Notifications’’ issued on September 28,
                                               document entitled ‘‘510(k) Third-Party                                                                        the information will have practical
                                                                                                       2004.
                                               Review Program’’ to the Office of the                                                                         utility; (2) the accuracy of FDA’s
                                               Center Director, Guidance and Policy                    II. Significance of Guidance                          estimate of the burden of the proposed
                                               Development, Center for Devices and                        This draft guidance is being issued                collection of information, including the
                                               Radiological Health, Food and Drug                      consistent with FDA’s good guidance                   validity of the methodology and
                                               Administration, 10903 New Hampshire                     practices regulation (21 CFR 10.115).                 assumptions used; (3) ways to enhance
                                               Ave., Bldg. 66, Rm. 5431, Silver Spring,                The draft guidance, when finalized, will              the quality, utility, and clarity of the
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                                               MD 20993–0002. Send one self-                           represent the current thinking of FDA                 information to be collected; and (4)
                                               addressed adhesive label to assist that                 on the ‘‘510(k) Third-Party Review                    ways to minimize the burden of the
                                               office in processing your request.                      Program.’’ It does not establish any                  collection of information on
                                               FOR FURTHER INFORMATION CONTACT:                        rights for any person and is not binding              respondents, including through the use
                                               Gregory Pishko, Center for Devices and                  on FDA or the public. You can use an                  of automated collection techniques,
                                               Radiological Health, Food and Drug                      alternative approach if it satisfies the              when appropriate, and other forms of
                                               Administration, 10903 New Hampshire                     requirements of the applicable statutes               information technology.


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                                               46744                                Federal Register / Vol. 83, No. 179 / Friday, September 14, 2018 / Notices

                                               510(k) Third-Party Review Program                                          FDA. Accredited third-party reviewers                                       Organizations (7) and the frequency of
                                               (Formerly Medical Devices; Third-Party                                     have the ability to review a                                                re-recognition (3 years), we expect to
                                               Review Under the Food and Drug                                             manufacturer’s 510(k) submission for                                        receive approximately 2 re-recognition
                                               Administration Modernization Act)                                          selected devices. After reviewing a                                         requests per year. We expect the average
                                                                                                                          submission, the reviewer will forward a                                     burden per response to be the same as
                                               OMB Control Number 0910–0375—
                                                                                                                          copy of the 510(k) submission, along                                        an initial request (24 hours).
                                               Revision
                                                                                                                          with the reviewer’s documented review                                          510(k) reviews conducted by
                                                 Information collections (ICs)                                            and recommendation, to FDA. Third-                                          accredited third parties: Based on FDA’s
                                               associated with the 510(k) Third-Party                                     party reviewers should maintain records                                     recent experience with this program, we
                                               Review Program have been approved                                          of their 510(k) reviews and a copy of the                                   estimate the number of 510(k)s
                                               under OMB control number 0910–0375,                                        510(k) for a reasonable period of time,                                     submitted for third-party review to be
                                               ‘‘Medical Devices; Third-Party Review                                      usually a period of 3 years.                                                147 annually; approximately 21 annual
                                               Under the Food and Drug                                                      Respondents to this information                                           reviews for each of the 7 3P Review
                                               Administration Modernization Act.’’                                        collection are businesses or other for-                                     Organizations. This IC has been
                                               When finalized, the draft guidance                                         profit organizations.                                                       adjusted based on current trends,
                                               entitled ‘‘510(k) Third-Party Review                                         FDA estimates the burden of this IC                                       however, there is no program change to
                                               Program; Draft Guidance for Industry,                                      as follows:                                                                 this IC.
                                               Food and Drug Administration Staff,                                                                                                                       Complaints: The guidance
                                               and Third-Party Review Organizations’’                                     Estimated Annual Reporting Burden                                           recommends that the 3P Review
                                               will necessitate revisions to the burden                                     Requests for accreditation (initial): On                                  Organization should forward to FDA
                                               estimates in OMB control number 0910–                                      average, the Agency has received one                                        information on any complaint (e.g.,
                                               0375.                                                                      application for accreditation for 3P                                        whistleblowing) it receives about a
                                                 Section 210 of the Food and Drug                                         review per year. There is no change to                                      510(k) submitter that could indicate an
                                               Administration Modernization Act                                           this IC from the currently approved                                         issue related to the safety or
                                               (FDAMA) established section 523 of the                                     burden estimate.                                                            effectiveness of a medical device or a
                                               FD&C Act (21 U.S.C. 360m), directing                                         Requests for accreditation (re-                                           public health risk. Therefore, we have
                                               FDA to accredit persons in the private                                     recognition): We have added an IC for                                       added an IC for complaints to the
                                               sector to review certain premarket                                         re-recognition requests to be consistent                                    reporting burden. We expect to receive
                                               notifications (510(k)s). Participation in                                  with the guidance which states that                                         one forwarded complaint per year.
                                               this third-party review program by                                         requests for re-recognition will be                                         Based on similar information
                                               accredited persons is entirely voluntary.                                  handled in the same manner as initial                                       collections, we estimate the average
                                               A third party wishing to participate will                                  recognition requests. Based on the                                          burden per complaint to be 0.25 hours
                                               submit a request for accreditation to                                      estimated number of 3P Review                                               (15 minutes).

                                                                                                             TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1
                                                                                                                                                                         Number of                                                Average
                                                                                                                                              Number of                                            Total annual
                                                                                      Activity                                                                         responses per                                            burden per              Total hours
                                                                                                                                             respondents                                            responses
                                                                                                                                                                         respondent                                              response

                                               Requests for accreditation (initial) 3 .....................................                                       1                         1                         1                         24                24
                                               Requests for accreditation (re-recognition) 5 .......................                                              2                         1                         2                         24                48
                                               510(k) reviews conducted by accredited third parties 4 .......                                                     7                        21                       147                         40             5,880
                                               Complaints 5 .........................................................................                             1                         1                         1                       0.25                 1

                                                     Total ..............................................................................   ........................   ........................   ........................   ........................          5,952
                                                  1 Thereare no capital costs or operating and maintenance costs associated with this IC.
                                                  (15 minutes)


                                               Estimated Annual Recordkeeping                                             Organization: Under section 704(f) of                                       contributed to the technical review of
                                               Burden                                                                     the FD&C Act (21 U.S.C. 374(f)), a 3P                                       each 510(k) submission and other
                                                                                                                          Review Organization must maintain                                           relevant records. Therefore, we have
                                                  510(k) Reviews: 3P Review
                                                                                                                          records that support their initial and                                      added an IC for ‘‘Records regarding
                                               Organizations should retain copies of all
                                               510(k) reviews and associated                                              continuing qualifications to receive FDA                                    qualification to receive FDA recognition
                                               correspondence. Based on FDA’s recent                                      recognition, including documentation of                                     as a 3P Review Organization.’’ Because
                                               experience with this program, we                                           the training and qualifications of the 3P                                   most of the burden of compiling the
                                               estimate the number of 510(k)s                                             Review Organization and its personnel;                                      records is expressed in the reporting
                                               submitted for 3P review to be 147                                          the procedures used by the 3P Review                                        burden for requests for accreditation, we
                                               annually; approximately 21 annual                                          Organization for handling confidential                                      estimate the maintenance of such
                                               reviews for each of the 7 3P Review                                        information; the compensation                                               records to be 1 hour per recordkeeping
                                               Organizations. We estimate the average                                     arrangements made by the 3P Review                                          annually.
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                                               burden per recordkeeping to be 10                                          Organization; and the procedures used                                         Recordkeeping system regarding
                                               hours. The estimated number of records                                     by the 3P Review Organization to                                            complaints: Section 523(b)(3)(E)(iv) of
                                               and recordkeepers have been adjusted                                       identify and avoid conflicts of interest.                                   the FD&C Act requires 3P Review
                                               based on current trends, however, there                                    Additionally, the draft guidance states                                     Organizations to agree in writing that
                                               is no program change to this IC.                                           that 3P Review Organizations should                                         they will promptly respond and attempt
                                                  Records regarding qualifications to                                     retain information on the identity and                                      to resolve complaints regarding their
                                               receive FDA recognition as a 3P Review                                     qualifications of all personnel who                                         activities. The draft guidance


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                                                                                    Federal Register / Vol. 83, No. 179 / Friday, September 14, 2018 / Notices                                                                                              46745

                                               recommends that 3P Review                                                  complaints were resolved, or attempted                                      experience with the program and the
                                               Organizations establish a recordkeeping                                    to be resolved. Therefore, we have                                          recommendations in the guidance, we
                                               system for tracking the submission of                                      added an IC for ‘‘Recordkeeping system                                      estimate the average burden per
                                               those complaints and how those                                             regarding complaints.’’ Based on our                                        recordkeeping to be 2 hours.

                                                                                                        TABLE 2—ESTIMATED ANNUAL RECORDKEEPING BURDEN 1
                                                                                                                                                                          Number of                                             Average
                                                                                                                                              Number of                                            Total annual
                                                                                      Activity                                                                           records per                                           burden per               Total hours
                                                                                                                                            recordkeepers                                            records
                                                                                                                                                                        recordkeeper                                         recordkeeping

                                               510(k) reviews 3 ...................................................................                               7                        21                       147                          10            1,470
                                               Records regarding qualifications to receive FDA recogni-
                                                 tion as a 3P Review Organization 4 .................................                                            7                          1                          7                          1                7
                                               Recordkeeping system regarding complaints 4 ...................                                                   7                          1                          7                          2               14

                                                     Total ..............................................................................   ........................   ........................   ........................   ........................          1,491
                                                  1 There    are no capital costs or operating and maintenance costs associated with this IC.


                                                  We revised our estimates for OMB                                        SUMMARY:   The Food and Drug                                                that if you include your name, contact
                                               control number 0910–0375 by adding                                         Administration (FDA or Agency) is                                           information, or other information that
                                               new ICs, changing the title of the ICR,                                    announcing the availability of                                              identifies you in the body of your
                                               and adjusting the existing ICs based on                                    additional draft and revised draft                                          comments, that information will be
                                               current trends. Despite the addition of                                    product-specific guidances. The                                             posted on https://www.regulations.gov.
                                               new ICs, the estimated burden reflects                                     guidances provide product-specific                                            • If you want to submit a comment
                                               an overall decrease of 5,581 hours. We                                     recommendations on, among other                                             with confidential information that you
                                               attribute this adjustment to a decrease in                                 things, the design of bioequivalence                                        do not wish to be made available to the
                                               the number of submissions we received                                      (BE) studies to support abbreviated new                                     public, submit the comment as a
                                               over the last few years.                                                   drug applications (ANDAs). In the                                           written/paper submission and in the
                                                  The draft guidance also refers to                                       Federal Register of June 11, 2010, FDA                                      manner detailed (see ‘‘Written/Paper
                                               previously approved ICs found in FDA                                       announced the availability of a guidance                                    Submissions’’ and ‘‘Instructions’’).
                                               regulations. The ICs in 21 CFR part 807,                                   for industry entitled ‘‘Bioequivalence                                      Written/Paper Submissions
                                               subpart E have been approved under                                         Recommendations for Specific
                                               OMB control number 0910–0120; the                                          Products’’ that explained the process                                          Submit written/paper submissions as
                                               ICs regarding 3P Review of medical                                         that would be used to make product-                                         follows:
                                               devices under FDAMA have been                                              specific guidances available to the                                            • Mail/Hand delivery/Courier (for
                                               approved under OMB control number                                          public on FDA’s website. The guidances                                      written/paper submissions): Dockets
                                               0910–0375; the ICs for the device                                          identified in this notice were developed                                    Management Staff (HFA–305), Food and
                                               appeals processes have been approved                                       using the process described in that                                         Drug Administration, 5630 Fishers
                                               under OMB control number 0910–0738;                                        guidance.                                                                   Lane, Rm. 1061, Rockville, MD 20852.
                                               the ICs in the guidance document                                                                                                                          • For written/paper comments
                                                                                                                          DATES:  Submit either electronic or                                         submitted to the Dockets Management
                                               ‘‘Requests for Feedback on Medical                                         written comments on the draft guidance
                                               Device Submissions: The Pre-                                                                                                                           Staff, FDA will post your comment, as
                                                                                                                          by November 13, 2018 to ensure that the                                     well as any attachments, except for
                                               Submission Program and Meetings with                                       Agency considers your comment on this
                                               Food and Drug Administration Staff’’                                                                                                                   information submitted, marked and
                                                                                                                          draft guidance before it begins work on                                     identified, as confidential, if submitted
                                               have been approved under OMB control                                       the final version of the guidance.
                                               number 0910–0756.                                                                                                                                      as detailed in ‘‘Instructions.’’
                                                                                                                          ADDRESSES: You may submit comments                                             Instructions: All submissions received
                                                 Dated: September 10, 2018.                                               on any guidance at any time as follows:                                     must include the Docket No. FDA–
                                               Leslie Kux,                                                                                                                                            2007–D–0369 for ‘‘Product-Specific
                                               Associate Commissioner for Policy.                                         Electronic Submissions
                                                                                                                                                                                                      Guidances; Draft and Revised Draft
                                               [FR Doc. 2018–19992 Filed 9–13–18; 8:45 am]                                  Submit electronic comments in the                                         Guidances for Industry.’’ Received
                                               BILLING CODE 4164–01–P                                                     following way:                                                              comments will be placed in the docket
                                                                                                                            • Federal eRulemaking Portal:                                             and, except for those submitted as
                                                                                                                          https://www.regulations.gov. Follow the                                     ‘‘Confidential Submissions,’’ publicly
                                               DEPARTMENT OF HEALTH AND                                                   instructions for submitting comments.                                       viewable at https://www.regulations.gov
                                               HUMAN SERVICES                                                             Comments submitted electronically,                                          or at the Dockets Management Staff
                                                                                                                          including attachments, to https://                                          between 9 a.m. and 4 p.m., Monday
                                               Food and Drug Administration                                               www.regulations.gov will be posted to                                       through Friday.
                                                                                                                          the docket unchanged. Because your                                             • Confidential Submissions—To
                                               [Docket No. FDA–2007–D–0369]                                               comment will be made public, you are                                        submit a comment with confidential
                                                                                                                          solely responsible for ensuring that your                                   information that you do not wish to be
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                                               Product-Specific Guidances; Draft and                                      comment does not include any                                                made publicly available, submit your
                                               Revised Draft Guidances for Industry;                                      confidential information that you or a                                      comments only as a written/paper
                                               Availability                                                               third party may not wish to be posted,                                      submission. You should submit two
                                               AGENCY:       Food and Drug Administration,                                such as medical information, your or                                        copies total. One copy will include the
                                               HHS.                                                                       anyone else’s Social Security number, or                                    information you claim to be confidential
                                                                                                                          confidential business information, such                                     with a heading or cover note that states
                                               ACTION:      Notice of availability.
                                                                                                                          as a manufacturing process. Please note                                     ‘‘THIS DOCUMENT CONTAINS


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Document Created: 2018-09-14 03:03:55
Document Modified: 2018-09-14 03:03:55
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 of availability.
DatesSubmit either electronic or written comments on the draft guidance by December 13, 2018 to ensure that the Agency considers your comment on this draft guidance before it begins work on the final version of the guidance. Submit either electronic or written comments on the collection of information by November 13, 2018.
ContactGregory Pishko, Center for Devices and Radiological Health, Food and Drug Administration, 10903 New Hampshire Ave., Bldg. 66, Rm. 5659, Silver Spring, MD 20993-0002, 240-402-6635.
FR Citation83 FR 46742 

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