
[Federal Register Volume 76, Number 104 (Tuesday, May 31, 2011)]
[Notices]
[Pages 31342-31345]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-13441]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2011-N-0362]


Agency Information Collection Activities; Proposed Collection; 
Comment Request; Current Good Manufacturing Practice Regulations for 
Finished Pharmaceuticals

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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SUMMARY: The Food and Drug Administration (FDA) is announcing an 
opportunity for public comment on the proposed collection of certain 
information by the Agency. Under the Paperwork Reduction Act of 1995 
(the PRA), Federal Agencies are required to publish notice in the 
Federal Register concerning each proposed collection of information, 
including each proposed extension of an existing collection of 
information, and to allow 60 days for public comment in response to the 
notice. This notice solicits comments on the information collection 
provisions of FDA's Current Good Manufacturing Practice (CGMP) 
Regulations for Finished Pharmaceuticals.

DATES: Submit either electronic or written comments on the collection 
of information by August 1, 2011.

ADDRESSES: Submit electronic comments on the collection of information 
to http://www.regulations.gov. Submit written comments on the 
collection of information to the Division of Dockets Management (HFA-
305), Food and Drug Administration, 5630 Fishers Lane, rm. 1061, 
Rockville, MD 20852. All comments should be identified with the docket 
number found in brackets in the heading of this document.

FOR FURTHER INFORMATION CONTACT: Elizabeth Berbakos, Office of 
Information Management, Food and Drug Administration, 1350 Piccard Dr., 
PI50-400B, Rockville, MD 20850, 301-796-7392, 
Elizabeth.Berbakos@fda.hhs.gov.

SUPPLEMENTARY INFORMATION: 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, including 
each proposed extension of an existing 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.

Current Good Manufacturing Practice Regulations for Finished 
Pharmaceuticals--21 CFR Parts 210 and 211 (OMB Control Number 0910-
0139)--Extension

    Under section 501(a)(2)(B) of the Federal Food, Drug, and Cosmetic 
Act (the FD&C Act) (21 U.S.C. 351(a)(2)(B)), a drug is adulterated if 
the methods used in, or the facilities or controls used for, its 
manufacture, processing, packing, or holding do not conform to or are 
not operated or administered in conformity with CGMPs to ensure that 
such drug meets the requirements of the FD&C Act as to safety, and has 
the identity and strength, and meets the quality and purity 
characteristics, which it purports or is represented to possess.
    FDA has the authority under section 701(a) of the FD&C Act (21 
U.S.C. 371(a)) to issue regulations for the efficient enforcement of 
the FD&C Act regarding CGMP procedures for manufacturing, processing, 
and holding drugs and drug products. The CGMP regulations help ensure 
that drug products meet the statutory requirements for safety and have 
their purported or represented identity, strength, quality, and purity 
characteristics. The information collection requirements in the CGMP 
regulations provide FDA with the necessary information to perform its 
duty to protect public health and safety. CGMP requirements establish 
accountability in the manufacturing and processing of drug products, 
provide for meaningful FDA inspections, and enable manufacturers to 
improve the quality of drug products over time. The CGMP recordkeeping 
requirements also serve preventive and remedial purposes and provide 
crucial information if it is necessary to recall a drug product.
    The general requirements for recordkeeping under part 211 (21 CFR 
part 211) are set forth in Sec.  211.180. Any production, control, or 
distribution record associated with a batch and required to be 
maintained in compliance with part 211 must be retained for at least 1 
year after the expiration date of the batch and, for certain over the 
counter (OTC) drugs, 3 years after distribution of the batch (Sec.  
211.180(a)). Records for all components, drug product containers, 
closures, and labeling are required to be maintained for at least 1 
year after the expiration date and 3 years for certain OTC products 
(Sec.  211.180(b)).
    All part 211 records must be readily available for authorized 
inspections during the retention period (Sec.  211.180(c)), and such 
records may be retained either as original records or as true copies 
(Sec.  211.180(d)). In addition, 21 CFR 11.2(a) provides that ``for 
records required to be maintained but not submitted to the Agency, 
persons may use electronic records in lieu of paper records or 
electronic signatures in lieu of traditional signatures, in whole or in 
part, provided that the requirements of this part are met.'' To the 
extent this electronic option is used, the burden of maintaining paper 
records should be substantially reduced, as should any review of such 
records.
    In order to facilitate improvements and corrective actions, records 
must be maintained so that data can be used for evaluating, at least 
annually, the quality

[[Page 31343]]

standards of each drug product to determine the need for changes in 
drug product specifications or manufacturing or control procedures 
(Sec.  211.180(e)). Written procedures for these evaluations are to be 
established and include provisions for a review of a representative 
number of batches and, where applicable, records associated with the 
batch; provisions for a review of complaints, recalls, returned or 
salvaged drug products; and investigations conducted under Sec.  
211.192 for each drug product.
    The specific recordkeeping requirements provided in table 1 of this 
document are as follows:
    Section 211.34--Consultants advising on the manufacture, 
processing, packing, or holding of drug products must have sufficient 
education, training, and experience to advise on the subject for which 
they are retained. Records must be maintained stating the name, 
address, and qualifications of any consultants and the type of service 
they provide.
    Section 211.67(c)--Records must be kept of maintenance, cleaning, 
sanitizing, and inspection as specified in Sec. Sec.  211.180 and 
211.182.
    Section 211.68--Appropriate controls must be exercised over 
computer or related systems to assure that changes in master production 
and control records or other records are instituted only by authorized 
personnel.
    Section 211.68(a)--Records must be maintained of calibration 
checks, inspections, and computer or related system programs for 
automatic, mechanical, and electronic equipment.
    Section 211.68(b)--All appropriate controls must be exercised over 
all computers or related systems and control data systems to assure 
that changes in master production and control records or other records 
are instituted only by authorized persons.
    Section 211.72--Filters for liquid filtration used in the 
manufacture, processing, or packing of injectable drug products 
intended for human use must not release fibers into such products.
    Section 211.80(d)--Each container or grouping of containers for 
components or drug product containers or closures must be identified 
with a distinctive code for each lot in each shipment received. This 
code must be used in recording the disposition of each lot. Each lot 
must be appropriately identified as to its status.
    Section 211.100(b)--Written production and process control 
procedures must be followed in the execution of the various production 
and process control functions and must be documented at the time of 
performance. Any deviation from the written procedures must be recorded 
and justified.
    Section 211.105(b)--Major equipment must be identified by a 
distinctive identification number or code that must be recorded in the 
batch production record to show the specific equipment used in the 
manufacture of each batch of a drug product. In cases where only one of 
a particular type of equipment exists in a manufacturing facility, the 
name of the equipment may be used in lieu of a distinctive 
identification number or code.
    Section 211.122(c)--Records must be maintained for each shipment 
received of each different labeling and packaging material indicating 
receipt, examination, or testing.
    Section 211.130(e)--Inspection of packaging and labeling facilities 
must be made immediately before use to assure that all drug products 
have been removed from previous operations. Inspection must also be 
made to assure that packaging and labeling materials not suitable for 
subsequent operations have been removed. Results of inspection must be 
documented in the batch production records.
    Section 211.132(c)--Certain retail packages of OTC drug products 
must bear a statement that is prominently placed so consumers are 
alerted to the specific tamper-evident feature of the package. The 
labeling statement is required to be so placed that it will be 
unaffected if the tamper-resistant feature of the package is breached 
or missing. If the tamper-evident feature chosen is one that uses an 
identifying characteristic, that characteristic is required to be 
referred to in the labeling statement.
    Section 211.132(d)--A request for an exemption from packaging and 
labeling requirements by a manufacturer or packer is required to be 
submitted in the form of a citizen petition under 21 CFR 10.30.
    Section 211.137--Requirements regarding product expiration dating 
and compliance with 21 CFR 201.17 are set forth.
    Section 211.160(a)--The establishment of any specifications, 
standards, sampling plans, test procedures, or other laboratory control 
mechanisms, including any change in such specifications, standards, 
sampling plans, test procedures, or other laboratory control 
mechanisms, must be drafted by the appropriate organizational unit and 
reviewed and approved by the quality control unit. These requirements 
must be followed and documented at the time of performance. Any 
deviation from the written specifications, standards, sampling plans, 
test procedures, or other laboratory control mechanisms must be 
recorded and justified.
    Section 211.165(e)--The accuracy, sensitivity, specificity, and 
reproducibility of test methods employed by a firm must be established 
and documented. Such validation and documentation may be accomplished 
in accordance with Sec.  211.194(a)(2).
    Section 211.166(c)--Homeopathic drug product requirements are set 
forth.
    Section 211.173--Animals used in testing components, in-process 
materials, or drug products for compliance with established 
specifications must be maintained and controlled in a manner that 
assures their suitability for their intended use. They must be 
identified, and adequate records must be maintained showing the history 
of their use.
    Section 211.180(e)--Written records required by part 211 must be 
maintained so that data can be used for evaluating, at least annually, 
the quality standards of each drug product to determine the need for 
changes in drug product specifications or manufacturing or control 
procedures. Written procedures must be established and followed for 
such evaluations and must include provisions for a representative 
number of batches, whether approved or unapproved or rejected, and a 
review of complaints, recalls, returned or salvaged drug products, and 
investigations conducted under Sec.  211.192 for each drug product.
    Section 211.180(f)--Procedures must be established to assure that 
the responsible officials of the firm, if they are not personally 
involved in or immediately aware of such actions, are notified in 
writing of any investigations, conducted under Sec. Sec.  211.198, 
211.204, or 211.208, any recalls, reports of inspectional observations 
issued, or any regulatory actions relating to good manufacturing 
practices brought by FDA.
    Section 211.182--Specifies requirements for equipment cleaning 
records and the use log.
    Section 211.184--Specifies requirements for component, drug product 
container, closure, and labeling records.
    Section 211.186--Specifies master production and control records 
requirements.
    Section 211.188--Specifies batch production and control records 
requirement.
    Section 211.192--Specifies the information that must be maintained 
on the investigation of discrepancies found in the review of all drug 
product

[[Page 31344]]

production and control records by the quality control staff.
    Section 211.194--Explains and describes laboratory records that 
must be retained.
    Section 211.196--Specifies the information that must be included in 
records on the distribution of the drug.
    Section 211.198--Specifies and describes the handling of all 
complaint files received by the applicant.
    Section 211.204--Specifies that records be maintained of returned 
and salvaged drug products and describes the procedures involved.
    Written procedures, referred to here as standard operating 
procedures (SOPs), are required for many part 211 records. The current 
SOP requirements were initially provided in a final rule published in 
the Federal Register of September 29, 1978 (43 FR 45014), and are now 
an integral and familiar part of the drug manufacturing process. The 
major information collection impact of SOPs results from their 
creation. Thereafter, SOPs need to be periodically updated. A combined 
estimate for routine maintenance of SOPs is provided in table 1 of this 
document. The 25 SOP provisions under part 211 in the combined 
maintenance estimate include:
    Section 211.22(d)--Responsibilities and procedures of the quality 
control unit;
    Section 211.56(b)--Sanitation procedures;
    Section 211.56(c)--Use of suitable rodenticides, insecticides, 
fungicides, fumigating agents, and cleaning and sanitizing agents;
    Section 211.67(b)--Cleaning and maintenance of equipment;
    Section 211.68(a)--Proper performance of automatic, mechanical, and 
electronic equipment;
    Section 211.80(a)--Receipt, identification, storage, handling, 
sampling, testing, and approval or rejection of components and drug 
product containers or closures;
    Section 211.94(d)--Standards or specifications, methods of testing, 
and methods of cleaning, sterilizing, and processing to remove 
pyrogenic properties for drug product containers and closures;
    Section 211.100(a)--Production and process control;
    Section 211.110(a)--Sampling and testing of in-process materials 
and drug products;
    Section 211.113(a)--Prevention of objectionable microorganisms in 
drug products not required to be sterile;
    Section 211.113(b)--Prevention of microbiological contamination of 
drug products purporting to be sterile, including validation of any 
sterilization process;
    Section 211.115(a)--System for reprocessing batches that do not 
conform to standards or specifications, to insure that reprocessed 
batches conform with all established standards, specifications, and 
characteristics;
    Section 211.122(a)--Receipt, identification, storage, handling, 
sampling, examination and/or testing of labeling and packaging 
materials;
    Section 211.125(f)--Control procedures for the issuance of 
labeling;
    Section 211.130--Packaging and label operations, prevention of 
mixup and cross contamination, identification and handling of filed 
drug product containers that are set aside and held in unlabeled 
condition, and identification of the drug product with a lot or control 
number that permits determination of the history of the manufacture and 
control of the batch;
    Section 211.142--Warehousing;
    Section 211.150--Distribution of drug products;
    Section 211.160--Laboratory controls;
    Section 211.165(c)--Testing and release for distribution;
    Section 211.166(a)--Stability testing;
    Section 211.167--Special testing requirements;
    Section 211.180(f)--Notification of responsible officials of 
investigations, recalls, reports of inspectional observations, and any 
regulatory actions relating to good manufacturing practice;
    Section 211.198(a)--Written and oral complaint procedures, 
including quality control unit review of any complaint involving 
specifications failures, and serious and unexpected adverse drug 
experiences;
    Section 211.204--Holding, testing, and reprocessing of returned 
drug products; and
    Section 211.208--Drug product salvaging.
    In addition, the following regulations in parts 610 and 680 (21 CFR 
parts 610 and 680) reference certain CGMP regulations in Part 211: 
Sections 610.12(h), 610.13(a)(2), 610.18(d), 680.2(f), and 680.3(f). In 
table 1 of this document, the burden associated with the information 
collection requirements in these regulations is included in the burden 
estimates under Sec. Sec.  211.165, 211.167, 211.188, and 211.194, as 
appropriate.
    Although most of the CGMP provisions covered in this document were 
created many years ago, there will be some existing firms expanding 
into new manufacturing areas and startup firms that will need to create 
SOPs. As provided in table 1 of this document, FDA is assuming that 
approximately 100 firms will have to create up to 25 SOPs for a total 
of 2,500 records, and the Agency estimates that it will take 20 hours 
per recordkeeper to create 25 new SOPs for a total of 50,000 hours.
    FDA estimates the burden of this collection of information as 
follows:

                               Table 1--Estimated Annual Recordkeeping Burden \1\
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                                                                                      Average
                                     Number of       Number of     Total annual     burden per
         21 CFR Section            recordkeepers    records per       records      recordkeeping    Total hours
                                                   recordkeeper                   (in hours) \2\
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SOP maintenance (see list of 25            4,184               1           4,184              25         104,600
 SOPs in the SUPPLEMENTARY
 INFORMATION section of this
 document)......................
New startup SOPs................             100              25            2500              20          50,000
211.34..........................           4,184             .25           1,046           30/60             523
211.67(c).......................           4,184              50         209,200           15/60          52,300
211.68..........................           4,184               2           8,368               1           8,368
211.68(a).......................           4,184              10          41,840           30/60          20,920
211.68(b).......................           4,184               5          20,920           15/60           5,230
211.72..........................           4,184             .25           1,046               1           1,046
211.80(d).......................           4,184             .25           1,046            6/60             105
211.100(b)......................          4, 184               3          12,552               2          25,104
211.105(b)......................           4,184             .25           1,046           15/60             262
211.122(c)......................           4,184              50         209,200           15/60          52,300
211.130(e)......................           4,184              50         209,200           15/60          52,300

[[Page 31345]]

 
211.132(c)......................           1,698              20          33,960           30/60          16,980
211.132(d)......................           1,698              .2             340           30/60             170
211.137.........................           4,184               5          20,920           30/60          10,460
211.160(a)......................           4,184               2           8,368               1           8,368
211.165(e)......................           4,184               1           4,184               1           4,184
211.166(c)......................           4,184               2           8,368           30/60           4,184
211.173.........................           1,077               1           1,077           15/60             269
211.180(e)......................           4,184              .2             837           15/60             209
211.180(f)......................           4,184              .2             837               1             837
211.182.........................           4,184               2           8,368           15/60           2,092
211.184.........................           4,184               3          12,552           30/60           6,276
211.186.........................           4,184              10          41,840               2          83,680
211.188.........................           4,184              25         104,600               2         209,200
211.192.........................           4,184               2           8,368               1           8,368
211.194.........................           4,184              25         104,600           30/60          52,300
211.196.........................           4,184              25         104,600           15/60          26,150
211.198.........................           4,184               5          20,920               1          20,920
211.204.........................           4,184              10          41,840           30/60          20,920
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    Total.......................  ..............  ..............  ..............  ..............         848,625
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\1\ There are no capital costs or operating and maintenance costs associated with this collection of
  information.
\2\ Burden estimates of less than 1 hour are expressed as a fraction of an hour in the format ``[number of
  minutes per response] /60.''


    Dated: May 24, 2011.
Leslie Kux,
Acting Assistant Commissioner for Policy.
[FR Doc. 2011-13441 Filed 5-27-11; 8:45 am]
BILLING CODE 4160-01-P


