PDUFA_V_Committment_Letter_1-12-2012

PDUFA REAUTHORIZATION PERFORMANCE
GOALS AND PROCEDURES FISCAL YEARS 2013
THROUGH 2017
I.

REVIEW PERFORMANCE GOALS
A. NDA/BLA Submissions and Resubmissions
B. Original Efficacy Supplements
C. Resubmitted Efficacy Supplements
D. Original Manufacturing Supplements
E. Goals Summary Tables

II.

NEW MOLECULAR ENTITY NDA AND ORIGINAL BLA PERFORMANCE
GOALS
A. Program for Enhanced Review Transparency and Communication for NME NDAs
and Original BLAs
B. Assessment of the Program

III.

FIRST CYCLE REVIEW PERFORMANCE
A. Notification of Issues Identified during the Filing Review
B. Notification of Planned Review Timelines
C. Report on Review Timeline Performance

IV.

REVIEW OF PROPRIETARY NAMES TO REDUCE MEDICATION ERRORS
A. Review Performance Goals – Drug/Biological Product Proprietary Names

V.

MAJOR DISPUTE RESOLUTION
A. Procedure
B. Performance goal
C. Conditions

VI.

CLINICAL HOLDS
A. Procedure
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B. Performance goal
VII.

SPECIAL PROTOCOL QUESTION ASSESSMENT AND AGREEMENT
A. Procedure
B. Performance goal
C. Reporting

VIII. MEETING MANAGEMENT GOALS
A. Responses to Meeting Requests
B. Scheduling Meetings
C. Meeting Minutes
D. Conditions
IX.

ENHANCING REGULATORY SCIENCE AND EXPEDITING DRUG
DEVELOPMENT
A. Promoting Innovation Through Enhanced Communication Between FDA and
Sponsors During Drug Development
B. Advancing the Science of Meta-Analysis Methodologies
C. Advancing the Use of Biomarkers and Pharmacogenomics
D. Advancing Development of Patient-Reported Outcomes (PROs) and Other Endpoint
Assessment Tools
E. Advancing Development of Drugs for Rare Diseases

X.

ENHANCING BENEFIT-RISK ASSESSMENT IN REGULATORY DECISIONMAKING

XI.

ENHANCEMENT AND MODERNIZATION OF THE FDA DRUG SAFETY
SYSTEM
A. Measure the Effectiveness of REMS and Standardize and Better Integrate REMS into
the Healthcare System
B. Sentinel as a Tool for Evaluating Drug Safety Issues That May Require Regulatory
Action
C. Conduct and Support Activities Designed to Modernize the Process of
Pharmacovigilance

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D. Information Systems and Infrastructure
XII.

IMPROVING THE EFFICIENCY OF HUMAN DRUG REVIEW THROUGH
REQUIRED ELECTRONIC SUBMISSIONS AND STANDARDIZATION OF
ELECTRONIC DRUG APPLICATION DATA

XIII. PROGRESS REPORTING FOR PDUFA V AND CONTINUING PDUFA IV
INITIATIVES
XIV. INFORMATION TECHNOLOGY GOALS
A. Objective
B. Communications and Technical Interactions
C. Metrics and Measures
XV.

IMPROVING FDA PERFORMANCE MANAGEMENT
A. Study criteria
B. Study descriptions

XVI. DEFINITIONS AND EXPLANATION OF TERMS

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PDUFA REAUTHORIZATION PERFORMANCE GOALS AND PROCEDURES FOR
FISCAL YEARS 2013 THROUGH 2017
The performance goals and procedures of the FDA Center for Drug Evaluation and Research
(CDER) and the Center for Biologics Evaluation and Research (CBER), as agreed to under the
fifth authorization of the prescription drug user fee program, are summarized below.
Unless otherwise stated, goals apply to cohorts of each fiscal year (FY).
I.

REVIEW PERFORMANCE GOALS
A. NDA/BLA Submissions and Resubmissions1
1. Review and act on 90 percent of standard NME NDA and original BLA
submissions within 10 months of the 60 day filing date.
2. Review and act on 90 percent of priority NME NDA and original BLA
submissions within 6 months of the 60 day filing date.
3. Review and act on 90 percent of standard non-NME original NDA
submissions within 10 months of receipt.
4. Review and act on 90 percent of priority non-NME original NDA submissions
within 6 months of receipt.
5. Review and act on 90 percent of Class 1 resubmitted original applications
within 2 months of receipt.
6. Review and act on 90 percent of Class 2 resubmitted original applications
within 6 months of receipt.
B. Original Efficacy Supplements
1. Review and act on 90 percent of standard efficacy supplements within 10
months of receipt.
2. Review and act on 90 percent of priority efficacy supplement within 6 months
of receipt.
C. Resubmitted Efficacy Supplements
1. Review and act on 90 percent of Class 1 resubmitted efficacy supplements
within 2 months of receipt.

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Refer to Section II.A.4 for a description of the review program for NME NDAs and original BLAs.

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2. Review and act on 90 percent of Class 2 resubmitted efficacy supplements
within 6 months of receipt.
D. Original Manufacturing Supplements
1. Review and act on 90 percent of manufacturing supplements requiring prior
approval within 4 months of receipt, and review and act on 90 percent of all
other manufacturing supplements within 6 months of receipt.
E. These review goals are summarized in the following tables:
Original and Resubmitted Applications and Supplements:
SUBMISSION COHORT
NME NDAs and original BLAs
Non NME NDAs
Class 1 Resubmissions
Class 2 Resubmissions
Original Efficacy Supplements
Class 1 Resubmitted Efficacy Supplements
Class 2 Resubmitted Efficacy Supplements

Manufacturing Supplements

II.

STANDARD
90% in 10 months of the
60 day filing date
90% in 10 months of the
receipt date
90% in 2 months of the
receipt date
90% in 6 months of the
receipt date
90% in 10 months of the
receipt date
90% in 2 months of the
receipt date
90% in 6 months of the
receipt date

PRIORITY
90% in 6 months of the
60 day filing date
90% in 6 months of the
receipt date
90% in 2 months of the
receipt date
90% in 6 months of the
receipt date
90% in 6 months of the
receipt date
90% in 2 months of the
receipt date
90% in 6 months of the
receipt date

PRIOR APPROVAL
90% in 4 months of the
receipt date

ALL OTHER
90% in 6 months of the
receipt date

NEW MOLECULAR ENTITY NDA AND ORIGINAL BLA PERFORMANCE
GOALS
A. Program for Enhanced Review Transparency and Communication for NME
NDAs and Original BLAs
To promote greater transparency and improve communication between the FDA
review team and the applicant, FDA will establish a review model (hereafter referred
to as “the Program”) that will apply to all New Molecular Entity New Drug
Applications (NME NDAs) and original Biologics License Applications (BLAs),
including applications that are resubmitted following a Refuse-to-File action,

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received from October 1, 2012, through September 30, 2017.2 The goal of the
Program is to improve the efficiency and effectiveness of the first cycle review
process and decrease the number of review cycles necessary for approval, ensuring
that patients have timely access to safe, effective, and high quality new drugs and
biologics. The Program shall be evaluated by an independent contractor with
expertise in assessing the quality and efficiency of biopharmaceutical development
and regulatory review programs. The parameters of the Program are as follows:
1. Pre-submission meeting: The applicant is strongly encouraged to discuss the
planned content of the application with the appropriate FDA review division
at a pre-NDA/BLA meeting
a) The pre-NDA/BLA meeting should be held sufficiently in advance of
the planned submission of the application to allow for meaningful
response to FDA feedback and should generally occur not less than 2
months prior to the planned submission of the application.
b) At the pre-NDA/BLA meeting, the FDA and the applicant will agree
on the content of a complete application for the proposed indication(s),
including preliminary discussions on the need for risk evaluation and
mitigation strategies (REMS) or other risk management actions. This
meeting will be attended by the FDA review team including appropriate
senior FDA staff. The agreement and discussions will be summarized at
the conclusion of the meeting and reflected in the FDA meeting minutes.
c) At the meeting, the FDA and the applicant may also reach agreement
on submission of a limited number of application components not later
than 30 calendar days after the submission of the original application.
These submissions must be of a type that would not be expected to
materially impact the ability of the review team to begin its review. Any
such agreement that is reached on delayed submission of application
components will be summarized at the conclusion of the meeting and
reflected in the FDA meeting minutes.
(1) Examples of application components that may be appropriate
for delayed submission include updated stability data (e.g., 15month data to update 12-month data submitted with the original
submission) or the final audited report of a preclinical study (e.g.,
carcinogenicity) where the final draft report is submitted with the
original application.

2

The decision as to whether the application is included or excluded from the Program is distinct
from FDA's determination as to whether the drug product contains a "new chemical entity," as defined under 21
CFR 314.108(a). Determinations regarding new chemical entity exclusivity are made at the time of approval of an
application.

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d) Major components of the application (e.g., the complete study report
of a Phase 3 clinical trial or the full study report of required long-term
safety data) are expected to be submitted with the original application and
are not subject to agreement for late submission.
2. Original application submission: Applications are expected to be complete,
as agreed between the FDA review team and the applicant at the preNDA/BLA meeting, at the time of original submission of the application. If
the applicant does not have a pre-NDA/BLA meeting with FDA, and no
agreement exists between FDA and the applicant on the contents of a
complete application or delayed submission of certain components of the
application, the applicant’s submission is expected to be complete at the time
of original submission.
a) All applications are expected to include a comprehensive and readily
located list of all clinical sites and manufacturing facilities included or
referenced in the application.
b) Any components of the application that FDA agreed at the presubmission meeting could be submitted after the original application are
expected to be received not later than 30 calendar days after receipt of the
original application.
c) Incomplete applications, including applications with components that
are not received within 30 calendar days after receipt of the original
submission, will be subject to a Refuse-to-File decision.
(1) Applications that are subject to a Refuse-to-File action, and are
subsequently filed over protest, will not be subject to the
procedures of the Program, but will instead be subject to the 6 and
10 month review performance goals for priority and standard
applications, respectively, as described in Section I.
d) Since applications are expected to be complete at the time of
submission, unsolicited amendments are expected to be rare and not to
contain major new information or analyses.
(1) Review of unsolicited amendments, including those submitted
in response to an FDA communication of deficiencies, will be
handled in accordance with the guidance “Good Review
Management Principles and Practices (GRMPs) for PDUFA
Products.” This guidance includes the underlying principle that
FDA will consider the most efficient path toward completion of a
comprehensive review that addresses application deficiencies and
leads toward a first cycle approval when possible.
3. Day 74 Letter: FDA will follow existing procedures and performance goals
(see Section III) regarding identification and communication of filing review
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issues in the “Day 74 letter.” For applications subject to the Program, the
timeline for this communication will be within 74 calendar days from the date
of FDA receipt of the original submission. The planned review timeline
included in the Day 74 letter for applications in the Program will include the
planned date for the internal mid-cycle review meeting. The letter will also
include preliminary plans on whether to hold an Advisory Committee (AC)
meeting to discuss the application.
4. Review performance goals: For NME NDA and original BLA submissions
that are filed by FDA under the Program, the PDUFA review clock will begin
at the conclusion of the 60 calendar day filing review period that begins on the
date of FDA receipt of the original submission. The review performance
goals for these applications are as follows:
a) Review and act on 90 percent of standard NME NDA and original
BLA submissions within 10 months of the 60 day filing date.
b) Review and act on 90 percent of priority NME NDA and original BLA
submissions within 6 months of the 60 day filing date.
5. Mid-Cycle communication: The FDA Regulatory Project Manager (RPM),
and other appropriate members of the FDA review team (e.g., Cross
Discipline Team Leader (CDTL)), will call the applicant, generally within 2
weeks following the Agency’s internal mid-cycle review meeting, to provide
the applicant with an update on the status of the review of their application.
Scheduling of the internal mid-cycle review meeting will be handled in
accordance with the GRMP guidance. The RPM will coordinate the specific
date and time of the telephone call with the applicant
a) The update should include any significant issues identified by the
review team to date, any information requests, information regarding
major safety concerns and preliminary review team thinking regarding risk
management, proposed date(s) for the late-cycle meeting, updates
regarding plans for the AC meeting (if an AC meeting is anticipated), and
other projected milestones dates for the remainder of the review cycle.
6. Discipline Review (DR) Letters: The FDA review team will follow existing
guidance on issuance of DR Letters.
a) Since the application is expected to be complete at time of submission,
FDA intends to complete primary and secondary discipline reviews of the
application and issue DR letters in advance of the planned late-cycle
meeting. In cases where a DR letter is not issued in advance of the
planned late-cycle meeting, substantive issues identified to date from that
discipline will be communicated in the brief memorandum described in
7(b)(1).

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7. Late-Cycle meeting: For all applications included in the review Program, a
meeting will be held between the FDA review team and the applicant to
discuss the status of the review of the application late in the review cycle.
a) FDA representatives at the late-cycle meeting are expected to include
the signatory authority for the application, review team members from
appropriate disciplines, and appropriate team leaders and/or supervisors
from disciplines for which substantive issues have been identified in the
review to date.
b) For applications that will be discussed at an Advisory Committee (AC)
meeting, the late-cycle meeting will occur not less than 12 calendar days
before the date of the AC meeting. FDA intends to convene AC meetings
no later than 3 months (standard review) or no later than 2 months
(priority review) prior to the PDUFA goal date.
(1) The Agency briefing package for the late-cycle meeting will
consist of the Agency’s background package for the AC meeting,
which will be sent to the applicant not less than 20 calendar days
before the AC meeting, any discipline review letters issued to date,
current assessment of the need for REMS or other risk
management actions, and a brief memorandum from the review
team outlining substantive application issues including potential
questions and/or points for discussion for the AC meeting. FDA
intends to provide final questions for the AC to the sponsor and the
AC 2 calendar days in advance of the AC meeting.
c) For applications that will not be discussed at an AC meeting, the latecycle meeting will generally occur not later than 3 months (standard
review) or two months (priority review) prior to the PDUFA goal date.
(1) The Agency background package for the late-cycle meeting,
which will be sent to the applicant not less than 12 calendar days
before the meeting, will consist of any discipline review letters
issued to date, current assessment of the need for REMS or other
risk management actions, and a brief memorandum from the
review team outlining substantive application issues.
d) Potential topics for discussion at the late-cycle meeting include major
deficiencies identified to date; issues to be discussed at the AC meeting (if
planned); current assessment of the need for REMS or other risk
management actions; information requests from the review team to the
applicant; and additional data or analyses the applicant may wish to
submit.
(1) With regard to submission of additional data or analyses, the
FDA review team and the applicant will discuss whether such data

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will be reviewed by the Agency in the current review cycle and, if
so, whether the submission will be considered a major amendment
and trigger an extension of the PDUFA goal date.
8. Inspections: FDA’s goal is to complete all GCP, GLP, and GMP inspections
for applications in the Program within 6 months of the date of original receipt
for priority applications and within 10 months of the date of original receipt
for standard applications. This will allow 2 months at the end of the review
cycle to attempt to address any deficiencies identified by the inspections.
9. Quality System: As part of a quality system approach to managing review in
the Program, FDA will implement a tracking system that will document
review team performance of the key milestones for each of the applications
reviewed under the Program.
a) These milestones include: conduct of pre-NDA/BLA meeting and
agreement on content of complete application; submission of any
components of the application within 30 calendar days of original
application submission (as per pre-NDA/BLA meeting agreement);
issuance of the 74-day letter; completion of mid-cycle communication
with sponsor; completion of primary and secondary reviews; DR letters
issued; exchange of late cycle meeting package; and conduct of late-cycle
meeting.
b) The process tracking information will support review management,
and inform the subsequent analysis to be conducted by an independent
third party (see below). The performance information generated by the
tracking system will also be summarized and reported in the PDUFA
annual performance report.
B. Assessment of the Program
The Program described in Section IIA shall be evaluated by an independent
contractor with expertise in assessing the quality and efficiency of biopharmaceutical
development and regulatory review programs. The statement of work for this effort
will be published for public comment prior to beginning the assessment. The
assessments will occur continuously throughout the course of the Program. Metrics
for the assessments will include adherence by the applicant and FDA to the current
GRMP guidance, submission of a complete application at the time of original
submission, number of unsolicited amendments submitted by the applicant, timing
and adequacy of Day 74 letters, mid-cycle communications, provision of late-cycle
meeting memorandum outlining potential issues and questions for AC meeting
consideration and discipline review letters; specific milestones of the Program as
described in Section IIA; time to approval; percentage of applications approved on
the first review cycle; and the percentage of application reviews extended due to
major amendments. Following issuance of an FDA regulatory action at the
completion of the first review cycle, the independent contractor will assess the

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completeness and thoroughness of the submitted application, Day 74 letter, mid-cycle
communication, discipline review letters and late-cycle meeting. This assessment
will include interviews of the sponsor and members of the review team, as
appropriate.
1. Interim Assessment: An interim assessment of the Program will be published by
March 31, 2015, for public comment. By June 30, 2015, FDA will hold a public
meeting during which public stakeholders may present their views on the success
of the Program to date including: improving the efficiency and effectiveness of
the first cycle review process; decreasing the number of review cycles ultimately
necessary for new drugs and biologics that are approved; and helping to ensure
that patients have timely access to safe, effective, and high quality new drugs and
biologics. During the public meeting, FDA will discuss the findings of the
interim assessment, including anonymized aggregated feedback from sponsors
and FDA review teams resulting from independent contractor interviews. FDA
will also address any issues identified to date including actions proposed to
improve likelihood of success for the program.
2. Final Assessment: A final assessment of the Program will be published by
December 31, 2016, for public comment. FDA will hold a public meeting by no
later than March 30, 2017, during which public stakeholders may present their
views on the success of the Program, including improving the efficiency and
effectiveness of the first cycle review process and decreasing the number of
review cycles ultimately necessary for new drugs and biologics that are
approved. During the public meeting, FDA will discuss the findings of the final
assessment, including anonymized aggregated feedback from sponsors and FDA
review teams resulting from independent contractor interviews and discuss any
issues identified and plans for addressing these issues.
III. FIRST CYCLE REVIEW PERFORMANCE
A. Notification of Issues Identified during the Filing Review
1. Performance Goal: For original NDA/BLA applications and efficacy
supplements, FDA will report substantive review issues identified during the
initial filing review to the applicant by letter, teleconference, facsimile, secure
e-mail, or other expedient means.
2. The timeline for such communication will be within 74 calendar days from the
date of FDA receipt of the original submission.
3. If no substantive review issues were identified during the filing review, FDA
will so notify the applicant.
4. FDA's filing review represents a preliminary review of the application and is
not indicative of deficiencies that may be identified later in the review cycle.

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5. FDA will notify the applicant of substantive review issues prior to the goal
date for 90% of applications.
B. Notification of Planned Review Timelines
1. Performance Goal: For original NDA/BLA applications and efficacy
supplements, FDA will inform the applicant of the planned timeline for
review of the application. The information conveyed will include a target date
for communication of feedback from the review division to the applicant
regarding proposed labeling, postmarketing requirements, and postmarketing
commitments the Agency will be requesting.
2. The planned review timeline will be included with the notification of issues
identified during the filing review, within 74 calendar days from the date of
FDA receipt of the original submission.
3. The planned review timelines will be consistent with the Guidance for Review
Staff and Industry: Good Review Management Principles and Practices for
PDUFA Products (GRMPs), taking into consideration the specific
circumstances surrounding the individual application.
4. The planned review timeline will be based on the application as submitted.
5. FDA will inform the applicant of the planned review timeline for 90% of all
applications and efficacy supplements.
6. In the event FDA determines that significant deficiencies in the application
preclude discussion of labeling, postmarketing requirements, or postmarketing
commitments by the target date identified in the planned review timeline (e.g.,
failure to demonstrate efficacy, significant safety concern(s), need for a new
study(ies) or extensive re-analyses of existing data before approval), FDA will
communicate this determination to the applicant in accordance with GRMPs
and no later than the target date. In such cases the planned review timeline
will be considered to have been met. Communication of FDA’s determination
may occur by letter, teleconference, facsimile, secure e-mail, or other
expedient means.
7. To help expedite the development of drug and biologic products,
communication of the deficiencies identified in the application will generally
occur through issuance of a DR letter(s) in advance of the planned target date
for initiation of discussions regarding labeling, postmarketing requirements,
and postmarketing commitments the Agency may request.
8. If the applicant submits a major amendment(s) (refer to Section XVI.B for
additional information on major amendments) and the review division chooses
to review such amendment(s) during that review cycle, the planned review
timeline initially communicated will generally no longer be applicable.
Consistent with the underlying principles articulated in the GRMP guidance,
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FDA’s decision to extend the review clock should, except in rare
circumstances, be limited to occasions where review of the new information
could address outstanding deficiencies in the application and lead to approval
in the current review cycle.
•

If the review division determines that the major amendment will
result in an extension of the PDUFA review clock, the review
division will communicate to the applicant at the time of the clock
extension a new planned review timeline, including a new review
timeline for communication of feedback on proposed labeling,
postmarketing requirements, and any postmarketing commitments
the Agency may request.

•

In the rare case where the review division determines that the
major amendment will not result in an extension of the PDUFA
review clock, the review division may choose to retain the
previously communicated planned review timeline or may
communicate a new planned review timeline to the applicant.

•

The division will notify the applicant promptly of its decision
regarding review of the major amendment(s) and whether the
planned review timeline is still applicable.

•

For original NME NDA and original BLA applications, the new
planned review timeline will include a new planned date for the
internal mid-cycle review meeting if appropriate depending on
when during the course of review the major amendment(s) is
accepted for review.

C. Report on Review Timeline Performance
1. FDA will report its performance in meeting the goals for inclusion of a
planned review timeline with the notification of issues identified during the
filing review in the annual PDUFA performance report.
2. FDA will report its performance in meeting the planned review timeline for
communication of labeling comments, postmarketing requirements, and
postmarketing commitment requests in the annual PDUFA performance
report. The report will include the percentage of applications for which the
planned target dates for communication of labeling comments, postmarketing
requirements, and postmarketing commitment requests were met. The report
will also note how often the planned review timeline was met based on
communication of labeling comments, postmarketing requirements, and
postmarketing commitment requests by the target date, and how often such
communication did not occur due to FDA’s determination that significant
deficiencies in the application precluded communication of labeling
comments, postmarketing requirements, and postmarketing commitment
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requests at the time initially projected. Communication of labeling comments,
postmarketing requirements, and postmarketing commitment requests, or
communication of FDA’s determination that significant deficiencies preclude
initiation of such discussions that occurs within 7 calendar days of the target
date stated in the planned review timeline will be considered to have met the
target date. FDA will also report the number of times that the review
timelines were inapplicable due to the Agency’s decision to review an
unsolicited major amendment or a solicited major amendment that did not
result in an extension of the review clock (unless the review division chose to
retain the previously communicated planned review timeline).
IV.

REVIEW OF PROPRIETARY NAMES TO REDUCE MEDICATION ERRORS
To enhance patient safety, FDA will utilize user fees to implement various measures to
reduce medication errors related to look-alike and sound-alike proprietary names and such
factors as unclear label abbreviations, acronyms, dose designations, and error prone label
and packaging design.
A. Review Performance Goals – Drug/Biological Product Proprietary Names
1. Proprietary names submitted during IND phase (as early as end-of-phase 2)
a) Review 90% of proprietary name submissions filed within 180 days of
receipt. Notify sponsor of tentative acceptance or non-acceptance.
b) If the proprietary name is found to be unacceptable, the sponsor can
request reconsideration by submitting a written rebuttal with supporting
data or request a meeting within 60 days to discuss the initial decision
(meeting package required).
c) If the proprietary name is found to be unacceptable, the above review
performance goals also would apply to the written request for
reconsideration with supporting data or the submission of a new
proprietary name.
d) A complete submission is required to begin the review clock.
2. Proprietary names submitted with NDA/BLA
a) Review 90% of NDA/BLA proprietary name submissions filed within
90 days of receipt. Notify sponsor of tentative acceptance/nonacceptance.
b) A supplemental review will be done meeting the above review
performance goals if the proprietary name has been submitted previously
(IND phase after end-of-phase 2) and has received tentative acceptance.

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c) If the proprietary name is found to be unacceptable, the sponsor can
request reconsideration by submitting a written rebuttal with supporting
data or request a meeting within 60 days to discuss the initial decision
(meeting package required).
d) If the proprietary name is found to be unacceptable, the above review
performance goals apply to the written request for reconsideration with
supporting data or the submission of a new proprietary name.
e) A complete submission is required to begin the review clock.
V.

MAJOR DISPUTE RESOLUTION
A. Procedure: For procedural or scientific matters involving the review of human drug
applications and supplements (as defined in PDUFA) that cannot be resolved at the
signatory authority level (including a request for reconsideration by the signatory
authority after reviewing any materials that are planned to be forwarded with an appeal to
the next level), the response to appeals of decisions will occur within 30 calendar days of
the Center’s receipt of the written appeal.
B. Performance goal: 90% of such answers are provided within 30 calendar days of the
Center’s receipt of the written appeal.
C. Conditions:
1. Sponsors should first try to resolve the procedural or scientific issue at the
signatory authority level. If it cannot be resolved at that level, it should be
appealed to the next higher organizational level (with a copy to the signatory
authority) and then, if necessary, to the next higher organizational level.
2. Responses should be either verbal (followed by a written confirmation within
14 calendar days of the verbal notification) or written and should ordinarily be
to either grant or deny the appeal.
3. If the decision is to deny the appeal, the response should include reasons for
the denial and any actions the sponsor might take to persuade the Agency to
reverse its decision.
4. In some cases, further data or further input from others might be needed to
reach a decision on the appeal. In these cases, the “response” should be the
plan for obtaining that information (e.g., requesting further information from
the sponsor, scheduling a meeting with the sponsor, scheduling the issue for
discussion at the next scheduled available advisory committee).
5. In these cases, once the required information is received by the Agency
(including any advice from an advisory committee), the person to whom the
appeal was made, again has 30 calendar days from the receipt of the required
information in which to either deny or grant the appeal.
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6. Again, if the decision is to deny the appeal, the response should include the
reasons for the denial and any actions the sponsor might take to persuade the
Agency to reverse its decision.
7. N.B. If the Agency decides to present the issue to an advisory committee and
there are not 30 days before the next scheduled advisory committee, the issue
will be presented at the following scheduled committee meeting to allow
conformance with advisory committee administrative procedures.
VI.

CLINICAL HOLDS
A. Procedure: The Center should respond to a sponsor’s complete response to a clinical
hold within 30 days of the Agency’s receipt of the submission of such sponsor response.
B. Performance goal: 90% of such responses are provided within 30 calendar days of
the Agency’s receipt of the sponsor’s response.

VII. SPECIAL PROTOCOL QUESTION ASSESSMENT AND AGREEMENT
A. Procedure: Upon specific request by a sponsor (including specific questions that the
sponsor desires to be answered), the Agency will evaluate certain protocols and issues to
assess whether the design is adequate to meet scientific and regulatory requirements
identified by the sponsor.
1. The sponsor should submit a limited number of specific questions about the
protocol design and scientific and regulatory requirements for which the
sponsor seeks agreement (e.g., is the dose range in the carcinogenicity study
adequate, considering the intended clinical dosage; are the clinical endpoints
adequate to support a specific efficacy claim).
2. Within 45 days of Agency receipt of the protocol and specific questions, the
Agency will provide a written response to the sponsor that includes a succinct
assessment of the protocol and answers to the questions posed by the sponsor.
If the Agency does not agree that the protocol design, execution plans, and
data analyses are adequate to achieve the goals of the sponsor, the reasons for
the disagreement will be explained in the response.
3. Protocols that qualify for this program include: carcinogenicity protocols,
stability protocols, and Phase 3 protocols for clinical trials that will form the
primary basis of an efficacy claim. For such Phase 3 protocols to qualify for
this comprehensive protocol assessment, the sponsor must have had an end of
Phase 2/pre-Phase 3 meeting with the review division so that the division is
aware of the developmental context in which the protocol is being reviewed
and the questions being answered.
4. N.B. For products that will be using Subpart E or Subpart H development
schemes, the Phase 3 protocols mentioned in this paragraph should be
construed to mean those protocols for trials that will form the primary basis of
16

an efficacy claim no matter what phase of drug development in which they
happen to be conducted.
5. If a protocol is reviewed under the process outlined above and agreement with
the Agency is reached on design, execution, and analyses and if the results of
the trial conducted under the protocol substantiate the hypothesis of the
protocol, the Agency agrees that the data from the protocol can be used as part
of the primary basis for approval of the product. The fundamental agreement
here is that having agreed to the design, execution, and analyses proposed in
protocols reviewed under this process, the Agency will not later alter its
perspective on the issues of design, execution, or analyses unless public health
concerns unrecognized at the time of protocol assessment under this process
are evident.
B. Performance goal: 90% of special protocols assessments and agreement requests
completed and returned to sponsor within timeframes.
C. Reporting: The Agency will track and report the number of original special protocol
assessments and resubmissions per original special protocol assessment.
VIII. MEETING MANAGEMENT GOALS
A. Responses to Meeting Requests
1. Procedure: Within 14 calendar days of the Agency’s receipt of a request from
industry for a formal Type A meeting, or within 21 calendar days of the
Agency’s receipt of a request from industry for a formal Type B or Type C
meeting (i.e., a scheduled face-to-face, teleconference, videoconference, or
written response), CBER and CDER should notify the requester in writing
(letter or fax) of the date, time, and place for the meeting, as well as expected
Center participants. In the case of pre-IND and Type C meeting requests, the
sponsor may request a written response to its questions rather than a face-toface meeting, videoconference or teleconference. In some cases, while the
sponsor may request a face-to-face pre-IND or Type C meeting, the Agency
may determine that a written response to the sponsor’s questions would be the
most appropriate means for responding to the meeting request. When it is
determined that the meeting request can be appropriately addressed through a
written response to questions, FDA shall notify the requester of the date it
intends to send the response.
2. Performance Goal: FDA will provide this notification within 14 days for
90% of Type A meeting requests and within 21 days for 90% of Type B and
Type C meeting requests.
B. Scheduling Meetings
1. Procedure: The meeting date should reflect the next available date on which
all applicable Center personnel are available to attend, consistent with the
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component’s other business; however, the meeting should be scheduled
consistent with the type of meeting requested. If the requested date for any of
these types of meetings is greater than 30, 60, or 75 calendar days (as
appropriate) from the date the request is received by the Agency, the meeting
date should be within 14 calendar days of the requested date.
a) Type A Meetings should occur within 30 calendar days of the Agency
receipt of the meeting request.
b) Type B Meetings should occur within 60 calendar days of the Agency
receipt of the meeting request. In the case of a written response for a preIND meeting, the response should be transmitted by FDA within 60
calendar days of the Agency receipt of the meeting request.
c) Type C Meetings should occur within 75 calendar days of the Agency
receipt of the meeting request. In the case of a written response, the
response should be transmitted by FDA within 75 calendar days of the
Agency receipt of the meeting request.
2. Performance goal: 90% of meetings are held within the timeframe, and 90%
of written responses are sent within the timeframe.
C. Meeting Minutes
1. Procedure: The Agency will prepare minutes which will be available to the
sponsor 30 calendar days after the meeting. The minutes will clearly outline
the important agreements, disagreements, issues for further discussion, and
action items from the meeting in bulleted form and need not be in great detail.
Meeting minutes are not required if the Agency transmits a written response
for pre-IND or Type C meetings.
2. Performance goal: 90% of minutes are issued within 30 calendar days of date
of meeting.
D. Conditions
For a meeting to qualify for these performance goals:
1. A written request (letter or fax) should be submitted to the review division;
and
2. The letter should provide:
a) A brief statement of the purpose of the meeting, and in the case of preIND and Type C meetings, the sponsor’s proposal for either a face-to-face
meeting or a written response from the Agency;
b) A listing of the specific objectives/outcomes the requester expects
from the meeting;
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c) A proposed agenda, including estimated times needed for each agenda
item;
d) A listing of planned external attendees;
e) A listing of requested participants/disciplines representative(s) from
the Center; and
f) The approximate time that supporting documentation (i.e., the
“backgrounder”) for the meeting will be sent to the Center (i.e., “x” weeks
prior to the meeting), but should be received by the Center at the time of
the meeting request for Type A meetings and at least 1 month in advance
of the scheduled meeting for Type B and Type C meetings (including
those for which a written response will be provided)
3. The Agency concurs that the meeting will serve a useful purpose (i.e., it is not
premature or clearly unnecessary). However, requests for a “Type B” meeting
will be honored except in the most unusual circumstances.
4. In general, meetings regarding REMS or postmarketing requirements that
occur outside the context of the review of a marketing application shall be
classified as Type B meetings.
5. In general, a post-action meeting requested by the sponsor within three
months after an FDA regulatory action other than an approval (i.e., issuance
of a complete response letter) shall be classified as a Type A meeting.
6. FDA shall publish revised draft guidance on formal meetings between FDA
and sponsors no later than the end of FY 2013.
Sponsors are encouraged to consult available FDA guidance to obtain further
information on recommended meeting procedures.
IX.

ENHANCING REGULATORY SCIENCE AND EXPEDITING DRUG
DEVELOPMENT
To enhance communications between FDA and sponsors during drug development and to
meet the challenges of emerging science in the areas of clinical trial endpoint assessment
tools, biomarkers and pharmacogenomics, meta-analysis, and development of drugs for
rare diseases, FDA will conduct the following activities:
A. Promoting Innovation Through Enhanced Communication Between FDA and
Sponsors During Drug Development
1. FDA’s philosophy is that timely interactive communication with sponsors
during drug development is a core Agency activity to help achieve the
Agency’s mission to facilitate the conduct of efficient and effective drug
development programs, which can enhance public health by making new safe
and effective drugs available to the American public in a timely manner.
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2. By the end of FY 2013, FDA will develop a dedicated drug development
communication and training staff within the Office of New Drugs in CDER
and augment the manufacturers assistance staff in CBER, focused on
enhancing communication between FDA and sponsors during drug
development.
3. Within CDER, the drug development communication and training staff will
include (1) a dedicated liaison staff to facilitate general and, in some cases,
specific interactions with sponsors and (2) a training staff for CDER staff
training and for communication of best practices to the sponsor community.
4. The liaison staff will be composed of individuals who are experienced and
knowledgeable about the drug review process (and in some cases may be on
detail from the review divisions), interact regularly with the staff in review
divisions, and are skilled in facilitating communications between applicants
and FDA staff.
5. The liaison staff will conduct a range of tasks associated with enhancing
communication between the review team and sponsors including identification
and dissemination of best practices for enhanced communication, and
development of training programs for review staff. In addition, they will work
in collaboration with sponsor stakeholders to develop training for sponsors
and receive feedback on FDA’s programs regarding best practices for
communication during drug development (e.g., participation in workshops and
other meetings to communicate CDER’s policy and practice to the sponsor
community and to receive feedback on recommended improvements).
6. The liaison staff will serve as a point of contact for sponsors who have general
questions about drug development or who need clarification on which review
division to contact with their questions. The staff will also serve as a
secondary point of communication within CDER for sponsors who are
encountering problems in communication with the review team for their IND
(e.g., in instances when they have not received a response from the review
team to a simple or clarifying question or referral to the formal meeting
process within 30 days of the sponsor’s initial request). In such cases the
liaison staff will assist in evaluating the issues and working with the review
team and the sponsor to facilitate resolution of the problem.
7. By the end of FY 2014, the OND drug development and communication staff
will provide training to all CDER staff involved in review of INDs. The
training will include:
a) CDER’s philosophy that timely interactive communication with sponsors
during drug development is a core activity to help achieve our mission to
facilitate the conduct of efficient and effective drug development
programs, which can enhance public health by making new safe and
effective drugs available to the American public in a timely manner.
b) Best practices for triage of sponsor requests for advice from the review
team and timely communication of responses to simple and clarifying

20

questions or referral of more complex questions to the formal meeting
process.
c) Best practices for communication between the review team and the
sponsor including establishing clear expectations and agreement on
appropriate mechanisms (e.g., when teleconferencing or secure email may
be the most appropriate means of communication) and frequency of such
communications.
d) The role of the OND liaison staff in facilitating overall enhanced drug
development communication between CDER and the drug development
sponsor community and the staff’s role in facilitating resolution of
individual communication requests that have not been handled
successfully in a timely manner by the review team, which is the primary
interface with the sponsor regarding the drug under development.
8. By the end of the second quarter of FY 2015, FDA will publish draft guidance
for review staff and industry describing best practices for communication
between FDA and IND sponsors during drug development. The guidance will
describe FDA’s philosophy regarding timely interactive communication with
sponsors as a core activity, the scope of appropriate interactions between the
review team and the sponsor, outline the types of advice that are appropriate
for sponsors to seek from FDA in pursuing their drug development program,
describe the general expectations for the timing of FDA response to sponsor
inquiries of simple and clarifying questions or referral of more complex
questions to the formal meeting process, and describe best practices and
communication methods (including the value of person-to-person scientific
dialogue) to facilitate interactions between the FDA review team and the
sponsor during drug development. FDA will publish final guidance within 18
months of the close of the comment period for the draft guidance.
B. Advancing the Science of Meta-Analysis Methodologies
1. Develop a dedicated review team with appropriate expertise to evaluate
different scientific methods and to explore the practical application of
scientific approaches and best practices, including methodological limitations,
for the conduct of meta-analyses in the context of FDA’s regulatory review
process.
2. By the end of FY 2013, hold a public meeting engaging stakeholders in
discussing current and emerging scientific approaches and methods for the
conduct of meta-analyses, and to facilitate stakeholder feedback and input
regarding the use of meta-analyses in the FDA’s regulatory review process.
3. Considering feedback and input received through the public meeting, publish
a draft guidance document for comment describing FDA’s intended approach
to the use of meta-analyses in the FDA’s regulatory review process by the end
of FY 2015. This guidance will promote a better understanding and more
consistency among Agency, industry, and other stakeholders regarding metaanalyses and their role in regulatory decision-making.
21

4. Complete the final guidance describing FDA’s intended approach to the use of
meta-analyses in the FDA’s regulatory review process (or revised draft
guidance, if appropriate) within 1.5 years of the close of the public comment
period.
C. Advancing the Use of Biomarkers and Pharmacogenomics
1. Develop staff capacity to review submissions that contain complex issues
involving pharmacogenomics and biomarkers. This additional staff capacity
will be integrated into the clinical review divisions and the clinical
pharmacology and statistical review disciplines to ensure greater
understanding of biomarker use in application review and efficient
incorporation of qualified biomarkers in the review process.
2. Provide training for FDA staff on approaches to conducting a
pharmacogenomics review of a new product application. This training will
focus on the following: facilitation of a greater understanding of the
challenges that arise when using pharmacogenomic markers and other
biomarkers in a development program (including programs involving
companion diagnostics), development of approaches to address these
challenges, and promotion of consistency in regulatory review through an
understanding of best practices in assessment of applications that use
biomarkers in the drug development program.
3. By the end of FY 2013, hold a public meeting to discuss the current status of
biomarkers and pharmacogenomics and potential strategies to facilitate
scientific exchanges in regulatory and non-regulatory contexts.
D. Advancing Development of Patient-Reported Outcomes (PROs) and Other
Endpoint Assessment Tools
1. Develop clinical and statistical staff capacity to more efficiently and
effectively respond to submissions that involve PROs and other outcomes
assessment tools. These staff will advance the development of these tools by
providing IND and qualification consultations and through promoting best
practices for review and qualification of outcomes assessment tools. The
additional capacity includes staff who will focus on review and qualification
of endpoint assessment tools, including IND consultations with sponsors, as
well as staff who will be integrated into the review divisions to facilitate
evaluation of these tools and improve familiarity and understanding of
assessment tools among review staff. These activities will allow for greater
understanding of challenges that arise during development of outcomes
assessment tools, potential strategies to overcome these challenges, and
greater consistency in FDA’s approach to review, qualification, and usage of
these tools as part of the drug development process.
2. By the end of FY 2014, hold a public meeting to discuss FDA’s qualification
standards for drug development tools, new measurement theory, and
implications for multi-national trials.

22

E. Advancing Development of Drugs for Rare Diseases
1. By the end of FY 2013, FDA will complete a staffing and implementation
plan for the CDER Rare Disease Program within the Office of New Drugs and
a CBER Rare Disease liaison within the Office of Center Director.
2. FDA will increase by five the staff of the CDER Rare Disease Program and
establish and fill the CBER Rare Disease liaison position.
3. On an ongoing basis, the staff in the Rare Disease Programs of the two
Centers will develop and disseminate guidance and policy related to
advancing and facilitating the development of drugs and biologics for rare
diseases, including improving understanding among FDA reviewers of
approaches to studying such drugs; considering non-traditional clinical
development programs, study design, endpoints, and statistical analysis;
recognizing particular challenges with post-market studies; and encouraging
flexibility and scientific judgment, as appropriate, on the part of reviewers
when evaluating investigational studies and marketing applications for drugs
for rare diseases. Rare Disease Program staff will also engage in increased
outreach to industry regarding development of such drugs and to patient
representatives and organizations.
4. By mid-FY 2014, FDA, through the Rare Disease Program, will conduct a
public meeting to discuss complex issues in clinical trials for studying drugs
for rare diseases, including such questions as endpoint selection, use of
surrogate endpoints/Accelerated Approval, and clinical significance of
primary endpoints; reasonable safety exposures; assessment of dose selection;
and development of patient-reported outcome instruments. Participants in the
discussion will include FDA staff, academic and clinical experts, and industry
experts. A summary from the meeting will be made available publicly through
the FDA website.
5. By the end of FY 2015, FDA will develop and implement staff training related
to development, review, and approval of drugs for rare diseases. The training
will be provided to all CDER and CBER review staff, and will be part of the
reviewer training core curriculum. Among the key purposes of this training
are to familiarize review staff with the challenges associated with rare disease
applications and strategies to address these challenges; to promote best
practices for review and regulation of rare disease applications; and to
encourage flexibility and scientific judgment among reviewers in the review
and regulation of rare disease applications. The training will also emphasize
the role of the Rare Disease Program staff as members of the review team to
help ensure consistency of scientific and regulatory approaches across
applications and review teams.
6. By the end of FY 2016, FDA, through the Rare Disease Program, will develop
an evaluation tool to evaluate the success of the activities of the Rare Disease
23

Program, including the reviewer training. Among potential measures of
success are the development of a system to track rare disease applications
from IND submission through the post-marketing period, increased number of
reviewers receiving rare disease-specific training, increased number of
activities contributing to regulatory and biomedical science for rare disease
drug development, and meeting of PDUFA goals for rare disease applications.
X.

ENHANCING BENEFIT-RISK ASSESSMENT IN REGULATORY DECISIONMAKING
A. FDA will develop a five-year plan to further develop and implement a structured
benefit/risk assessment in the new drug approval process. FDA will publish its draft plan
for public comment by the end of the first quarter of FY 2013. FDA will begin execution
of the plan to implement the benefit-risk framework across review divisions in the preand post-market human drug review process by the end of the fourth quarter of FY 2013,
and the Agency will update the plan as needed and post all updates on the FDA website.
The plan will include:
1. A description of FDA’s intended approach to build on the Agency’s current
efforts to integrate a structured benefit/risk framework throughout the
lifecycle of human drug development.
2. A plan to conduct two public workshops on benefit-risk considerations from
the regulator’s perspective that will begin by the first quarter of FY 2014. The
first workshop will be primarily informational by focusing discussion on the
various frameworks and methods available and their application to regulatory
decision-making. The second workshop will focus on the results and lessons
learned in implementing frameworks at regulatory agencies in the pre- and
post-market drug review process.
3. An evaluation plan to ascertain the impact of the benefit-risk framework in the
human drug review process. The evaluation will consider the utility of the
framework in facilitating decision-making and review team discussions across
disciplines, risk management plan decision-making, training of new review
staff, and communicating regulatory decisions. In particular, the evaluation
will consider the degree to which the framework supports or facilitates
balanced consideration of benefits and risks, a more consistent and systematic
approach to discussion and decision-making, and communication of benefits
and risks.
B. As appropriate, FDA will revise the CDER Clinical Review Template, Office and
Division Director Summary Memo Templates, and corresponding Manuals of Policies
and Procedures (MaPP) [and equivalent documents in CBER] to incorporate a structured
benefit/risk assessment into the human drug review process on a timeframe outlined in
the five-year plan described in (A).

24

C. Over the period of PDUFA V, FDA will initiate a public process to nominate a set of
disease areas that could benefit from a more systematic and expansive approach to
obtaining the patient perspective on disease severity or unmet medical need. FDA will
convene 4 meetings per year (CDER will host 17 meetings and CBER will host 3
meetings throughout PDUFA V) with each meeting focused on a different disease area.
These meetings will include participation of FDA review divisions, the relevant patient
advocacy community, and other interested stakeholders. After each meeting, FDA will
publish the meeting proceedings and a summary analysis of the input received by FDA
that is relevant to FDA’s consideration of disease severity and unmet medical need. This
knowledge will be used to more fully develop an understanding of the disease severity
and an assessment of the current state of the treatment armamentarium which are both
critical components of FDA’s current benefit-risk framework in regulatory decisionmaking and communication. After the first two meetings, FDA will develop a proposal
for how FDA will incorporate these perspectives into the Agency’s decision-making.
In addition, FDA will increase its utilization of FDA’s Patient Representatives as Special
Government Employee consultants to CDER and CBER to provide patients’ views early
in the medical product development process and ensure those perspectives are considered
in regulatory discussions.
D. FDA will train review and management staff on the revised templates and MaPPs
described in (B) and fully integrate structured benefit/risk assessment into the regulatory
review process by a date specified in the five-year plan.
XI.

ENHANCEMENT AND MODERNIZATION OF THE FDA DRUG SAFETY
SYSTEM
FDA will continue to use user fees to enhance and modernize the current U.S. drug safety
system, including adoption of new scientific approaches, improving the utility of existing
tools for the detection, evaluation, prevention, and mitigation of adverse events, and
enhancing communication and coordination between post-market and pre-market review
staff. Enhancements to the drug safety system will improve public health by increasing
patient protection while continuing to enable access to needed medical products. User fees
will provide support for 1) enhancing risk evaluation and mitigation strategies (REMS) by
measuring their effectiveness and evaluating with stakeholder input appropriate ways to
better integrate them into the existing and evolving healthcare system, and 2) continued
development and implementation of the Sentinel System.
A. Measure the Effectiveness of REMS and Standardize and Better Integrate
REMS into the Healthcare System
FDA will use user fee funds to continue to develop techniques to standardize REMS and
with stakeholder input seek to integrate them into the existing and evolving (e.g.,
increasingly electronic) healthcare system.

25

1. By the end of FY 2013, FDA will develop and issue guidance on how to apply
the statutory criteria to determine whether a REMS is necessary to ensure that
the benefits of a drug outweigh the risks.
2. By the end of FY 2013, FDA will hold one or more public meetings to include
the pharmaceutical industry, other government healthcare providers, patient
groups, and partners from other sectors of the healthcare delivery system to
explore strategies to standardize REMS, where appropriate, with the goal of
reducing the burden of implementing REMS on practitioners, patients, and
others in various healthcare settings. To move towards increased integration
of REMS into the healthcare delivery system, FDA will issue a report of its
findings by the first quarter of FY 2014 that will identify at least one priority
project in each of the following areas including a workplan for project
completion: pharmacy systems, prescriber education, providing benefit/risk
information to patients, and practice settings.
3. By the end of FY 2013, FDA will initiate one or more public workshops on
methodologies for assessing whether REMS are mitigating the risks they
purport to mitigate and for assessing the effectiveness and impact of REMS,
including methods for assessing the effect on patient access, individual
practitioners, and the overall burden on the healthcare delivery system. FDA
will issue guidance by the end of FY 2014 on methodologies for assessing
REMS. This guidance should specifically address methodologies for
determining whether a specific REMS with elements to assure safe use
(ETASU) is: (i) commensurate with the specific serious risk listed in the
labeling of the drug and (ii) considering the observed risk, not unduly
burdensome on patient access to the drug.
B. Sentinel as a Tool for Evaluating Drug Safety Issues That May Require
Regulatory Action
FDA will use user fee funds to conduct a series of activities to determine the feasibility of
using Sentinel to evaluate drug safety issues that may require regulatory action, e.g.,
labeling changes, PMRs, or PMCs. The activities will be selected and designed to focus
on issues that affect classes of drugs or multiple products.
1. By the end of FY 2013, FDA will hold or support public meetings engaging
stakeholders to discuss current and emerging Sentinel projects and facilitate
stakeholder feedback and input regarding Sentinel projects that would be
appropriate to meet the goals stated above.
2. Informed by the feedback and input received through the public meeting, in
FY 2013 through FY 2017, FDA will fund 4-6 activities, which will include
multiple product or class-specific studies or methodology development.
These activities will be specifically designed to further evaluate safety signals
that, in previous cases, have served as the basis for regulatory action(s) or
designed more broadly to help determine the utility and validity of the

26

Sentinel System to evaluate other types of signals in population-based
databases. The following are examples of potential activities:
a) Expanding the active surveillance mechanisms begun for the H1N1
pandemic to substitute for the information gathered in large ad hoc,
manufacturer-conducted studies
b) Evaluating risk for class-wide adverse events (e.g., cardiovascular
events, suicidality)
3. By the end of FY 2015, FDA will conduct (or fund by contract) an interim
assessment to evaluate the strengths, limitations and the appropriate use of
Sentinel for informing regulatory actions (e.g., labeling changes, PMRs and
PMCs) to manage safety issues.
4. By the end of FY 2017, FDA will conduct (or fund by contract) an assessment
to evaluate the strengths, limitations, and the appropriate use of Sentinel for
informing regulatory actions (e.g., labeling changes, PMRs and PMCs) to
manage safety issues.
C. Conduct and support activities designed to modernize the process of
pharmacovigilance
1. Continued use of expanded database resources: A critical part of the
transformation of the drug safety program is maximizing the usefulness of
tools used for adverse event signal detection and risk assessment. Use of data
other than passive spontaneous reports, including population-based
epidemiological data and other types of observational data resources will
continue to enhance FDA’s capability to conduct targeted post-marketing
surveillance, evaluate class effects of drugs, and potentially conduct signal
detection using data resources other than reports from the Adverse Event
Reporting System (AERS). FDA will continue training and development of
existing staff on the use of these resources, and develop the information
technology infrastructure needed to support access and analysis of data from
these resources.
D. Information Systems and Infrastructure
FDA will continue the Agency’s efforts on the following standards-based information
systems to support how FDA obtains and analyzes post-market drug safety data and
manages emerging drug safety information:
1. Enhanced adverse event reporting system and surveillance tools;
2. IT infrastructure to support access and analyses of externally-linked
databases; and
3. Workflow tracking system.
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XII. IMPROVING THE EFFICIENCY OF HUMAN DRUG REVIEW THROUGH
REQUIRED ELECTRONIC SUBMISSIONS AND STANDARDIZATION OF
ELECTRONIC DRUG APPLICATION DATA
A. To enhance the quality and efficiency of FDA’s review of NDAs, BLAs, and INDs,
FDA shall consult with stakeholders, including pharmaceutical manufacturers and other
research sponsors, to issue draft guidance on the standards and format of electronic
submission of applications by December 31, 2012.
B. FDA will issue final guidance no later than 12 months from the close of the public
comment period on the draft guidance. Such final guidance and any subsequent revisions
to the final guidance shall be binding on sponsors, applicants, and manufacturers no
earlier than twenty-four months after issuance of the final guidance.
C. Requirements for electronic submission shall be phased in according to the following
schedule:
1. Twenty-four (24) months after publication of the final guidance: All new
original NDA and BLA submissions, all new NDA and BLA efficacy
supplements and amendments, all new NDA and BLA labeling supplements
and amendments, all new manufacturing supplements and amendments, and
all other new NDA submissions.
2. Thirty-six (36) months after publication of the final guidance: All original
commercial INDs and amendments, except for submissions described in
section 561 of the Federal Food, Drug, and Cosmetic Act.
D. Because of the significant investments required to change regulatory submission and
review software, initial FDA guidance shall specify the format of electronic submission
of applications using eCTD version 3.2.2 unless, after notice and an opportunity for
stakeholder comment, FDA determines that another version will provide for more
efficient and effective applicant submission or FDA review. In general, when FDA
revises final guidance requiring submission using a new version of electronic standards or
formats, FDA shall also accept submissions using the previous version for no less than
twenty-four (24) months.
E. Clinical Terminology Standards: Using a public process that allows for stakeholder
input, FDA shall develop standardized clinical data terminology through open standards
development organizations (i.e., the Clinical Data Interchange Standards Consortium
(CDISC)) with the goal of completing clinical data terminology and detailed
implementation guides by FY 2017.
1. FDA shall develop a project plan for distinct therapeutic indications,
prioritizing clinical terminology standards development within and across
review divisions. FDA shall publish a proposed project plan for stakeholder
review and comment by June 30, 2013. FDA shall update and publish its
project plan annually.

28

F. Development of terminology standards for data other than clinical data: To address
FDA-identified nonclinical data standards needs, FDA will request public input on the
use of relevant already-existing data standards and the involvement of existing standards
development organizations to develop new standards or refine existing standards. FDA
will obtain this input via publication of a Federal Register notice that specifies a 60-day
comment period.
G. FDA shall periodically publish final guidance specifying the completed data
standards, formats, and terminologies that sponsors must use to submit data in
applications. In the case of standards for study data, new data standards and terminology
shall be applicable prospectively and only required for studies that begin 12 months after
issuance of FDA's final guidance on the applicable data standards and terminology.
XIII. PROGRESS REPORTING FOR PDUFA V AND CONTINUING PDUFA IV
INITIATIVES
On an annual basis, FDA will report on its website the progress in each of the PDUFA V
initiatives described in Sections IX, X, XI, and XII. The annual reports will include: (a)
descriptions of the hiring and placement of new staff and use of PDUFA resources to
support the new initiatives in Sections IX, X, XI.A, XI.B, and XII, and (b) progress reports
on achieving metrics described in each of the sections. Each report will be posted on the
FDA website no later than 120 days after the end of the fiscal year. The staff resources
will support the new initiatives described in Sections IX, X, XIA, XIB and XII and the
related work associated with these initiatives to ensure their success.
XIV. INFORMATION TECHNOLOGY GOALS
A. Objective
FDA is committed to achieve the long-term goal of improving the exchange,
review, and management of human drug and biologic applications throughout the
product life cycle through strategic investments in automated, standards-based
information technology (IT).
B. Communications and Technical Interactions
1. FDA will periodically update and publish to the FDA website a five-year plan
for business process improvement enabled by IT investments.
a) The plan will frame the strategy for prioritizing IT-enabled business
process change, enumerate the business process improvements expected
from each IT investment, and convey a consistent series of milestones for
each initiative to track pace and progress.
b) FDA will conduct an annual assessment of progress against the plan
and publish on the FDA website a summary of the assessment within 3
months after the close of each fiscal year.
c) FDA will publish updates to the plan as FDA deems appropriate.
FDA will publish on the FDA web site draft revisions to the plan; solicit

29

comments from the public on those draft revisions; and consider the public
comments before completing and publishing updates to the plan.
2. The FDA and industry stakeholders will meet on a quarterly basis to discuss
prospective implementation of the plan, progress toward the long term goal,
potential impacts that future activities may have on FDA or stakeholders, and
potential revisions to the plan.
C. Metrics and Measures
On an annual basis, FDA will measure and report progress toward achievement of the
objectives defined in Section XIV.A. Measures will include but are not limited to:
1. The number and percentage of IND, NDA, and BLA submissions received in
valid electronic format in compliance with FDA standards, categorized by
types of submissions. Increasing the number and percentage of IND, NDA,
and BLA submissions received in valid electronic format is a goal that is
supported by the FDA and industry stakeholders. Achievement of this goal
requires the cooperation of regulated industry. To support the assessment of
this goal, the following information will be tracked and reported:
a) Total number of submissions categorized by type of submission
b) Total number of submissions in valid electronic format in compliance
with FDA standards
c) Total number of submissions received through the secure electronic
single point of entry versus other methods
d) Total number of submissions received substantially on paper or nonstandardized electronic format
e) Total number of standards-based electronic submissions that fail to
comply with FDA electronic submission standards, along with a
distribution of these submission failures across categories of failure or
problem type
2. Number and significance of IT technical specifications or e-submission
guidance implemented requiring industry to change submission content that
are not forecasted accurately in the five year plan or those whose content has
not been available to industry at least twelve months prior to required
implementation.
3. Spending on Center IT systems and IT systems that are common across the
organizational divisions participating in the process for the review of human
drug applications. This includes systems development versus maintenance
spending; infrastructure support; a report of total PDUFA fee-funded spending
versus appropriations-funded spending; FDA enterprise versus PDUFAprogram specific support.
XV. IMPROVING FDA PERFORMANCE MANAGEMENT
A. The studies conducted under this initiative are intended to foster:
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1. Development of programs to improve access to internal and external expertise
2. Reviewer development programs, particularly as they relate to drug review
processes
3. Advancing science and use of information management tools
4. Improving both inter- and intra-Center consistency, efficiency, and
effectiveness
5. Improved reporting of management objectives
6. Increased accountability for use of user fee revenues
7. Focused investments on improvements in the process of drug review
8. Improved communication between the FDA and industry
B. Studies will include:
1. Assessment by an independent contractor of the Program for NME NDAs and
original BLAs as described in Section IIB.
2. Assessment of the impact of the benefit-risk framework in the human drug
review process as described in Section X.A.3.
3. Development of a tool to evaluate the success of the activities of the Rare
Disease Program as described in Section IX.D.6.
4. Assessment of the impact of electronic submissions and data standards on the
efficiency and other performance attributes of the human drug review process
beginning in FY 2015.
5. Assessments by an independent accounting firm of the review activity
adjustment methodology, as described in section 736(c)(2), by the end of the
second quarter of FY 2013 and by the end of the fourth quarter of FY 2015
with recommendations for changes, if warranted.
XVI. DEFINITIONS AND EXPLANATION OF TERMS
A. The term “review and act on” means the issuance of a complete action letter after the
complete review of a filed complete application. The action letter, if it is not an approval,
will set forth in detail the specific deficiencies and, where appropriate, the actions
necessary to place the application in condition for approval.
B. Goal Date Extensions for Major Amendments

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1. A major amendment to an original application, efficacy supplement, or
resubmission of any of these applications, submitted at any time during the
review cycle, may extend the goal date by three months.
2. A major amendment may include, for example, a major new clinical
safety/efficacy study report; major re-analysis of previously submitted
study(ies); submission of a REMS with ETASU not included in the original
application; or significant amendment to a previously submitted REMS with
ETASU. Generally, changes to REMS that do not include ETASU and minor
changes to REMS with ETASU will not be considered major amendments.
3. A major amendment to a manufacturing supplement submitted at any time
during the review cycle may extend the goal date by two months.
4. Only one extension can be given per review cycle.
5. Consistent with the underlying principles articulated in the GRMP guidance,
FDA’s decision to extend the review clock should, except in rare
circumstances, be limited to occasions where review of the new information
could address outstanding deficiencies in the application and lead to approval
in the current review cycle.
C. A resubmitted original application is a complete response to an action letter
addressing all identified deficiencies.
D. Class 1 resubmitted applications are applications resubmitted after a complete
response letter (or a not approvable or approvable letter) that include the following items
only (or combinations of these items):
1. Final printed labeling
2. Draft labeling
3. Safety updates submitted in the same format, including tabulations, as the
original safety submission with new data and changes highlighted (except
when large amounts of new information including important new adverse
experiences not previously reported with the product are presented in the
resubmission)
4. Stability updates to support provisional or final dating periods
5. Commitments to perform Phase 4 studies, including proposals for such studies
6. Assay validation data
7. Final release testing on the last 1-2 lots used to support approval
8. A minor reanalysis of data previously submitted to the application

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9. Other minor clarifying information (determined by the Agency as fitting the
Class 1 category)
10. Other specific items may be added later as the Agency gains experience with
the scheme and will be communicated via guidance documents to industry
E. Class 2 resubmissions are resubmissions that include any other items, including any
items that would require presentation to an advisory committee.
F. A Type A meeting is a meeting which is necessary for an otherwise stalled drug
development program to proceed (a “critical path” meeting) or to address an important
safety issue.
G. A Type B Meeting is a 1) pre-IND, 2) end of Phase 1 (for Subpart E or Subpart H or
similar products) or end of Phase 2/pre-Phase 3, or 3) a pre-NDA/BLA meeting. Each
requestor should usually only request 1 each of these Type B meetings for each potential
application (NDA/BLA) (or combination of closely related products, i.e., same active
ingredient but different dosage forms being developed concurrently).
H. A Type C meeting is any other type of meeting.
I. The performance goals and procedures also apply to original applications and
supplements for human drugs initially marketed on an over-the-counter (OTC) basis
through an NDA or switched from prescription to OTC status through an NDA or
supplement.
J. IT-specific definitions (refer also to Section XIV)
1. “Program” refers to the organizational resources, procedures, and activities
assigned to conduct “the process for the review of human drug applications,”
as defined in the Prescription Drug User Fee Act.
2. “Standards-based” means compliant with published specifications that address
terminology or information exchange between the FDA and regulated parties
or external stakeholders, as adopted by the FDA or other agencies of the
federal government, and often based on the publications of national or
international Standards Development Organizations.
3. “FDA Standards” means technical specifications that have been adopted and
published by the FDA through the appropriate governance process. FDA
standards may apply to terminology, information exchange, engineering or
technology specifications, or other technical matters related to information
systems. FDA standards often are based on the publications of other federal
agencies, or the publications of national or international Standards
Development Organizations.
4. “Product life cycle” means the sequential stages of human drug development,
regulatory review and approval, post-market surveillance and risk
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management, and where applicable, withdrawal of an approved drug from the
market. In the context of the process for the review of human drug
applications, the product life cycle begins with the earliest regulatory
submissions in the Investigational New Drug (IND) phase, continues through
the New Drug Application (NDA) or Biological Licensing Application (BLA)
review phase, and includes post-market surveillance and risk management
activities as covered under the process for the review of human drug
applications.

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