
[Federal Register: August 1, 2008 (Volume 73, Number 149)]
[Notices]               
[Page 45014-45017]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr01au08-75]                         

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2008-N-0420]

 
Medical Device User Fee Rates for Fiscal Year 2009

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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SUMMARY: The Food and Drug Administration (FDA) is publishing the fee 
rates and payment procedures for medical device user fees for fiscal 
year (FY) 2009. The Federal Food, Drug, and Cosmetic Act (the act), as 
amended by the Medical Device User Fee and Modernization Act of 2002 
(MDUFMA), the Medical Device User Fee Stabilization Act of 2005 
(MDUFSA), and the Medical Device User Fee Amendments of 2007 (Title II 
of the Food and Drug Administration Amendments Act of 2007 (FDAAA)), 
authorizes FDA to collect user fees for certain medical device 
submissions, and annual fees both for certain periodic reports and for 
certain establishments subject to registration. The FY 2009 fee rates 
are provided in this notice. These fees apply from October 1, 2008, 
through September 30, 2009. To avoid delay in the review of your 
application, you should pay the fee before or at the time you submit 
your application to FDA. The fee you must pay is the fee that is in 
effect on the later of the date that your application is received by 
FDA or the date your fee payment is received. If you want to pay a 
reduced small business fee, you must qualify as a small business before 
you make your submission to FDA; if you do not qualify as a small 
business before you make your submission to FDA, you will have to pay 
the higher standard fee. This notice provides information on how the 
fees for FY 2009 were determined, the payment procedures you should 
follow, and how you may qualify for reduced small business fees.

FOR FURTHER INFORMATION CONTACT: For information on MDUFMA: Visit FDA's 
Web site, http://www.fda.gov/cdrh/mdufma.
    For questions relating to this notice: David Miller, Office of 
Financial Management (HFA-100), Food and Drug Administration, 5600 
Fishers Lane, Rockville, MD 20857, 301-827-3917.

SUPPLEMENTARY INFORMATION:

I. Background

    Section 738 of the act (21 U.S.C. 379j) establishes fees for 
certain medical device applications, submissions, supplements, and 
notices (for simplicity, this notice refers to these collectively as 
``submissions''); for periodic reporting on class III devices; and for 
the registration of certain establishments. Under statutorily-defined 
conditions, a qualified applicant may receive a fee waiver or may pay a 
lower small business fee (see 21 U.S.C. 379j(d) and (e)).
    Under the act, the fee rate for each type of submission is set at a 
specified percentage of the standard fee for a premarket application (a 
premarket application is a premarket approval application (PMA), a 
product development protocol (PDP), or a biologics licensing 
application (BLA)). The act specifies the standard fee for a premarket 
application for each year from FY 2008 through FY 2012; the standard 
fee for a premarket application received by FDA during FY 2009 is 
$200,725. From this starting point, this notice establishes FY 2009 fee 
rates for other types of submissions, and for periodic reporting, by 
applying criteria specified in the act.
    The act specifies the annual fee for establishment registration for 
each year from FY 2008 through FY 2012; the registration fee for FY 
2009 is $1,851. There is no reduction in the registration fee for small 
businesses. An establishment must pay the registration fee if it is any 
of the following types of establishments:
     Manufacturer. An establishment that makes by any means any 
article that is a device, including an establishment that sterilizes or 
otherwise makes such article for or on behalf of a specification 
developer or any other person.
     Single-Use Device Reprocessor. An establishment that 
performs manufacturing operations on a single-use device that has 
previously been used on a patient.
     Specification Developer. An establishment that develops 
specifications for a device that is distributed under the 
establishment's name but which performs no manufacturing, including an 
establishment that, in addition to developing specifications, also 
arranges for the manufacturing of devices labeled with another 
establishment's name by a contract manufacturer.
    The fees for FY 2009 go into effect on October 1, 2008, and will 
remain in effect through September 30, 2009.

II. Fees for FY 2009

    Under the act, all submission fees and the periodic reporting fee 
are set as a percent of the standard (full) fee for a premarket 
application (see 21 U.S.C. 379j(a)(2)(A)), and the act sets the

[[Page 45015]]

standard fee for a premarket application, including a biologic 
licensing application (BLA) and a premarket report, at $200,725 for FY 
2009 (see 21 U.S.C. 379j(b); this is referred to as the ``base fee''). 
The fees set by reference to the base fee are--
     For a panel-track supplement, 75 percent of the base fee;
     For a 180-day supplement, 15 percent of the base fee;
     For a real-time supplement, 7 percent of the base fee;
     For a 30-day notice, 1.6 percent of the base fee;
     For a 510(k) premarket notification, 1.84 percent of the 
base fee;
     For a 513(g) request for classification information, 1.35 
percent of the base fee; and
     For an annual fee for periodic reporting concerning a 
class III device, 3.5 percent of the base fee.
    For all submissions other than a 510(k) premarket notification, a 
30-day notice, and a 513(g) request for classification information, the 
small business fee is 25 percent of the standard (full) fee (see 21 
U.S.C. 379j(d)(2)(C)). For a 510(k) premarket notification submission, 
a 30-day notice, and a 513(g) request for classification information, 
the small business fee is 50 percent of the standard (full) fee (see 21 
U.S.C. 379j(e)(2)(C)). There is no small business rate for the annual 
establishment registration fee; all establishments pay the same fee. 
Table 1 of this document sets out the FY 2009 rates for all medical 
device fees.

                                    Table 1--Medical Device Fees for FY 2009
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                                                            Standard Fee, as a
                                                              Percent of the          FY 2009      FY 2009 Small
                  Application Fee Type                      Standard Fee for a     Standard Fee    Business Fee
                                                          Premarket  Application
----------------------------------------------------------------------------------------------------------------
Premarket application (a PMA submitted under section         Set in statute             $200,725         $50,181
 515(c)(1) of the act (21 U.S.C. 360e(c)(1)), a PDP
 submitted under section 515(f) of the act, or a BLA
 submitted under section 351 of the Public Health
 Service (PHS) Act (42 U.S.C. 262))
----------------------------------------------------------------------------------------------------------------
Premarket report (submitted under section 515(c)(2) of                  100%            $200,725         $50,181
 the act)
----------------------------------------------------------------------------------------------------------------
Efficacy supplement (to an approved BLA under section                   100%            $200,725         $50,181
 351 of the PHS Act)
----------------------------------------------------------------------------------------------------------------
Panel-track supplement                                                   75%            $150,544         $37,636
----------------------------------------------------------------------------------------------------------------
180-day supplement                                                       15%             $30,109          $7,527
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Real-time supplement                                                      7%             $14,051          $3,513
----------------------------------------------------------------------------------------------------------------
510(k) premarket notification submission                               1.84%              $3,693          $1,847
----------------------------------------------------------------------------------------------------------------
30-day notice                                                           1.6%              $3,212          $1,606
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513(g) request for classification information                          1.35%              $2,710          $1,355
----------------------------------------------------------------------------------------------------------------
Annual Fee Type
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Annual fee for periodic reporting on a class III device                 3.5%              $7,025          $1,756
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Annual establishment registration fee (to be paid by         Set in statute               $1,851          $1,851
 each establishment that is a manufacturer, a single-use
 device reprocessor, or a specification developer, as
 defined by 21 U.S.C. 379i(13))
----------------------------------------------------------------------------------------------------------------

III. How to Qualify as a Small Business for Purposes of Medical Device 
Fees

    If your business has gross receipts or sales of no more than $100 
million for the most-recent tax year, you may qualify for reduced small 
business fees. If your business has gross sales or receipts of no more 
than $30 million, you may also qualify for a waiver of the fee for your 
first premarket application (PMA, PDP, or BLA) or premarket report. You 
must include the gross receipts or sales of all of your affiliates 
along with your own gross receipts or sales when determining whether 
you meet the $100 million or $30 million threshold. If you want to pay 
the small business fee rate for a submission, or you want to receive a 
waiver of the fee for your first premarket application or premarket 
report, you should submit the materials showing you qualify as a small 
business 60 days before you send your submission to FDA. If you make a 
submission before FDA finds that you qualify as a small business, you 
must pay the standard fee for that submission.
    If your business qualified as a small business for FY 2008, your 
status as a small business will expire at the close of business on 
September 30, 2008. You must re-qualify for FY 2009 in order to pay 
small business fees during FY 2009.
    If you are a domestic (U.S.) business, and wish to qualify as a 
small business for FY 2009, you must submit the following to FDA:
    (1) A completed FY 2009 MDUFMA Small Business Qualification 
Certification (Form FDA 3602). This form is provided in FDA's guidance 
document, ``FY 2009 Medical Device User Fee Small Business 
Qualification and Certification,'' available on FDA's Internet site at 
http://www.fda.gov/cdrh/mdufma. This form is not available separate 
from the guidance document.
    (2) A certified copy of your Federal (U.S.) Income Tax Return for 
the most recent tax year. The most recent tax year will be 2008, 
except--
     If you submit your FY 2009 MDUFMA Small Business 
Qualification before April 15, 2009, and you have not yet filed your 
return for 2008, you may use tax year 2007.
     If you submit your FY 2009 MDUFMA Small Business 
Qualification on or after April 15, 2008, and have not yet filed your 
2008 return because you obtained an extension, you may submit

[[Page 45016]]

your most-recent return filed prior to the extension.
    (3) For each of your affiliates, either--
     If the affiliate is a domestic (U.S.) business, a 
certified copy of the affiliate's Federal (U.S.) income tax return for 
the most recent tax year, or
     If the affiliate is a foreign business and cannot submit a 
Federal (U.S.) Income Tax Return, a National Taxing Authority 
Certification completed by, and bearing the official seal of, the 
National Taxing Authority of the country in which the firm is 
headquartered. This certification must show the amount of gross 
receipts or sales for the most recent tax year, in both U.S. dollars 
and the local currency of the country, the exchange rate used in 
converting the local currency to U.S. dollars, and the dates of the 
gross receipts or sales collected. The applicant should also submit a 
statement signed by the head of the applicant's firm or by its chief 
financial officer that the applicant has submitted certifications for 
all of its affiliates, identifying the name(s) of each affiliate(s), or 
that the applicant has no affiliates. The National Taxing Authority is 
the foreign equivalent of the U.S. Internal Revenue Service.
    If you are a foreign business, and wish to qualify as a small 
business for FY 2009, you must submit the following:
    (1) A completed FY 2009 MDUFMA Foreign Small Business Qualification 
Certification (Form FDA 3602A). This form is provided in FDA's guidance 
document, ``FY 2009 Medical Device User Fee Small Business 
Qualification and Certification,'' available on FDA's Internet site at 
http://www.fda.gov/cdrh/mdufma. This form is not available separate 
from the guidance document.
    (2) A National Taxing Authority Certification, completed by, and 
bearing the official seal of, the National Taxing Authority of the 
country in which the firm is headquartered. This Certification must 
show the amount of gross receipts or sales for the most recent tax 
year, in both U.S. dollars and the local currency of the country, the 
exchange rate used in converting the local currency to U.S. dollars, 
and the dates of the gross receipts or sales collected.
    (3) For each of your affiliates, either--
     If the affiliate is a domestic (U.S.) business, a 
certified copy of the affiliate's Federal (U.S.) Income Tax Return for 
the most recent tax year (2007 or later), or
     If the affiliate is a foreign business and cannot submit a 
Federal (U.S.) Income Tax Return, a National Taxing Authority 
Certification completed by, and bearing the official seal of, the 
National Taxing Authority of the country in which the firm is 
headquartered. This certification must show the amount of gross 
receipts or sales for the most recent tax year, in both U.S. dollars 
and the local currency of the country, the exchange rate used in 
converting the local currency to U.S. dollars, and the dates for the 
gross receipts or sales collected. The applicant should also submit a 
statement signed by the head of the applicant's firm or by its chief 
financial officer that the applicant has submitted certifications for 
all of its affiliates, identifying the name(s) of each affiliate(s), or 
that the applicant has no affiliates. The National Taxing Authority is 
the foreign equivalent of the U.S. Internal Revenue Service.

IV. Procedures for Paying Application and Annual Report Fees

    If your application or submission is subject to a fee and is 
received by FDA from October 1, 2008 through September 30, 2009, you 
must pay the fee in effect for FY 2009. The later of the date that the 
application or annual report is received in the reviewing center's 
document room or the date that the check is received by U.S. Bank 
determines whether the fee rates for FY 2008 or FY 2009 apply. FDA must 
receive the correct fee at the time that an application or annual 
report is submitted, or the application or annual report will not be 
accepted for filing or review.
    FDA requests that you follow the steps below before submitting a 
medical device application or annual report subject to a fee. Please 
pay close attention to these procedures to ensure that FDA links the 
fee with the correct application. (Note: In no case should the check 
for the fee be submitted to FDA with the application.)

A. Step One--Secure a Payment Identification Number (PIN) and Medical 
Device User Fee Cover Sheet From FDA Before Submitting Either the 
Application or the Payment (Note: Both the FY 2008 and FY 2009 fee 
rates will be available on the Cover Sheet Web Site beginning on the 
date of publication of this notice, and the FY 2008 rates will no 
longer appear after September 30, 2008.)

    Log onto the MDUFMA Web site at http://www.fda.gov/oc/mdufma and, 
under the forms heading, click on the link ``User Fee Cover Sheet.'' 
Complete the Medical Device User Fee Cover Sheet. Be sure you choose 
the correct application submission date range. (Two choices will be 
offered until October 1, 2008. One choice is for applications that will 
be received on or before September 30, 2008, which will be subject to 
FY 2008 fee rates. A second choice is for applications that will be 
received on or after October 1, 2008, which will be subject to FY 2009 
fee rates.) After completing data entry, print a copy of the Medical 
Device User Fee Cover Sheet and note the unique PIN located in the 
upper right-hand corner of the printed cover sheet.

B. Step Two--Electronically Transmit a Copy of the Printed Cover Sheet 
With the PIN to FDA's Office of Financial Management

    Once you are satisfied that the data on the cover sheet is 
accurate, electronically transmit that data to FDA according to 
instructions on the screen. Since electronic transmission is possible, 
applicants are required to set up a user account and use passwords to 
assure data security in the creation and electronic submission of cover 
sheets.

C. Step Three--Mail Payment and a Copy of the Completed Medical Device 
User Fee Cover Sheet to the St. Louis Address Specified in This Section

     Make the payment in U. S. currency by check, bank draft, 
or U.S. Postal money order payable to the Food and Drug Administration. 
(FDA's tax identification number is 53-0196965, should your accounting 
department need this information.)
     Please write your application's unique PIN, from the upper 
right-hand corner of your completed Medical Device User Fee Cover 
Sheet, on your check, bank draft, or U.S. Postal money order.
     Mail the payment and a copy of the completed Medical 
Device User Fee Cover Sheet to: Food and Drug Administration, P.O. Box 
956733, St. Louis, MO, 63195-6733.
(Note: This address is for payments of application and annual report 
fees only and is not to be used for payment of annual establishment 
registration fees.)
    If you prefer to send a check by a courier (such as FEDEX, DHL, 
UPS, etc.), the courier may deliver the check to: U.S. Bank, Attn: 
Government Lockbox 956733, 1005 Convention Plaza, St. Louis, MO 63101.
(Note: This address is for courier delivery only. Contact the U.S. Bank 
at 314-418-4821 if you have any questions concerning courier delivery.)
    It is helpful if the fee arrives at the bank at least 1 day before 
the application arrives at FDA. FDA records the official application 
receipt date as the later of the following:
     The date the application was received by FDA.

[[Page 45017]]

     The date U.S. Bank receives the payment. U.S. Bank is 
required to notify FDA within 1 working day, using the PIN described 
previously in this document.

D. Step Four--Submit Your Application to FDA With a Copy of the 
Completed Medical Device User Fee Cover Sheet

    Please submit your application and a copy of the completed Medical 
Device User Fee Cover Sheet to one of the following addresses:
     Medical device applications should be submitted to: Food 
and Drug Administration, Center for Devices and Radiological Health, 
Document Mail Center (HFZ-401), 9200 Corporate Blvd., Rockville, MD 
20850.
     Biologic applications should be sent to: Food and Drug 
Administration, Center for Biologics Evaluation and Research, Document 
Control Center (HFM-99), suite 200N, 1401 Rockville Pike, Rockville, MD 
20852-1448.

V. Procedures for Paying Annual Establishment Fees

    If you are required to pay an annual establishment registration 
fee, you must pay for each establishment prior to registration. Payment 
must be submitted by first creating a Device Facility Use Fee (DFUF) 
order through the User Fee Web site at https://fdasfinapp8.fda.gov/OA_
HTML/fdaCAcdLogin.jsp. You will be issued a PIN once you place your 
order. After payment has been processed, you will be issued a payment 
confirmation number (PCN). You will not be able to register your 
establishment if you do not have a PIN and a PCN. An establishment 
required to pay an annual establishment registration fee is not legally 
registered in FY 2009 until it has completed the steps in this section 
to register and pay any applicable fee (see 21 U.S.C. 379j(f)(2)).

A. Step One--Submit a Device Facility User Fee Order With a PIN From 
FDA Before Registering or Submitting Payment

    To submit a DFUF order, you must create or have previously created 
a user account and password for the User Fee Web site listed in this 
section. After creating a user name and password, log onto the Annual 
Facility User Fee 2009 store. Complete the DFUF order by entering the 
number of establishments you are registering. Once you are satisfied 
that the data on the order is accurate, electronically transmit that 
data to FDA according to instructions on the screen. Print a copy of 
the final DFUF order and note the unique PIN located in the upper 
right-hand corner of the printed order.

B. Step Two--Pay for Your DFUF Order

    Unless paying by credit card, all payments must be in U. S. 
currency and drawn on a U.S. bank. The DFUF order will include payment 
information, including details on how you can pay online using a credit 
card or electronic checks. Follow the instructions provided to make an 
electronic payment. If you prefer not to pay online, you may pay by a 
check, in U.S. dollars and drawn on a U.S. bank, mailed to: Food and 
Drug Administration, P.O. Box 70961, Charlotte, NC 28272-0961.
(Note: This address is different from the address for payments of 
application and annual report fees and is to be used only for payment 
of annual establishment registration fees.)
    If a check is sent by a courier that requests a street address, the 
courier can deliver the check to: Wachovia Bank, Attn: Food and Drug 
Administration--Lockbox 70961, rm. NC0810, 1525 West WT Harris Blvd., 
Charlotte, NC 28262.
(Note: This Wachovia Bank address is for courier delivery only; do not 
send mail to this address.)
    Please make sure that both of the following numbers are written on 
your check: (1) The FDA post office box number (P.O. Box 70961), and 
(2) the PIN that is printed on your order. A copy of your printed order 
should also be mailed along with your check. FDA's tax identification 
number is 53-0196965.
    Wire transfers may also be used to pay annual establishment fees. 
For wire transfer information, please contact the user fee helpdesk at 
301-827-9539 or userfees@fda.gov.

C. Step Three--Complete the Information Online to Update Your 
Establishment's Annual Registration for FY 2009, or to Register a New 
Establishment for FY 2009

    Go to CDRH's Web site at http://www.fda.gov/cdrh/reglistpage.html 
and click the ``Electronic Registration and Listing System (FURLS)'' 
link on the left of the page. This opens up a new page with important 
information about FURLS. After reading this information click on the 
link at the bottom of the page. That takes you to an FDA Industry 
Systems page with tutorials that demonstrate how to create a new FURLS 
user account if your establishment did not create an account in FY 
2008.
    Enter your existing account ID and password to log into FURLS. From 
the FURLS/FDA Industry Systems menu, there will be a button that you 
will click to go to the Device Registration and Listing Module (DRLM) 
of FURLS. New establishments will need to register and existing 
establishments will update their annual registration using choices on 
the DRLM menu. Once you choose to register or update your annual 
registration the system will prompt you through the entry of 
information about your establishment and your devices. If you have any 
problems with this process, e-mail reglist@cdrh.fda.gov or call 240-
276-0111 for assistance.
(Note: This e-mail address and phone number are for assistance with 
establishment registration only, and not for any other aspects of 
medical device user fees.)

D. Step Four--Enter Your DFUF Order PIN and PCN

    After completing your annual or initial registration and device 
listing, you will be prompted to enter your DFUF order PIN and PCN, 
when applicable. Fees are only required for those establishments 
defined in section I of this document.

    Dated: July 28, 2008.
Jeffrey Shuren,
Associate Commissioner for Policy and Planning.
[FR Doc. E8-17739 Filed 7-31-08; 8:45 am]

BILLING CODE 4160-01-S
