edrlsPROPOSAL

Tuesday,
August 29, 2006

Part II

Department of
Health and Human
Services
Food and Drug Administration

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21 CFR Parts 20, 201, 207, et al.
Requirements for Foreign and Domestic
Establishment Registration and Listing for
Human Drugs, Including Drugs that are
Regulated Under a Biologics License
Application, and Animal Drugs; Proposed
Rule

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Federal Register / Vol. 71, No. 167 / Tuesday, August 29, 2006 / Proposed Rules

DEPARTMENT OF HEALTH AND
HUMAN SERVICES
Food and Drug Administration
21 CFR Parts 20, 201, 207, 314, 330,
514, 515, 601, 607, 610, and 1271
[Docket No. 2005N–0403]
RIN 0910–AA49

Requirements for Foreign and
Domestic Establishment Registration
and Listing for Human Drugs,
Including Drugs that are Regulated
Under a Biologics License Application,
and Animal Drugs
AGENCY:

Food and Drug Administration,

HHS.

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ACTION:

Proposed rule.

SUMMARY: The Food and Drug
Administration (FDA) is proposing to
amend its regulations governing drug
establishment registration and drug
listing. The proposed revisions would
reorganize, consolidate, clarify, and
modify current regulations concerning
who must register establishments and
list human drugs, human drugs that are
also biological products (including
vaccines and allergenic products), and/
or human cells, tissues, and cellular and
tissue-based products (HCT/Ps), and
animal drugs. The proposal describes
when and how to register and list and
what information must be submitted for
registration and listing. In addition, the
proposal would make certain changes to
the National Drug Code (NDC) system
and would require the appropriate NDC
number to appear on the labels for drugs
subject to the listing requirements. The
proposed regulations generally would
require the electronic submission of all
registration and most listing
information. We (FDA) rely on
establishment registration and drug
listing information for administering
many of our programs, such as
postmarketing surveillance (including
FDA inspections), bioterrorism, drug
shortages and availability, and user fee
assessments. We are taking this action to
use the latest technology to improve our
registration and listing system, which
would further our goal of protecting the
public health. We also believe that the
conversion to an electronic system
would make the registration and listing
processes more efficient and effective
for industry and us. We are also taking
this action to support the
implementation of, for example, the
electronic prescribing provisions of the
Medicare Prescription Drug,
Improvement, and Modernization Act,
our rulemaking requiring a bar code on

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certain drug products, and the DailyMed
initiative.
DATES: Submit written or electronic
comments by November 27, 2006.
Submit written comments on the
information collection requirements by
September 28, 2006 to OMB (see
ADDRESSES). See section IX of this
document for the proposed effective
date and section X for the proposed
compliance dates of a final rule based
on this document.
ADDRESSES: You may submit comments,
identified by Docket No. 2005N–0403
and/RIN 0910–AA49, by any of the
following methods:
Electronic Submissions
Submit electronic comments in the
following ways:
• Federal eRulemaking Portal: http://
www.regulations.gov. Follow the
instructions for submitting comments.
• Agency Web site: http://
www.fda.gov/dockets/ecomments.
Follow the instructions for submitting
comments on the agency Web site.
Written Submissions
Submit written submissions in the
following ways:
• FAX: 301–827–6870.
• Mail/Hand delivery/Courier [For
paper, disk, or CD-ROM submissions]:
Division of Dockets Management (HFA–
305), Food and Drug Administration,
5630 Fishers Lane, rm. 1061, Rockville,
MD 20852.
To ensure more timely processing of
comments, FDA is no longer accepting
comments submitted to the agency by email. FDA encourages you to continue
to submit electronic comments by using
the Federal eRulemaking Portal or the
agency Web site, as described in the
Electronic Submissions portion of this
paragraph.
Instructions: All submissions received
must include the agency name and
Docket No(s). and Regulatory
Information Number (RIN) (if a RIN
number has been assigned) for this
rulemaking. All comments received may
be posted without change to http://
www.fda.gov/ohrms/dockets/
default.htm, including any personal
information provided. For additional
information on submitting comments,
see the ‘‘Comments’’ heading of the
SUPPLEMENTARY INFORMATION section of
this document.
Docket: For access to the docket to
read background documents or
comments received, go to http://
www.fda.gov/ohrms/dockets/
default.htm and insert the docket
number(s), found in brackets in the
heading of this document, into the
‘‘Search’’ box and follow the prompts
and/or go to the Division of Dockets

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Management, 5630 Fishers Lane, rm.
1061, Rockville, MD 20852.
Information Collection Provisions:
Submit written comments on the
information collection provisions to the
Office of Information and Regulatory
Affairs, Office of Management and
Budget (OMB).To ensure that comments
on the information collection are
received, OMB recommends that written
comments be faxed to the Office of
Information and Regulatory Affairs,
OMB, Attn: FDA Desk Officer, FAX:
202-395-6974.
FOR FURTHER INFORMATION CONTACT: For
information concerning drugs regulated
by the Center for Drug Evaluation and
Research (CDER): Herbert Gerstenzang
or John W. Gardner, Center for Drug
Evaluation and Research (HFD–330),
Food and Drug Administration, 5600
Fishers Lane, Rockville, MD 20857,
301–827–8920,
[email protected] or
[email protected].
For information concerning products
regulated by the Center for Biologics
Evaluation and Research (CBER):
Valerie A. Butler, Center for Biologics
Evaluation and Research (HFM–17),
Food and Drug Administration, 1401
Rockville Pike, Rockville, MD 20852–
1448, 301–827–6210,
[email protected].
For information concerning animal
drugs: Lowell Fried (HFV–212) or Isabel
W. Pocurull (HFV–226), Center for
Veterinary Medicine (CVM), Food and
Drug Administration, 7519 Standish Pl.,
Rockville, MD 20855, 301–827–7820 or
240–453–6853, [email protected]
or [email protected].
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Background
II. Summary of Current Registration and
Listing Requirements
A. Summary of Section 510 of the Act
B. Summary of Current Registration and
Listing Regulations
1. Who Must Register and List Under
Current Regulations?
2. What Are the Current Registration
Requirements?
3. What Are the Current Listing
Requirements?
4. What Are the Current Requirements
Associated With the Use of the NDC
Number?
5. Who Is Exempt from Registration and
Listing Under Current Regulations and
Who Is Not Covered by the Current
Registration and Listing Requirements in
21 CFR part 207?
6. Do Current Regulations Permit the
Disclosure of Registration and Listing
Information?
III. Highlights of the Proposed Rule
A. Proposed Changes to the Current
Registration and Listing Requirements

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Federal Register / Vol. 71, No. 167 / Tuesday, August 29, 2006 / Proposed Rules
B. Promotion of Department of Health and
Human Services Federal Health
Information Technology Initiatives
IV. Description of the Proposed Rule
A. General
1. What Is the Purpose of Proposed Part
207?
2. Who Would Part 207 Cover?
3. Who Would Not Be Subject to Part 207?
4. Who Would Be Exempt from
Registration and Listing?
5. What Definitions and Interpretations of
Terms Would Apply to Part 207?
B. Registration
1. Who Would Be Required to Register?
2. When Would Initial Registration
Information Be Provided?
3. What Information Would Be Required
for Registration?
4. What Are the Proposed Requirements for
Reviewing and Updating Registration
Information?
C. The National Drug Code (NDC) Number:
What is It? How is It Used? What
Changes Are We Proposing?
1. What Is the NDC Number?
2. How Did NDC Numbers Originate? How
Are They Used?
3. What Changes Are We Proposing?
4. How Do We Intend to Implement the
NDC Number Changes?
D. Listing
1. Who Would Be Required to List Drugs?
2. When Would Initial Listing Information
Be Provided?
3. What Listing Information Would Be
Required?
4. What Listing Information Would Be
Required for Manufacturers?
5. What Listing Information Would Be
Required for Repackers and Relabelers?
6. What Listing Information Would Be
Required for Drug Product Salvagers
Who are Not Repackers or Relabelers?
7. What Additional Drug Listing
Information May Be Required?
8. What Are the Proposed Requirements for
Reviewing and Updating Listing
Information?
E. Electronic Format
1. How Would Registration and Listing
Information Be Provided to FDA?
2. What Was the Electronic Submission
Pilot Project?
3. How Would the Electronic Registration
and Listing System Work?
4. What Are the Proposed Requirements for
the Submission of Content of Labeling in
Electronic Format?
5. Would the Proposal Require Electronic
Submission of Advertisements and Other
Labeling?
6. What Guidance Documents Do We
Intend To Issue on Providing
Registration and Listing Information
Electronically?
7. How Would 21 CFR Part 11 Apply to the
Electronic Submission of Registration
and Listing Information?
8. What Language Would Be Used to
Provide Registration and Listing
Information?
9. Could the Electronic Format
Requirements Be Waived?
F. Miscellaneous

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1. What Are the Proposed Requirements for
an Official Contact and a United States
Agent?
2. What Legal Status Is Conferred by
Registration and Listing?
3. What Registration and Listing
Information Would Be Made Available
for Public Disclosure?
G. Conforming Actions
1. Withdrawal from Sale of Drugs with
Approved Marketing Applications
2. Proposed Revisions to Other Regulations
3. Compliance Verification Reports
V. Legal Authority
VI. Analysis of Economic Impacts
VII. Paperwork Reduction Act of 1995
VIII. Environmental Impact
IX. Proposed Effective Date
X. Proposed Compliance Dates
XI. Federalism
XII. Request for Comments
XIII. References

I. Background
We originally published
establishment registration regulations
for human drugs, certain biological
products, and animal drugs in the
Federal Register of February 14, 1963
(28 FR 1457) (proposed rule) and April
3, 1963 (28 FR 3195) (final rule), and
listing regulations for these drugs in the
Federal Register of December 12, 1972
(37 FR 26431) (proposed rule) and
March 7, 1973 (38 FR 6258) (final rule).
We currently maintain a database
containing the establishment
registration and drug listing information
submitted on paper to us. We rely on
complete and accurate registration and
listing information to accomplish a
number of our statutory and regulatory
objectives. For example, we use
registration and listing information to:
• Identify the manufacturers,
repackers, relabelers, and drug product
salvagers of marketed drugs;1
• Identify the manufacturers,
repackers, or relabelers of a specific
drug or ingredient when that drug or
ingredient is in short supply or is
needed for a national emergency. This
information helps us facilitate prompt
drug shipment to the place where it is
needed. For example, during a
bioterrorism incident, we could use
drug listing information to identify
manufacturers, repackers, and relabelers
of drugs that would be helpful in
preventing or counteracting the deadly
effects of biological weapons. With this
information, we could facilitate prompt
shipment of the drugs as needed;
1 ‘‘Drug’’ or ‘‘drugs’’ refers to human drugs,
including drugs that are regulated under a biologics
license application, and animal drugs (including
Type A medicated articles), unless otherwise
specifically stated. ‘‘Drugs’’ is defined in proposed
§ 207.1 and discussed in section IV.A.5 of this
document. Biological products subject to proposed
part 207 are described in proposed § 207.9(c).

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• Facilitate the recall of drugs
marketed by manufacturers, repackers,
and relabelers;
• Identify and catalogue marketed
drugs;
• Administer our postmarketing
surveillance programs for drugs,
including the drug surveillance
sampling program that monitors the
quality of the national drug supply;
• Identify drugs marketed in violation
of the law;
• Schedule and plan inspections of
registered establishments pursuant to
section 704 of the Federal Food, Drug,
and Cosmetic Act (the act) (21 U.S.C.
374); and
• Determine which marketed drugs
are identical, related, or similar to drugs
reviewed for effectiveness under the
Drug Efficacy Study Implementation
(DESI) program.
We also rely on registration and
listing information to help us comply
with several other statutory provisions.
We use the information to:
• Determine which entities are
subject to establishment and product
user fees under the prescription drug
user fee program and the animal drug
user fee program (21 U.S.C.379h and
379).
• Generate accurate estimates of the
number of manufacturers, repackers,
relabelers, and drug product salvagers
and drugs that are affected by our
rulemaking. These estimates help us
assess the impact of our regulations on
the regulated industry, which we are
required to do under the Regulatory
Flexibility Act (5 U.S.C. 601–612), as
amended by the Small Business
Regulatory Enforcement Fairness Act
(Public Law 104–121), the Unfunded
Mandates Reform Act of 1995 (2 U.S.C.
1501 et seq.), the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501–3520),
Executive Order 12866 (September 30,
1993), and the Congressional Review
Act (section 251 of Public Law 104–
121).
Registration and listing information
will continue to be used for all of the
important public health purposes
outlined above. Moreover, recent
technological advances would allow us
to enhance the usefulness of registration
and listing information. Specifically, we
are proposing that registration and
listing information be submitted to us
by using the electronic drug registration
and listing system that we intend to
develop. In addition to making the
registration and listing process more
efficient for industry, the electronic
submission of registration and listing
information would allow us to review
and use such information more quickly
and effectively in carrying out all of the

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activities described above. Electronic
submission of this information would
also allow us to fully support the
implementation of the provisions of the
Medicare Prescription Drug,
Improvement, and Modernization Act
(Public Law 108–173) (Medicare
Modernization Act), specifically the
electronic prescribing provisions. In
addition, electronic submission of
registration and listing information
would further the purpose of several
statutes:
• The Public Health Security and
Bioterrorism Preparedness and
Response Act of 2002 (Public Law 107–
188) (Bioterrorism Act) amended section
510(i) of the act (21 U.S.C. 360(i)) to
require that foreign establishments
submit, among other things, registration
information electronically.
• The Medical Device User Fee and
Modernization Act of 2002 (Public Law
107–250) also amended section 510 of
the act (at section 510(p)) to explicitly
give the Secretary of Health and Human
Services (the Secretary) discretion to
require the electronic submission of
registration information, upon a finding
that electronic receipt of such
registration information is feasible,
unless the Secretary grants a request for
a waiver.
• The Government Paperwork
Elimination Act of 1998 (Public Law
105–277, Title XVII) (GPEA) requires
Federal agencies to give persons who
are required to maintain, submit, or
disclose information the option of doing
so electronically when practicable as a
substitute for paper, and to use
electronic authentication (electronic
signature) methods to verify the identity
of the sender and the integrity of the
electronic content.
We believe that conversion to the
electronic submission of registration
and listing information will further the
purpose of these laws and make the
registration and listing processes more
efficient and effective for industry and
us.
II. Summary of Current Registration
and Listing Requirements

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A. Summary of Section 510 of the Act
Section 510(c) of the act requires
every person upon first engaging in the
‘‘manufacture, preparation, propagation,
compounding, or processing’’ of a drug
in any establishment that he owns or
operates in any State to immediately
register his name and place of business
and such establishment. Under section
510(a)(1) of the act, the term
‘‘manufacture, preparation, propagation,
compounding, or processing’’ must
include ‘‘repackaging or otherwise

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changing the container, wrapper, or
labeling of any drug package * * * in
furtherance of the distribution of the
drug * * * from the original place of
manufacture to the person who makes
final delivery or sale to the ultimate
consumer or user.’’ Section 510(a)(2) of
the act mandates that the term ‘‘name’’
include, among other things, the name
of each partner of a partnership, and the
name of each corporate officer and
director of a corporation. An owner or
operator of a registered establishment
must also immediately register any
additional establishment that he owns
or operates in any State and in which he
begins the ‘‘manufacture, preparation,
propagation, compounding, or
processing’’ of a drug (section 510(d) of
the act). An owner or operator of any
establishment that engages in these
activities must register its establishment
on or before December 31 of each year
(section 510(b) of the act). Section 510(i)
of the act contains certain registration
requirements pertaining to foreign
establishments (e.g., submission of the
name of each importer of a drug in the
United States that is known to the
establishment, submission of the name
of each person who imports or offers for
import a drug into the United States for
purposes of importation). Section 510(g)
of the act provides for certain
exemptions from the registration
requirements. In addition, section
510(p) of the act gives the Secretary
discretion to require the electronic
submission of registration information,
upon a finding that electronic receipt of
such registration information is feasible,
unless the Secretary grants a request for
a waiver.
Section 510(j)(1) of the act requires
that every person, at the time of
registration, submit a list of all drugs
that are being manufactured, prepared,
propagated, compounded, or processed
by him for commercial distribution and
that have not been previously listed by
him. This information must be
submitted in the form and manner
prescribed by the Secretary (section
510(j)(1) of the act). This listing
information must be accompanied by,
among other things, a copy of certain
labeling and, in some cases, advertising
for certain categories of drugs. Section
510(j)(2) of the act requires certain
changes in listing information to be
reported every June and December,
including any material changes in
information previously submitted under
the listing provisions.
Section 510(e) of the act permits the
Secretary to assign a registration number
to any person or any establishments
registered under section 510 and a
listing number to each drug or class of

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drugs listed under section 510(j) as long
as the listing number is the same as that
assigned pursuant to the National Drug
Code. The disclosure provision in
section 510(f) of the act requires the
Secretary to make available for
inspection any registration filed under
section 510. Section 510(f) also provides
that certain listing information must be
exempt from disclosure unless the
Secretary finds that such exemption
would be inconsistent with protection
of the public health.
B. Summary of Current Registration and
Listing Regulations
1. Who Must Register and List Under
Current Regulations?
Under current part 207 (21 CFR part
207), with certain exceptions, owners or
operators of establishments that engage
in the manufacturing or processing of a
drug or drugs must, in addition to other
requirements, register their
establishments and submit listing
information for each of their drugs in
commercial distribution.2
Notwithstanding certain exceptions,
foreign drug establishments that
manufacture, repack, or relabel a drug
that is imported or offered for import
into the United States must also comply
with the registration and listing
requirements. As explained in section
IV.E of this document, all registration
and listing information must currently
be submitted to us using paper forms
specified by us.
2. What Are the Current Registration
Requirements?
Current requirements for registration
include, among other things, the
following provisions:
• Owners or operators of
establishments entering into the
manufacturing or processing of a drug or
drugs must register their establishments
within 5 days after beginning the
manufacturing or processing of drugs at
the establishments (§ 207.21(a)).
• If owners or operators of the
establishments have not previously
entered into such operations, then those
owners or operators must register within
5 days after the submission of a new
drug application (NDA), abbreviated
new drug application (ANDA), new
animal drug application (NADA),
abbreviated new animal drug
application (ANADA), medicated feed
mill license application, or biologics
license application (BLA) (§ 207.21(a)).
2‘‘Drug or drugs’’ includes drugs regulated under
a BLA. For a description of biological products
covered under proposed part 207, see proposed
§ 207.9(c).

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• Owners or operators of
establishments that are required to
register must renew their registration
annually in accordance with the
specified schedule (§ 207.21(a)).
Changes in individual ownership,
corporate or partnership structure,
location, or drug-handling activity must
be submitted as amendments to
registration within 5 days of such
changes (§ 207.26).
• We assign a permanent registration
number to each registered establishment
(§ 207.35).
• Private label distributors that do not
otherwise manufacture or process drugs
are not required to register; however,
they must submit specified information
to us to obtain a labeler code
(§ 207.20(b)). Private label distributors
are owners or operators of
establishments not otherwise required
to register under section 510 of the act
that distribute under their own label or
trade name a drug manufactured or
processed by a registered establishment.

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3. What Are the Current Listing
Requirements?
Current requirements for listing
include, among other things, the
following provisions:
• Owners or operators of
establishments must, at the time of
registration, submit a list of every drug
being manufactured or processed in
commercial distribution at that time
(§ 207.21(a)).
• Private label distributors that do not
otherwise manufacture or process drugs
are not required to list, but may elect to
submit listing information directly to us
(§ 207.20(b)). Currently, private label
distributors that elect to submit listing
information directly to us assume full
responsibility for compliance with the
requirements of part 207 (§ 207.20(b)).
Owners or operators of establishments
that are required to register and list
must submit listing information to us on
behalf of private label distributors that
do not elect to submit listing
information directly to us (§ 207.20(b)).
• Drugs that may be subject to current
listing requirements include bulk drug
substances; finished dosage forms,
whether prescription or over-thecounter (OTC) drugs; and Type A
medicated articles (§ 207.25(b)).
• The required listing information
submitted to us includes, but is not
limited to:
—The application number, if
applicable,
—Copies of current labeling as
specified in current § 207.25(b) and, in
some cases, a representative sampling of
advertisements,

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—A quantitative listing of the active
ingredient(s) (in some cases),
—The NDC number, and
—Any imprinting information
(§ 207.25(b)).
• Owners or operators of
establishments that are required to
register must update their listing
information every June and December
or, at the discretion of the owner or
operator, when the change occurs.
Updated information must include, but
is not limited to:
—A list of each drug introduced by
the registrant for commercial
distribution that has not been included
in any previously submitted list,
—A list of all previously listed drugs
for which commercial distribution has
been discontinued,
—A list of all drugs for which a notice
of discontinuance was submitted and
for which commercial distribution has
resumed, and
—Any material change, as defined
under current § 207.3(a)(3), in any
information previously submitted
(§ 207.30(a)).
4. What Are the Current Requirements
Associated With the Use of the NDC
Number?
The NDC system is used, among other
things, to assign a drug listing number
to each drug or class of drugs.
• The NDC number currently consists
of the labeler code, product code, and
package code. We assign the labeler
code, and, as stated in current
regulations, ‘‘establishments’’ assign the
product code and package code within
certain parameters specified by us
(§ 207.35).
• Currently, we request, but not
require, that the NDC number appear on
all drug labels and labeling (§ 201.2 (21
CFR 201.2), § 207.35(b)(3)). However,
drug products described in current
§ 201.25(b) (21 CFR 201.25(b)) must
have on the label a bar code that
contains, at a minimum, the appropriate
NDC number in a linear bar code that
meets specified standards (§ 201.25).
• The current regulations specify both
format and placement of the NDC
number if the NDC number is included
on drug labels and labeling
(§ 207.35(b)(3)).
5. Who Is Exempt From Registration and
Listing Under Current Regulations and
Who Is Not Covered by the Current
Registration and Listing Requirements
in 21 CFR Part 207?
Under current regulations, certain
establishments are exempt from the
registration and listing requirements.
For example, practitioners who are
licensed by law to prescribe or

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administer drugs and who manufacture
or process drugs solely for use in their
professional practice, and persons who
manufacture or process drugs not for
sale but solely for use in research,
teaching, or chemical analysis are
exempt from registration and listing
requirements. Many of the exemptions
in current § 207.10 are also listed in
section 510(g) of the act.
The current regulations also describe
those establishments that are not
covered under part 207. Owners and
operators of human blood and blood
product establishments must register
and list their products in accordance
with part 607 (21 CFR part 607).
However, such owners and operators
who also manufacture or process other
drug products at the same establishment
must also register and list those drugs in
accordance with part 207 (§ 207.7).
Owners and operators of establishments
that solely engage in the manufacture or
processing of medical devices are not
covered under part 207. However, such
owners and operators must register and
list their products in accordance with
part 807.
6. Do Current Regulations Permit the
Disclosure of Registration and Listing
Information?
The current regulations specify the
registration and listing information
submitted to us that is available for
public disclosure (§ 207.37).
III. Highlights of the Proposed Rule
This proposal would reorganize,
consolidate, and modify the current
registration and listing requirements. It
would also assist us in promoting other
important electronic health initiatives.
A. Proposed Changes to the Current
Registration and Listing Requirements
We are proposing many changes to
the current registration and listing
requirements. In section IV of this
document, we discuss in detail these
changes and the reasons for the changes.
The most significant proposed changes
to the current requirements are as
follows:
• All registration information and
most listing information would be
provided to us electronically using the
electronic drug registration and listing
system that we intend to develop.
(Currently, the information is submitted
to us on paper forms.)
• The appropriate NDC number
would be required, with certain
exceptions, to appear on drug labels.
The appropriate NDC number is the
NDC number belonging to the
manufacturer, repacker, or relabeler,
that corresponds to the particular drug;

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a repacker or relabeler would not be
permitted to place an NDC number that
corresponds to an original manufacturer
on a repackaged or relabeled drug.
Although the NDC number would not be
required to appear on other drug
labeling (that is, the prescription drug
labeling or the package insert), the NDC
number would need to accompany the
submission of the other drug labeling.
(Currently, we only request that the
NDC number appear on drug labels and
labeling. However, certain drug
products must have on the label a bar
code that contains, at a minimum, the
appropriate NDC number (see § 201.25).)
• All three sections of the NDC
number—that is, the labeler code,
product code, and package code—would
be assigned prospectively by us to drugs
that have not previously been assigned
NDC numbers by a manufacturer,
repacker, or relabeler. (Currently, we
assign the labeler code, and the
registered establishment or private label
distributor assigns the product code and
package code within certain parameters
specified by us.) The labeler code
assigned prospectively by us would be
the same as the labeler code (or one of
the labeler codes) used by the
manufacturer, repacker, or relabeler on
its currently marketed drugs.
• The NDC numbers currently
assigned to drugs prior to the effective
date of the rule would remain
unchanged, provided those NDC
numbers comply with the new
regulations as finalized. FDA intends to
validate that current NDC numbers
comply with the new regulations as
finalized. Manufacturers, repackers, and
relabelers should review the
information that they submitted to our
registration and listing database to
obtain an NDC number and update the
information if necessary. They should
complete their reviews and updates
within 9 months after a final rule’s
effective date. If, after the effective date
of the final rule, there is a change in a
drug (in accordance with proposed
§ 207.33(f)), we would assign a new
product code and package code to the
newly changed drug, but the drug
would keep the labeler code. If, after the
effective date of the final rule, there is
a change in a drug’s packaging, we
would assign a new package code to the
drug, but the drug would keep the
labeler code and the product code.
(Currently, the registered establishment
or private label distributor may assign
the product and package codes within
certain parameters specified by us.)
• Private label distributors would not
be permitted to register or list under the
proposed rule. (Currently, private label
distributors submit certain information

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to request a labeler code and may list
drugs. If the private label distributor
elects not to submit drug listing
information directly to us and to obtain
a labeler code, the registered
establishment must submit the drug
listing information.) Manufacturers,
repackers, relabelers, or drug product
salvagers must submit drug listing
information for those drugs they
manufacture, repack, relabel, or salvage
for a private label distributor.
• Drug product salvagers would, in
addition to registering, be required to
list the drugs they salvage, even if they
do not repack or relabel the drugs.
(Currently, drug product salvagers are
required to register but not list.)
• The ‘‘content of labeling’’ as
defined in proposed § 207.1 would be
electronically submitted at the time of
listing in a format that we can process,
review, and archive. (Currently, all
labeling required for listing is submitted
in paper form.)
B. Promotion of the Department of
Health and Human Services (DHHS)
Federal Health Information Technology
Initiatives
The proposal would allow us to
provide important support for the full
implementation of the electronic
prescription provisions of the Medicare
Modernization Act. The proposal would
also support other initiatives, described
in section IV.C.2 of this document,
including DHHS Federal Health
Information Technology initiatives. The
proposal would result in an up-to-date
NDC number system, in which we
assign the NDC number, providing for
accurate, unique, and unambiguous
NDC numbers for each drug. This would
allow electronic systems to reliably and
consistently link the NDC number to the
appropriate drug labeling through
another DHHS health information
technology initiative, Structured
Product Labeling (SPL). The drug
labeling would supply the drug
ingredient and other information
necessary to support the development of
the standards for medication
terminology necessary for electronic
prescribing. Other initiatives supported
by this proposal, including bar coding
for drugs, are discussed in section
IV.C.2 of this document.
IV. Description of the Proposed Rule
We are proposing to reorganize,
consolidate, clarify, and modify the
regulations in part 207. As a result, we
have revised and recodified some
provisions, added new provisions, and
eliminated others. The following
description of the proposed rule

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describes both new provisions and
changes to existing regulations.
A. General
1. What Is the Purpose of Proposed Part
207?
We are proposing to add new § 207.5
to explicitly state the purpose of part
207, as set forth in the legislative history
of the Drug Amendments of 1962 and
the Drug Listing Act of 1972.
• Establishment registration
information helps us to identify who is
manufacturing, repacking, relabeling, or
salvaging drugs and where those
operations are being performed. As
explained in Senate Report No. 1744,
‘‘drugs should not be on the market
unless [FDA] knows who is making
them, and where they are being made.
This will help stop illicit and
substandard manufacturers who do not
follow the methods or establish the
controls called for by good
manufacturing practice’’ (1962
U.S.C.C.A.N. 2884, 2889). Knowing
where drugs are being made is even
more important today because it would
increase the Nation’s ability to prepare
for and respond effectively to
bioterrorism and other public health
emergencies.
• Drug listing information gives us a
current inventory of marketed drugs. As
stated in Senate Report No. 92–924,
‘‘[t]he effective enforcement of the drug
provisions of the [a]ct requires the ready
availability of a current inventory of all
marketed drugs’’ (1972 U.S.C.C.A.N.
2963, 2964). Moreover, the intent of
drug listing is to provide us ‘‘with an
effective means of surveillance’’ (Id. at
2965). Both establishment registration
and drug listing information facilitate
our implementation and enforcement of
the act and are used for many important
public health purposes. In addition, this
information will help us better respond
to emergencies (for example, we will be
in a better position to effectively
facilitate recalls should there be such a
need).
2. Who Would Part 207 Cover?
We are proposing to add new § 207.9
to explain that part 207 would apply to
the following.
• Domestic manufacturers, domestic
repackers, domestic relabelers, and
domestic drug product salvagers, unless
they are exempt under section 510(g) of
the act or proposed § 207.13. The terms
‘‘domestic manufacturers,’’ ‘‘domestic
repackers,’’ ‘‘domestic relabelers,’’ and
‘‘domestic drug product salvagers’’ are
defined in proposed § 207.1 and are
explained in section IV.A.5 of this
document. Proposed § 207.9 does not

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change the scope of current part 207.
Domestic manufacturers, domestic
repackers, domestic relabelers, and
domestic drug product salvagers would
be covered under proposed part 207
whether or not the drugs they
manufacture, repack, relabel, or salvage
enter interstate commerce. Section
510(b) and (c) of the act refer to an
establishment ‘‘in any State.’’ Congress’s
intention for section 510 of the act to
apply to drugs both in interstate and
intrastate commerce is stated in section
301 of Public Law 82–781, in part, as
follows: ‘‘[T]he products of all
[establishments in which drugs are
manufactured, prepared, propagated,
compounded, or processed] are likely to
enter the channels of interstate
commerce and directly affect such
commerce; and * * * the regulation of
interstate commerce in drugs without
provision for registration and inspection
of establishments that may be engaged
only in intrastate commerce in such
drugs would discriminate against and
depress interstate commerce in such
drugs, and adversely burden, obstruct,
and affect such interstate commerce.’’3
Accordingly, we are proposing to add to
proposed § 207.9 the clause ‘‘regardless
of whether their drugs enter interstate
commerce’’ to reflect this congressional
finding. The phrase ‘‘Drug products
* * * must be listed whether or not the
output of such establishments or any
particular drug so listed enters interstate
commerce’’ is already included in
current § 207.20(a).
• Foreign manufacturers, foreign
repackers, foreign relabelers, and foreign
drug product salvagers, unless they are
exempt under proposed § 207.13(c)
through (h). Foreign manufacturers,
foreign repackers, foreign relabelers, and
foreign drug product salvagers are
currently required to register, and
foreign manufacturers, foreign
repackers, and foreign relabelers are
currently required to submit listing
information in accordance with section
510 of the act and § 207.40. The terms
‘‘foreign manufacturers,’’ ‘‘foreign
repackers,’’ ‘‘foreign relabelers,’’ and
‘‘foreign drug product salvagers’’ are
defined in proposed § 207.1 and
explained in section IV.A.5 of this
document.
An increased number of foreign
manufacturers, foreign repackers,
foreign relabelers, and foreign drug
product salvagers may be required to
comply with registration and/or listing
requirements because we are proposing,
as explained in section IV.A.4 of this
document, to revoke certain provisions
of current § 207.40(a) and (b). We are
3See

footnote 1 of section 510 of the act.

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proposing to revoke the exemption in
current § 207.40(a) relating to foreign
establishments whose drugs enter a
foreign trade zone and are re-exported
from the foreign trade zone without
having entered U.S. commerce. We are
also proposing to revoke, in part,
current § 207.40(b), which allows for a
component of a drug imported under
section 801(d)(3) of the act (21 U.S.C.
381(d)(3)) to be imported or offered for
import into the United States even if the
component is not listed and
manufactured, prepared, propagated,
compounded, or processed at a
registered foreign establishment. We are
proposing to eliminate these two
exemptions in current § 207.40(a) and
(b) from the registration and listing
requirements in light of certain statutory
changes that have occurred since the
publication of the final rule on foreign
establishment registration and listing.
Those changes include enactment of the
Bioterrorism Act, which reflects
Congress’ desire to increase the Nation’s
ability to prepare for and respond
effectively to bioterrorism and other
public health emergencies.
• Manufacturers of drugs regulated
under a BLA, as follows:
Manufacturers of drugs regulated
under a BLA including, but not limited
to: (1) Plasma derivatives such as
albumin, Immune Globulin, Factor VIII
and Factor IX, and recombinant versions
of plasma derivatives or animal derived
plasma derivatives; (2) vaccines; (3)
allergenic products; (4) bulk product
substances such as fractionation
intermediates or pastes; and (5)
therapeutic biological products.
Establishments solely engaged in the
manufacture, as defined in § 1271.3(e)
(21 CFR 1271.3(e)), of HCT/Ps, as
defined in § 1271.3(d), that, under
§ 1271.20, are also drugs regulated
under section 351 of the Public Health
Service Act (PHS Act) or section 505 of
the act. Proposed § 207.9(c)(2) would
direct these establishments to register
and list those HCT/Ps with CBER by
following the procedures described in
subpart B of part 1271 (21 CFR part
1271) instead of the procedures for
registration and listing described in part
207. Proposed § 207.9(c)(2) is similar to
current § 207.20(f), which we propose to
revoke and replace with proposed
§ 207.9(c)(2).
We are also explaining the
relationship between the requirements
for HCT/Ps in part 207 and part 1271 of
this chapter. We have implemented, in
part 1271, a comprehensive, risk-based
regulatory approach for HCT/Ps. Under
this approach, some HCT/Ps are
regulated solely under section 361 of the
PHS Act (42 U.S.C. 264) and the

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regulations in part 1271; other HCT/Ps
are also subject to regulation as drugs or
devices under the act and to premarket
application or notification requirements
(submissions may include BLAs, NDAs,
or device PMAs, product development
protocols, or 510(k) applications).
Current § 207.20(f) also states that the
additional listing information
requirements in current § 207.31 are
applicable to HCT/Ps registered in
accordance with the procedures in part
1271, subpart B if they are also drugs
regulated under a BLA and/or the act.
We are proposing to revoke current
§ 207.31 and move several of its
requirements to other sections of the
proposed rule (see discussion in
sections IV.C and IV.D of this
document). Consistent with the
provisions in current § 207.20(f), the
requirements will continue to apply to
HCT/Ps that, under § 1271.20, are also
drugs regulated under a BLA or section
505 of the act.
In addition, proposed § 207.9(c)(2)
would require the submission of
information not currently required for
HCT/Ps under part 207, although the
submission of such information has
been required for drug products that are
not HCT/Ps. For example, proposed
§ 207.9(c)(2) would require
establishments to submit the NDC
number, as described in proposed
§§ 207.49(a), 207.53(a), and 207.54(b)(1),
and the route of administration, as
described in proposed § 207.49(b).
Under these provisions, such HCT/P
establishments would not be required to
register and list with both CBER and
CDER. Rather, we envision that
establishments will register with CBER,
and then will be asked to provide
additional information as required
under part 207. We will manage our
databases so that both CBER and CDER
have use of the registration and listing
information provided. The concept is
that there will be a link in place when
the establishment electronically
accesses the electronic registration and
listing system at http://www.fda.gov/
cber/tissue/tisreg.htm for tissue
registration. This will allow access to
the drug database fields to fill in the
additional information such as the NDC
number. If the establishment enters that
it manufactures a licensed biologic, this
will trigger the link. At the current time,
there is only one such product.
3. Who Would Not Be Subject to Part
207?
Proposed § 207.9 also describes two
categories of establishments that would
not be subject to part 207:
• Owners and operators of human
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establishments. This proposed rule does
not apply to owners and operators of
human blood and blood product
establishments unless they manufacture
any of the products listed in proposed
§ 207.9(c)(1)(i) and (c)(1)(iv). If the
owners and operators of human blood
and blood product establishments
manufacture any of those products, then
they must register and list under part
207. Establishments that collect or
process whole blood and blood products
as well as establishments involved in
the testing of whole blood and blood
products would register and list under
part 607. For purposes of this proposal,
blood and blood products consist of
human whole blood, plasma, or serum
or any product derived from human
whole blood, plasma, or serum, and the
term includes biological products
regulated as licensed devices.
Manufacturers of licensed devices and
manufacturers of licensed biological
components used in a licensed device
would register and list under part 607.
This exclusion is consistent with
current § 207.7(a) and would not apply
to owners and operators of human blood
and blood product establishments who
also manufacture other drugs.
• Establishments that solely
manufacture, prepare, propagate,
compound, assemble, or process
medical devices. Establishment
registration and device listing
regulations for such establishments and
initial importers of devices, including in
vitro diagnostic products, are codified
in part 807. Establishments that
manufacture, prepare, propagate,
compound, assemble, or process
medical devices, and also manufacture,
prepare, propagate, compound, or
process drugs, are subject to part 207 for
drugs and part 807 for devices.
As a result of these proposed
revisions clarifying the scope of part
207, proposed § 207.9 includes the
provisions in current § 207.7 that
explain the applicability of part 207 to
human blood and blood products and
medical devices. We are also proposing
to revoke related provisions that set
forth addresses in the Center for Devices
and Radiological Health (CDRH) and
CBER for submitting registration and
listing information, and provisions that
specify the appropriate forms for
submitting such information.
4. Who Would Be Exempt From
Registration and Listing?
Section 510(g) of the act and current
§ 207.10 provide for exemptions from
registration and drug listing
requirements. Proposed § 207.13
contains certain changes to some of the
exemptions in current § 207.10, as

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discussed in the first part of this section.
Proposed § 207.13 also incorporates
without change some exemptions from
current § 207.10, as discussed at the end
of this section.
The introductory paragraph of
proposed § 207.13, largely consistent
with current § 207.10, states that, except
as provided in proposed § 207.13(i), the
classes of persons listed in proposed
§ 207.13 are exempt from registration
and drug listing under section 510(g) of
the act, or because we have found,
under section 510(g)(5) of the act, that
their registration is not necessary for the
protection of the public health. We are
proposing to add the phrase ‘‘except as
provided in proposed § 207.13(i)’’ to
indicate that even though the classes of
persons identified in paragraphs (a)
through (h) are exempt from registration
and drug listing, if such persons engage
in activities as set forth in paragraph (i),
the exemption does not apply and they
are required nonetheless to register and
list. We are also proposing to include in
the introductory paragraph a sentence
clarifying that the exemption under
proposed § 207.13 would not provide
exemptions from other provisions of the
act or regulations. For example, persons
that do not have to register
establishments and list drugs are still
subject to the adulteration and
misbranding provisions under sections
501 and 502 of the act (21 U.S.C. 351
and 352) and also may be subject to the
new drug approval requirements under
section 505 of the act (21 U.S.C. 355) or
new animal drug approval requirements
under section 512 of the act (21 U.S.C.
360b). We may inspect their
establishments in accordance with
section 704 of the act and the current
good manufacturing practice
requirements. We are proposing to add
the clarifying sentence because in the
past some manufacturers, repackers,
relabelers, and drug product salvagers
that were exempt from registration and
listing requirements incorrectly believed
these provisions provided exemptions
from other provisions of the act and
regulations. Accordingly, we are
proposing to add this sentence to
remedy any confusion on this point.
a. Pharmacies—The current
exemption for pharmacies is codified at
§ 207.10(a). The proposed rule would
revise and clarify the exemption, and
would move it to § 207.13(a). Except as
noted in the discussion below, proposed
§ 207.13(a) is generally consistent with
current § 207.10(a).
Under proposed § 207.13(a),
pharmacies would be exempt from the
registration and listing requirements if
they: Operate in conformance with all
applicable local laws regulating the

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practice of pharmacy, including all
applicable local laws regulating the
dispensing of prescription drugs;
regularly engage in dispensing
prescription drugs upon prescription of
practitioners licensed by law to
administer these drugs to patients under
their professional care; and do not
manufacture (as defined in proposed
§ 207.1), repack, or relabel drugs for sale
other than in the regular course of the
practice of pharmacy, including
dispensing and selling drugs at retail.
Additional language has been added
to proposed § 207.13(a)(1)(i) and
(a)(1)(ii) to more closely track the
language in section 510(g)(1) of the act.
In addition, proposed § 207.13(a) does
not include language that is in current
§ 207.10(a) that provides that the
supplying of prescription drugs to a
practitioner licensed to administer the
drugs for use in the course of the
practitioner’s professional practice or to
other pharmacies to meet temporary
inventory shortages are not acts that
require pharmacies to register. We are
deleting this language because it is not
necessary. Pharmacies that engage in
such activities would be exempt from
registration if they fulfill the following
requirements: Operate in conformance
with all applicable local laws regulating
the practice of pharmacy, including all
applicable local laws regulating
dispensing of prescription drugs
(proposed § 207.13(a)(1)(i)); regularly
engage in dispensing prescription drugs
upon prescription of practitioners
licensed by law to administer these
drugs to patients under their
professional care (proposed
§ 207.13(a)(1)(ii)); and do not
manufacture (as defined in § 207.1),
repack, or relabel drugs for sale other
than in the regular course of the practice
of pharmacy, including dispensing and
selling drugs at retail (proposed
§ 207.13(a)(1)(iii)).
Proposed § 207.13(a)(2) clarifies that
pharmacies may potentially qualify for
the exemption in proposed § 207.13(a)
only if they are located in any State as
defined in section 201(a)(l) of the act (21
U.S.C. 321) (that is, any State or
Territory of the United States, the
District of Columbia, and the
Commonwealth of Puerto Rico). This
proposed provision is currently located
in the introductory paragraph in current
§ 207.10. We believe it would be more
clear to place this provision in proposed
§ 207.13(a)(2). This aspect of the
proposed provision is consistent with
current §§ 207.10 and 207.40.
b. Hospitals, clinics, other health care
entities, and public health agencies—
The current exemption for hospitals,
clinics, and public health agencies is

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codified at § 207.10(b). The proposed
exemption is generally consistent with
current § 207.10(b), except for the
addition of ‘‘other health care entities’’
and other mostly minor revisions and
clarifications, as described below. The
proposed exemption would move to
§ 207.13(b).
Hospitals, clinics, other health care
entities, and public health agencies are
exempt, under proposed § 207.13(b),
from the registration and listing
requirements if they: Operate
establishments in conformance with all
applicable local laws regulating the
practice of pharmacy and medicine,
including all applicable local laws
regulating the dispensing of prescription
drugs; regularly engage in dispensing
prescription drugs, other than human
blood or blood products, upon
prescription of practitioners licensed by
law to administer these drugs to patients
under their professional care; and do
not manufacture (as defined in proposed
§ 207.1), repack, or relabel drugs other
than in the regular course of the practice
of pharmacy, including dispensing.
The exemption in proposed
§ 207.13(b) would be limited to
hospitals, clinics, other health care
entities, and public health agencies
located in any State as defined in
section 201(a)(1) of the act. The
proposed provision requiring that such
facilities be located in any State is
currently located in the introductory
paragraph in current § 207.10. We
believe it would be more clear to place
this provision in proposed
§ 207.13(b)(2). This proposed provision
(except with respect to BLA holders and
the clarification with respect to positron
emission tomography (PET) drugs) is
generally consistent with current
§§ 207.10 and 207.40.
We are proposing to add ‘‘other health
care entities’’ to this exemption because
we are aware that other health care
entities besides hospitals, clinics, and
public health agencies (such as skilled
nursing facilities) lawfully provide
medical care and dispense drugs and
logically are similarly situated to
hospitals, clinics, and public health
agencies for purposes of exempting
them from registration and listing, if
they meet the statutory and regulatory
requirements.
We are also proposing to add language
to proposed § 207.13(b) to make the
exemption more consistent with the
pharmacy exemption in proposed
§ 207.13(a). For example, we are
proposing to add language to proposed
§ 207.13(b)(1)(i) so that this exemption
also specifically requires compliance
with all applicable laws regulating
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required by proposed § 207.13(a)(1)(i).
We are similarly proposing to add
§ 207.13(b)(1)(iii) to be consistent with
proposed § 207.13(a)(1)(iii), although in
proposed § 207.13(b)(1)(iii) we have not
included the terms ‘‘for sale’’ or ‘‘selling
drugs at retail’’ since this language is
appropriate for retail pharmacies relying
on the exemption provided by proposed
§ 207.13(a), but not for hospitals, clinics,
other health care entities, and public
health agencies relying on the
exemption provided by proposed
§ 207.13(b).
We believe that the exemption for
hospitals, clinics, other health care
entities, and public health agencies
provided in proposed § 207.13(b)(2)
should be relied upon by pharmacies
within these health care entities that
dispense drugs to patients receiving care
in the health care entities and that meet
the requirements of the exemption, but
should not be relied upon by retail
pharmacies located within these health
care entities. Retail pharmacies should
rely upon the exemption in proposed
§ 207.13(a) if they meet the
requirements of that proposed
provision.
c. Persons who manufacture, repack,
relabel, or salvage certain medicated
feeds—Although we are proposing to
reorganize and clarify the exemption for
persons who manufacture, repack,
relabel, or salvage certain medicated
feeds, we are not proposing to change
the substance of the exemption. Under
proposed § 207.13(f), persons who
manufacture, repack, relabel, or salvage
Type B or Type C medicated feeds,
except for manufacturers, repackers,
relabelers, or drug product salvagers of
Type B or Type C medicated feeds made
from Category II, Type A medicated
articles, are exempt from registration.
This exemption would not apply to
persons who would otherwise be
required to register (such as
manufacturers, repackers, relabelers, or
drug product salvagers of certain freechoice feeds, as defined in 21 CFR
510.455, or certain liquid feeds, as
defined in 21 CFR 558.5, where the
specifications and/or formulas are not
published and a feed mill license is
required). Proposed § 207.13(f) also
clarifies that all manufacturers,
repackers, relabelers, or drug product
salvagers of Type B or Type C
medicated feeds would be exempt from
listing.
d. The current exemptions for foreign
trade zones and drugs imported under
section 801(d)(3) of the act would be
revoked—In 2001, we issued a final rule
on foreign establishment registration
and listing (66 FR 59138, November 27,

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2001). The regulation created two
exemptions in § 207.40:
• Under current § 207.40(a), a foreign
establishment is not required to comply
with the registration and listing
requirements if its drug enters a foreign
trade zone and is re-exported from that
foreign trade zone without having
entered U.S. commerce. We created this
exemption as part of the final rule on
foreign establishment registration and
listing because registering such foreign
establishments or listing drugs that were
confined to a foreign trade zone—and
were therefore not introduced into
domestic commerce—was not
considered necessary for the protection
of the public health (see 66 FR 59138 at
59139 and 59140).
• Current § 207.40(b), which states
that no drug may be imported or offered
for import into the United States unless
the drug is listed and manufactured,
prepared, propagated, compounded, or
processed at a registered foreign
establishment, also states that this
prohibition does not apply to
components of drugs imported under
section 801(d)(3) of the act. Section
801(d)(3) of the act, as it existed before
June 2002, allowed persons to import
unapproved or otherwise noncompliant
articles (such as drug components)
provided that the imported articles were
further processed or incorporated into
products and exported or, if not used,
the imported articles were destroyed or
exported. The provision in § 207.40(b)
reflected the fact that, at the time,
section 801(d)(3) of the act imposed
very few restrictions on the admission
of drug components that are imported
into the United States for further
processing or incorporation into a
product that will be exported from the
United States (66 FR 59138 at 59148).
Given the additional level of import
restrictions imposed by the Bioterrorism
Act, and the underlying security
concerns that led to the Bioterrorism
Act’s adoption, we are proposing to
eliminate these two exemptions in
current § 207.40(a) and (b) from the
registration and listing requirements. In
particular, sections 321 and 322 of the
Bioterrorism Act, which affected foreign
establishment registration by amending
sections 510 and 801 (among other
provisions) of the act, suggest that
Congress intended the information
requirements for foreign establishments
and imported products to be
comprehensive, and that Congress
regarded the information it was
requiring to be important to its goal in
increasing the Nation’s ability to
prepare for and respond effectively to
bioterrorism and other public health
emergencies. This, in turn, suggests to

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FDA that the exceptions from the
registration and listing requirements are
therefore no longer appropriate.
The Bioterrorism Act affected foreign
establishment registration, in relevant
part, by amending sections 510(i) and
801 of the act:
• To require, as part of an
establishment’s registration, the name of
each importer of the drug that is known
to the establishment and the name of
each person who imports or offers to
import the drug into the United States;
and
• To provide that we may refuse
admission of a product and, if the
product is refused admission, that the
product shall be held at the port of entry
until a statement regarding the foreign
establishment’s registration is submitted
to us.
The amendment to section 510(i) of
the act reflects a determination on the
part of Congress that a foreign
establishment shipping drugs to the
United States should provide additional
information in its registration (that is,
information about importers and
persons who import or offer for import).
FDA is concerned that if a foreign
establishment is not subject to this
establishment registration
requirement—either by virtue of
importing into a foreign trade zone or by
importing components under section
801(d)(3) of the act—it would allow
some importers and persons who import
or offer for import to go undetected,
thereby creating an unnecessary
vulnerability in Congress’ system of
requiring this information.
The amendment to section 801(o) of
the act reflects a determination that
establishment registration and drug
listing information is important enough
that, if it is lacking at the time the article
is offered for import, the article may be
refused admission (and, if refused, shall
be held at the port of entry). FDA is
concerned that if a foreign
establishment is exempt from the
registration and listing requirements—
either by virtue of importing into a
foreign trade zone or by importing
components under section 801(d)(3) of
the act—FDA would be unable to rely
on amended sections 510(i) and 801 of
the act to require that imported products
be held at the port of entry to the United
States or to prevent such product’s
delivery to the importer or consignee.
This situation would stand in the way
of implementing Congress’ apparent
intent that this information be a
prerequisite for entry of the imported
product into the United States.
We believe that removing the
exception to the registration and listing
requirements for products entering

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foreign trade zones and for products
imported under section 801(d)(3) of the
act is consistent with Congress’ desire to
increase the Nation’s ability to prepare
for and respond effectively to
bioterrorism and other public health
emergencies by requiring foreign
establishments to provide more, rather
than less, information for imported
products.
The Bioterrorism Act also revised
section 801(d)(3) of the act, in part, by:
• Requiring importers to identify the
manufacturers of the imported drug
component, and each processor, packer,
distributor, or other entity that had
possession of the article from the
manufacturer to the importer;
• Requiring certificates of analysis to
accompany most imported articles; and
• Giving us the ability to refuse
admission to the United States if we
determine there is credible evidence or
information indicating that the article is
not intended to be further processed by
the initial owner or consignee, or
incorporated by the initial owner or
consignee into a drug, biological
product, or other product specified in
section 801(d)(3) of the act that will be
exported from the United States.
These statutory changes also indicate
a congressional desire to know more,
rather than less, about the articles
entering the United States under section
801(d)(3) of the act and to prevent
potentially dangerous articles from
entering the United States. The
legislative history supports this belief,
as the conference report for the
Bioterrorism Act explained: ‘‘Refusal of
entry should not involve shipments
between known shippers and known
recipients unless the Secretary has
received credible evidence or
information that suggests such
shipments may not be legitimate. The
Managers intend to permit the Secretary
to refuse admission of articles if the
Secretary determines there is credible
evidence or information that the articles
may be used as instruments of terror.
Such evidence might include highly
toxic or otherwise exceptionally
dangerous products going to recipients
unknown to the Secretary or to
recipients believed to lack the capability
to further process such dangerous
articles * * *.’’ (See H. Rept. 107–481,
l07th Cong. (2002), ‘‘Joint Explanatory
Statement of the Committee of
Conference,’’ ‘‘Subtitle B—Protection of
Drug Supply’’ (discussing section 322).)
The legislative history’s references to
‘‘known’’ shippers, ‘‘known’’ recipients,
and recipients who may lack the ability
to further process an article, combined
with the new statutory provision on
refusing admission even if the article is

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imported under section 801(d)(3) of the
act, strongly support our proposal to
require that all drugs imported or
offered for import into the United States
be listed and manufactured at a
registered foreign establishment. Failure
to register such foreign establishments
could compromise our ability to refuse
admission of a dangerous article.
Therefore, the proposed rule would
eliminate the exemption from the
establishment registration and drug
listing requirements for foreign
establishments whose drugs enter a
foreign trade zone and are re-exported
from that foreign trade zone without
having entered U.S. commerce. In
addition, the proposal would require
that all drugs imported or offered for
import into the United States be listed
and manufactured at a registered foreign
drug establishment, even if the drug is
imported under section 801(d)(3) of the
act.
e. Other exemptions—As described in
current § 207.10, the following remain
exempt from registration and drug
listing (proposed § 207.13):
• Practitioners who are licensed by
law to prescribe or administer drugs and
who manufacture, repack, relabel, or
salvage drugs solely for use in their
professional practice (current
§ 207.10(c); proposed § 207.13(c)).
• Manufacturers, repackers,
relabelers, or drug product salvagers of
drugs solely for use in research,
teaching, or chemical analysis and not
for sale (current § 207.10(d); proposed
§ 207.13(d)). Under proposed
§ 207.13(d), manufacturers, repackers,
relabelers, or drug product salvagers
who manufacture, repack, relabel, or
salvage drugs solely for use in research,
teaching, or chemical analysis and not
for sale are exempt from registration
requirements. Proposed § 207.13(d)
would be consistent with the exemption
in section 510(g)(3) of the act, except the
language would be modified to take into
account the proposed rule’s uses of the
terms ‘‘manufacturer,’’ ‘‘repacker,’’
‘‘relabeler,’’ ‘‘drug product salvager,’’
‘‘manufacture,’’ ‘‘repack,’’ ‘‘relabel,’’ and
‘‘salvage.’’ We want to take the
opportunity to remind interested
persons that while the exemption from
registration would apply to a sponsor
that manufactures its own drug for use
in its clinical trial of the drug, the
exemption would not apply, for
example, to a firm that manufactures a
drug with the purpose of selling the
drug to a sponsor for use in a clinical
trial. In the latter situation, the
manufacturer of the drug would be
required to register.
• Manufacturers, repackers,
relabelers, and drug product salvagers of

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harmless inactive ingredients (current
§ 207.10(e); proposed § 207.13(e)). We
considered proposing to revoke this
exemption because of concerns related
to potential contamination of those
inactive ingredients. However, we
concluded that submitting and
maintaining in the database all
excipients, colorings, flavorings,
emulsifiers, lubricants, preservatives, or
solvents that become components of
drugs could be burdensome for
industry. In proposing to maintain this
exemption, we note that current
regulations governing the manufacture
of finished drug products require all
manufacturers to perform quality
control testing to ensure that
components meet established
specifications (see generally, part 211
(21 CFR part 211)).
• Manufacturers, repackers,
relabelers, and drug product salvagers of
animal viruses, serums, toxins, or
analogous products (current § 207.10(g);
proposed § 207.13(g)).
• Carriers (current § 207.10(h);
proposed § 207.13(h)).
f. Limits on exemptions—Proposed
§ 207.13(i) would clarify that any of the
persons who otherwise would qualify
for an exemption under § 207.13(a)
through (h) are not exempt from
registration or listing if they: (1)
Manufacture (as defined in proposed
§ 207.1),4 repack, relabel, or salvage
compounded positron emission
tomography (PET) drugs as defined in
section 201(ii) of the act; (2)
manufacture (as defined in § 600.3(u)) a
biological product subject to licensing
under section 351 of the Public Health
Service (PHS) Act; (3) manufacture (as
defined in § 1271.3(e)) an HCT/P that,
under § 1271.20, are also drugs
regulated under section 351 of the PHS
Act or section 505 of the act; or (4)
engage in activities that would
otherwise require them to register under
this part.
Thus, any person identified in
proposed § 207.13(a) through (h), such
as pharmacies, hospitals, clinics, other
health care entities, public health
agencies, or practitioners, if they
manufacture, repack, relabel, or salvage
compounded PET drugs, as defined in
section 201(ii) of the act (21 U.S.C.
321(ii)), would fall outside the scope of
the exemptions provided in proposed
4The term ‘‘manufacture’’ is defined in proposed
§ 207.1 and is used here for brevity to refer to the
activities that trigger registration requirements (that
is, ‘‘manufacture, preparation, propagation,
compounding, or processing’’ of drugs). Although
many PET facilities do not consider themselves to
be ‘‘manufacturing’’ drugs, but rather preparing or
compounding drugs, we are nonetheless using the
term ‘‘manufacture’’ for brevity.

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§ 207.13(a) through (h). Manufacturers,
repackers, relabelers, or drug product
salvagers of compounded PET drugs are
not included among the persons that are
exempt from registration under
proposed § 207.13 because exempting
manufacturers of compounded PET
drugs from registration would be
inconsistent with section 121 of the
Food and Drug Administration
Modernization Act of 1997 (the
Modernization Act) (Public Law 105–
115), which addresses the regulation of
PET drug products. Section 121 of the
Modernization Act directs us to develop
appropriate procedures for the approval
of PET drugs under section 505 of the
act and appropriate CGMP requirements
for such drugs. It also requires the
submission of NDAs or ANDAs for PET
drugs either 4 years after the date of
enactment or 2 years after the date on
which we establish approval procedures
and CGMPs, whichever is longer. We
published proposed CGMPs for PET
drugs on September 20, 2005 (70 FR
55038). If Congress had intended to
exempt manufacturers, repackers,
relabelers, or drug product salvagers of
PET drugs from registration
requirements, it would have done so.
Given that PET manufacturers will be
expected to comply with CGMP
requirements and FDA will need to
inspect them to determine compliance,
it is reasonable to require PET
manufacturers, repackers, relabelers, or
drug product salvagers to register so we
can identify PET manufacturers,
repackers, relabelers, or drug product
salvagers and the drugs they
manufacture, repack, relabel, or salvage
for inspection purposes. Therefore, the
proposed rule would require
compounded PET drug manufacturers,
repackers, relabelers, or drug product
salvagers to register with us and list
their drugs in accordance with section
510(j) of the act and proposed part 207.
Likewise, any person identified in
§ 207.13(a) through (h) who would
otherwise qualify for an exemption
would not qualify for an exemption if it
manufactures (as defined in § 600.3(u))
a biological product subject to licensing
under section 351 of the PHS Act.
We note that to the extent a person
manufactures, repacks, relabels, or
salvages PET drugs as set forth in
proposed § 207.13(i)(1) or manufactures
a biological product subject to licensing
as set forth in proposed § 207.13(i)(2),
the obligation to register and list would
only apply to the extent that that person
engages in the activities identified in
proposed § 207.13(i)(1) or (i)(2). For
example, a hospital dispensing and
administering drugs and that also
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would list only the PET drugs it
manufactures, assuming none of its
other activities would subject it to
registration or listing requirements.
Likewise, a public health agency
dispensing and administering drugs that
holds a biologics license application
would list only the biological drugs it
manufactures, assuming none of its
other activities would subject it to
registration or listing requirements.
Proposed paragraph (i) also states that
the exemptions provided in proposed
§ 207.13(a) through (h) do not apply to
such persons if they engage in activities
that would otherwise require them to
register. This concept appeared in
current § 207.10(e). We are proposing to
apply this concept to all the exemptions
in proposed § 207.13 to reiterate that if
a person qualifies for an exemption from
the activities stated in proposed
§ 207.13(a) through (h), that person may
still need to register if that person
engaged in activities that would
otherwise require registration.
5. What Definitions and Interpretations
of Terms Would Apply to Part 207?
In proposed § 207.1, we set forth new
definitions and interpretations of terms
for part 207 and revise or revoke certain
definitions in current § 207.3(a).
Current § 207.3(b) states that the
definitions and interpretations of terms
in sections 201, 502(e), and 510 of the
act apply to the terms used in part 207.
We are proposing to revoke this
sentence because it is unnecessary and
has caused confusion in the past. For
purposes of proposed part 207, the
following definitions and
interpretations of terms would apply to
proposed part 207:
Act. This term, as used in proposed
§ 207.1, remains the same as current
§ 207.3(a)(1). ‘‘Act’’ means the Federal
Food, Drug, and Cosmetic Act (52 Stat.
1040 et seq., as amended (21 U.S.C. 301
et seq.)), except as otherwise provided.
Active pharmaceutical ingredient. We
are proposing to replace the term ‘‘bulk
drug substance,’’ as defined in current
§ 207.3(a)(4), with the term ‘‘active
pharmaceutical ingredient.’’ We believe
that the term ‘‘bulk drug substance’’
may be confused with the term ‘‘bulk
drug.’’ The term ‘‘bulk drug,’’ as
commonly used in the pharmaceutical
industry, means an active ingredient,
inactive ingredient, or finished dosage
form, packaged in a large container (for
example, a drum). To prevent
confusion, we are proposing to replace
the term ‘‘bulk drug substance’’ with the
more descriptive term ‘‘active
pharmaceutical ingredient.’’
We are also proposing to revise the
definition of the current term ‘‘bulk

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drug substance’’ (changed to ‘‘active
pharmaceutical ingredient’’ in the
proposal) to make it consistent with the
definition of ‘‘drug substance’’ in
current § 314.3 (21 CFR 314.3). Current
§ 207.3(a)(4) states, in part, that a ‘‘bulk
drug substance * * * becomes an active
ingredient,’’ but does not explain what
it means for an ingredient to be
‘‘active.’’ We believe that the definition
of ‘‘drug substance’’ in current § 314.3 is
more descriptive; that definition
explains, in part, that ‘‘drug substance
means an active ingredient that is
intended to furnish pharmacological
activity or other direct effect in the
diagnosis, cure, mitigation, treatment, or
prevention of disease or to affect the
structure or any function of the * * *
body.’’ Consistent with the language of
current § 314.3, we are proposing to
define ‘‘active pharmaceutical
ingredient’’ in proposed § 207.1 as any
substance that is intended to furnish
pharmacological activity or other direct
effect in the diagnosis, cure, mitigation,
treatment, or prevention of disease, or to
affect the structure or any function of
the body. Consistent with both current
§ 314.3 and current § 207.3(a)(4), the
term would not include intermediates
used in the synthesis of the substance.
As proposed, the term would include
both an active pharmaceutical
ingredient marketed alone and as part of
a finished dosage form.
Advertising and labeling. We are
proposing to delete current § 207.3(a)(2),
which explains that the terms
‘‘advertising’’ and ‘‘labeling,’’ as used in
current part 207, include the
promotional material described in
current § 202.1(l)(1) and (l)(2) (21 CFR
202.1(l)(1) and (l)(2)), respectively. We
believe that this information is more
appropriately included in the
definitions of ‘‘representative sampling
of advertisements’’ and ‘‘representative
sampling of any other labeling.’’ As a
result, we are proposing to revise the
definitions of those terms accordingly
and delete current § 207.3(a)(2).
Commercial distribution. We are not
proposing to substantively change the
definition of ‘‘commercial distribution’’
from that set forth in current
§ 207.3(a)(5). The term would still mean
any distribution of a human drug,
except for investigational use under 21
CFR part 312, and any distribution of an
animal drug or an animal feed bearing
or containing an animal drug for noninvestigational uses. The term would
not include internal or interplant
transfer of an active pharmaceutical
ingredient between registered
establishments within the same parent,
subsidiary, and/or affiliate company.
For foreign manufacturers, foreign

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repackers, foreign relabelers, foreign
drug product salvagers, foreign private
label distributors, and foreign
establishments, the term ‘‘commercial
distribution’’ would have the same
meaning except that it does not include
distribution of any drug that is neither
imported nor offered for import by it
into the United States. We are proposing
to change the term ‘‘bulk drug
substance’’ in the current definition to
‘‘active pharmaceutical ingredient’’
because the proposal replaces the
definition of ‘‘bulk drug substance’’
with the definition of ‘‘active
pharmaceutical ingredient.’’ Defining
‘‘commercial distribution’’ is important
because, under proposed part 207,
listing information must be provided to
us for any drug that is being
manufactured, repacked, relabeled, or
salvaged for commercial distribution.
Content of labeling. We are proposing
to add a new term, ‘‘content of
labeling,’’ to part 207. The proposed
definition of the term describes the
labeling material that would be required
to be electronically submitted at the
time of listing under proposed
§§ 207.49(g) and 207.61(a)(2). The
proposed requirement to electronically
submit the ‘‘content of labeling’’ would
be in addition to the current listing
requirement that formatted copies of
certain labeling be submitted. We are
proposing to define ‘‘content of
labeling’’ because, as explained in
section IV.E.4 of this document, the
electronic submission of the ‘‘content of
labeling’’ would be required for drug
listing to permit us to electronically
review, compare, and extract data from
the labeling.
• For human prescription drugs that
the manufacturer regards as subject to
section 505 of the act or section 351 of
the PHS Act, we are proposing to define
‘‘content of labeling’’ as the content of
the prescription drug labeling, as
specified in §§ 201.56, 201.57, and
201.80 (21 CFR 201.56, 201.57, and
201.80), including all text, tables, and
figures.5
This proposed definition is consistent
with how the term ‘‘content of labeling’’
is used in the final rule entitled
‘‘Requirements for Submission of
Labeling for Human Prescription Drugs
and Biologics in Electronic Format,’’
(electronic labeling final rule), which
published in the Federal Register of
December 11, 2003 (68 FR 69009).
Under the electronic labeling final rule,
applicants are required to electronically
5The use of the language ‘‘that the manufacturer
regards as subject to section 505 of the act or section
351 of the PHS Act,’’ is explained in detail in
section IV.D.7 of this document.

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submit, in a format that we can process,
review, and archive, the ‘‘content of
labeling’’ for human prescription drugs
in NDAs, certain BLAs, ANDAs,
supplements, and annual reports.6 The
electronic labeling final rule, including
the use of the term ‘‘content of
labeling,’’ only applies to this subset of
drugs. Under the proposal, however, as
set forth in proposed § 207.49(g), the
‘‘content of labeling’’ would be provided
for drugs subject to the listing
requirements of proposed part 207.
Proposed part 207 would also differ in
one other respect from the way ‘‘content
of labeling’’ is used in the electronic
labeling final rule. The electronic
labeling final rule states that the
‘‘content of labeling’’ that must be
submitted electronically is commonly
referred to as the content of the package
insert or professional labeling. We are
proposing to use the term ‘‘prescription
drug labeling’’ instead of the term
package insert or professional labeling.
‘‘Prescription drug labeling’’ is used in
the final rule entitled ‘‘Requirements on
Content and Format of Labeling for
Human Prescription Drug and Biological
Products,’’ published in the Federal
Register of January 24, 2006 (71 FR
3922). In that final rule, ‘‘prescription
drug labeling’’ is used to mean labeling
for approved prescription drug products
described in §§ 201.56, 201.57, and
201.80, which is commonly described
using a variety of terms including
‘‘professional labeling,’’ ‘‘package
insert,’’ ‘‘direction circular,’’ or
‘‘package circular.’’ We are proposing
that the term ‘‘content of labeling’’ for
human prescription drugs, as defined in
proposed § 207.1 and required under
proposed § 207.49(g), would be the
content of the ‘‘prescription drug
labeling.’’
• For human prescription drugs that
the manufacturer regards as not subject
to section 505 of the act or section 351
of the PHS Act, we are proposing to
define ‘‘content of labeling’’ as the
labeling equivalent to the content of the
prescription drug labeling, as specified
in §§ 201.56, 201.57, and 201.80,
including all text, tables, and figures.
• For human OTC drugs, we are
proposing to define ‘‘content of
labeling’’ as the content of the drug facts
labeling required by § 201.66 (21 CFR
6For additional information, also see the guidance
‘‘Providing Regulatory Submissions in Electronic
Format—Content of Labeling’’ (April 2005)
(available at http://www.fda.gov/cder/guidance/
index.htm), which discusses issues related to the
submission of the content of labeling in electronic
format in marketing applications for human drug
and biological products. This guidance reflects our
current thinking on providing in electronic format
the content of labeling required in 21 CFR parts 314
and 601.

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201.66) (format and content
requirements for OTC drug product
labeling), including all text, tables, and
figures. Under § 201.66(b)(10), drug facts
labeling means the title, headings,
subheadings, and information required
under or described in § 201.66(c)
(content requirements).
• For animal drugs (including, but
not limited to, drugs that the
manufacturer regards as subject to
section 512 of the act), we are proposing
to define ‘‘content of labeling’’ as the
content of the labeling that accompanies
the drug that is necessary to enable safe
and proper administration of the drug
(for example, the labeling specified in
§§ 201.1 and 201.5 (21 CFR 201.1 and
201.5)), including all text, tables, and
figures.
Domestic. For the purposes of
registration and listing under this
proposal, and when used to modify the
term ‘‘manufacturer,’’ ‘‘repacker,’’
‘‘relabeler,’’ ‘‘drug product salvager,’’
‘‘private label distributor,’’ or
‘‘establishment,’’ we are proposing to
use the term ‘‘domestic’’ to refer to a
manufacturer, repacker, relabeler, drug
product salvager, private label
distributor, or establishment within any
State or Territory of the United States,
the District of Columbia, or the
Commonwealth of Puerto Rico. The
terms ‘‘manufacturer,’’ ‘‘repacker,’’
‘‘relabeler,’’ ‘‘drug product salvager,’’
‘‘private label distributor,’’ and
‘‘establishment’’ are defined in
proposed § 207.1, and these definitions
are discussed elsewhere in this section
of the preamble. We are proposing to
define the term ‘‘domestic’’ separately
rather than repeat the meaning of the
term under separate definitions for
domestic manufacturer, domestic
repacker, domestic relabeler, domestic
drug product salvager, domestic private
label distributor, and domestic
establishment. The definition of
‘‘foreign,’’ as it would modify
manufacturer, repacker, relabeler, drug
product salvager, private label
distributor, and establishment, is
discussed elsewhere in this section of
the preamble.
Drug(s). We are proposing to use the
term ‘‘drug(s),’’ for purposes of
proposed part 207, to mean the same as
the definition of ‘‘drug’’ in section
201(g)(1) of the act. Section 201(g)(1) of
the act defines ‘‘drug’’ to include,
among other things, articles intended for
use in the diagnosis, cure, mitigation,
treatment, or prevention of disease in
man or other animals, and articles (other
than food) intended to affect the
structure or any function of the body of
man or other animals. ‘‘Drug(s)’’ under
proposed § 207.1 would include drugs

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intended for use in humans, including
the biologics described in proposed
§ 207.9(c), and animal drugs, including
Type A medicated articles, and also
includes articles ‘‘intended for use as a
component’’ of any drug. The proposed
term includes active pharmaceutical
ingredients and finished dosage forms
(prescription and OTC).
Drug product salvager, drug product
salvaging. We are proposing to use the
term ‘‘drug product salvaging’’ to mean
applying manufacturing controls such
as those required by current good
manufacturing practice in parts 210 (21
CFR part 210) and part 211 to drug
products and segregating out those drug
products that may have been subjected
to improper storage conditions (such as
extremes in temperature, humidity,
smoke, fumes, pressure, age, or
radiation) for the purpose of returning
the products to the marketplace. We
note, however, that drug product
salvaging, like all manufacturing, must
be conducted in accordance with
current good manufacturing practice.
We are proposing to use the term ‘‘drug
product salvager’’ to mean a person who
owns or operates an establishment that
engages in drug product salvaging.
When not modified by ‘‘domestic’’ or
‘‘foreign,’’ as defined in proposed
§ 207.1 and discussed in section IV.A.5
of this document, the term would
include both domestic drug product
salvagers and foreign drug product
salvagers.
Under current § 207.3(a)(6), drug
product salvaging means the act of
segregating drug products that may have
been subjected to improper storage
conditions, such as extremes in
temperature, humidity, smoke, fumes,
pressure, age, or radiation, for the
purpose of returning some or all of the
products to the marketplace. We are
proposing to revise the current
definition of drug product salvaging to
include ‘‘applying manufacturing
controls such as those required by
current good manufacturing practice in
part 210 and part 211 to drug products.’’
We are not proposing to change the
meaning of drug product salvaging but
to clarify the current definition by
explaining that the term also includes
applying manufacturing controls to drug
products. Drug product salvagers apply
manufacturing controls to drug products
so that they can determine whether the
drug products may have been subjected
to improper storage conditions. As
discussed further in sections IV.B.1 and
IV.D.1 of this document, ‘‘applying
manufacturing controls to drug products
and segregating drug products’’ would
be covered under the scope of
manufacturing, preparing, propagating,

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compounding, or processing, and
repackaging or otherwise changing the
container, wrapper, or labeling of any
drug package in furtherance of the
distribution of the drug from the
original place of manufacture to the
person who makes the final delivery or
sale to the ultimate consumer or user
(section 510(a)(1) of the act). This
activity would trigger the requirement to
register under the act. In addition, under
the proposal, drug product salvagers
would also be subject to the drug listing
requirements in section 510(j)(1) of the
act because their activities involve
conducting one of the aforementioned
activities with respect to a given drug
for the purpose of commercial
distribution. As discussed in section
IV.D.1 of this document, we are
requesting comments specifically on
whether drug product salvagers should
be subject to the drug listing
requirements because the drug products
are being salvaged for commercial
distribution.
Establishment. We are proposing to
revise the definition of ‘‘establishment’’
at current § 207.3(a)(7) to mean, for
purposes of registration and drug listing,
a place of business under one
management at one geographic location.
Under the proposed definition, one
geographic location may include
separate buildings within the same city
if their activities are closely related to
the same business enterprise and are
under the supervision of the same local
management. When not modified by
‘‘domestic’’ or ‘‘foreign,’’ as defined in
proposed § 207.1 and discussed in
section IV.A.5 of this document, the
term would include both domestic
establishments and foreign
establishments. We are proposing to
define the term ‘‘establishment’’
because, under proposed part 207,
manufacturers, repackers, relabelers,
and drug product salvagers must register
each establishment, providing to us
such information as the name and
address of the establishment and type of
operation performed at the
establishment.
The proposed definition of
‘‘establishment’’ would clarify the
phrase ‘‘at one general physical
location’’ in the current definition by
revising the phrase to read ‘‘one
geographic location’’ and stating that
this may include separate buildings
within the same city if their activities
are closely related to the same business
enterprise and are under the supervision
of the same local management.
The proposed definition of
‘‘establishment’’ is intended to simplify
the current definition. The current
definition defines establishment as a

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place of business under one
management at one general physical
location, and includes, among others,
independent laboratories that engage in
control activities for a registered drug
establishment (for example, consulting
laboratories), manufacturers of
medicated feeds and vitamin products
that are drugs in accordance with
section 201(g) of the act, human blood
donor centers, animal facilities used for
the production or control testing of
licensed biologics, and establishments
engaged in drug product salvaging. For
brevity, the proposed definition of
establishment does not restate the
examples of establishments stated in the
current definition. Some of these
establishments would be covered under
other definitions set forth in proposed
§ 207.1 and explained in section IV.A.5
of this document. For example,
‘‘independent laboratories that engage
in control activities for a registered drug
establishment’’ would be covered under
the proposed definition of
‘‘manufacturer.’’ ‘‘Establishments
engaged in drug product salvaging’’
would be covered under the proposed
definition of ‘‘drug product salvager.’’
Establishment registration number.
We are proposing to define
‘‘establishment registration number’’ as
the number assigned by FDA to the
establishment during the establishment
registration process required in this
part. The establishment registration
number is assigned to each
establishment of each manufacturer,
repacker, relabeler, or drug product
salvager inspected by our district office.
The establishment registration number
is assigned when the manufacturer,
repacker, relabeler, or drug product
salvager begins manufacturing,
repacking, relabeling, or salvaging drugs
subject to part 207. The establishment
registration number would identify,
among other things, where the drug is
manufactured, repacked, relabeled, or
salvaged. Currently, the FDA
Establishment Identifier (FEI) will be
the number we assign as the
establishment registration number. In
the future, however, we may use a
different number as the establishment
registration number.
Foreign. For the purposes of
registration and listing under this
proposal, and when used to modify the
term ‘‘manufacturer,’’ ‘‘repacker,’’
‘‘relabeler,’’ ‘‘drug product salvager,’’ or
‘‘private label distributor,’’ we are
proposing to use the term ‘‘foreign’’ to
refer to a manufacturer, repacker,
relabeler, drug product salvager, or
private label distributor who is located
in a foreign country and who
manufactures, repacks, relabels,

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salvages, or distributes a drug that is
imported or offered for import into the
United States. When used to modify the
term ‘‘establishment,’’ we are proposing
to use the term ‘‘foreign’’ to refer to an
establishment that is located in a foreign
country and is the site where a drug that
is imported or offered for import into
the United States was manufactured,
repacked, relabeled, salvaged or
distributed. The terms ‘‘manufacturer,’’
‘‘repacker,’’ ‘‘relabeler,’’ ‘‘drug product
salvager,’’ ‘‘private label distributor,’’
and ‘‘establishment’’ are defined in
proposed § 207.1, and these definitions
are discussed elsewhere in this section
of the preamble. We are proposing to
define the term ‘‘foreign’’ separately
rather than repeat the meaning of the
term under separate definitions for
foreign manufacturer, foreign repacker,
foreign relabeler, foreign drug product
salvager, foreign private label
distributor, and foreign establishment.
The definition of ‘‘domestic,’’ as it
would modify manufacturer, repacker,
relabeler, drug product salvager, private
label distributor, and establishment, is
discussed elsewhere in this section of
the preamble.
Importer. We are proposing to define
‘‘importer’’ to mean a company or
individual in the United States that is
an owner, consignee, or recipient of the
foreign establishment’s drug that is
imported into the United States. We
recognize that a foreign establishment
may have more than one ‘‘importer’’ and
we are proposing to include in this term
any owner, consignee, or recipient, even
if not the initial owner, consignee, or
recipient, of the foreign establishment’s
drug that is imported into the United
States. Under this proposal, the
recipient of the drug would not include
the consumer or patient who ultimately
purchases, receives, or is administered
the drug, unless the foreign
establishment ships the drug directly to
the consumer or patient. As described in
section IV.B.3 of this document, this
proposal would require foreign
establishments to provide, for drugs
manufactured, repacked, relabeled, or
salvaged at the establishment, the name
of each importer known to the
establishment of such drug into the
United States. Therefore, the
establishment would need to provide
the name of each owner, consignee, or
recipient of the foreign establishment’s
drug imported into the United States
that was known to the establishment.
We describe more fully what we mean
by ‘‘known to the establishment’’ in
section IV.B.3 of this document. We
invite comments on our definition of

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importer, including the scope of the
entities included in the definition.
Manufacture, manufacturer. We are
proposing to use the term
‘‘manufacture’’ for purposes of this part
to mean each step in the manufacture,
preparation, propagation, compounding,
or processing of a drug. Manufacture
includes the making by chemical,
physical, biological, or other procedures
or manipulations of a drug, including
control procedures applied to the final
product or to any part of the process.
Manufacture includes manipulation,
sampling, testing, or control procedures
applied to the final product or to any
part of the process, including, for
example, analytical testing of drugs, for
another registered establishment’s drug.
We are proposing to use the term
‘‘manufacturer’’ for purposes of this part
to mean a person who owns or operates
an establishment that manufactures a
drug. When not modified by ‘‘domestic’’
or ‘‘foreign,’’ as defined in proposed
§ 207.1 and discussed in section IV.A.5
of this document, ‘‘manufacturer’’
would include both domestic
manufacturers and foreign
manufacturers.
Under section 510(a)(1) of the act, the
term ‘‘manufacture, preparation,
propagation, compounding, or
processing’’ includes repackaging or
otherwise changing the container,
wrapper, or labeling of any drug
package in furtherance of the
distribution of the drug from the
original place of manufacture to the
person who makes final delivery or sale
to the ultimate consumer or user.
Accordingly, section 510(a)(1) of the act
sets up a shorthand way of referring to
all the activities that trigger registration
requirements by using the specified
phrase ‘‘manufacture, preparation,
propagation, compounding, or
processing’’ throughout section 510 of
the act. However, for purposes of
proposed part 207, the term
‘‘manufacture’’ would refer to the
manufacture, preparation, propagation,
compounding, or processing of a drug,
as set forth in the proposed definition.
The term ‘‘manufacturer’’ would
include, among others, control
laboratories, contract laboratories,
contract manufacturers, contract
packers, contract labelers, and other
entities that manufacture a drug, as
defined in proposed § 207.1 and
discussed in section IV.A.5 of this
document. A ‘‘control laboratory’’ and a
‘‘contract laboratory’’ include
independent establishments that
manipulate, sample, test, or perform
other quality control functions for
another registered establishment’s drug,
including, for example, analytical

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testing of drugs. A ‘‘contract
manufacturer’’ is sometimes employed
by other manufacturers to manufacture
the drug. Similarly, a manufacturer may
sometimes subcontract part of the
manufacturing process such as packing
or labeling to a ‘‘contract packer’’ or a
‘‘contract labeler.’’ The term
‘‘manufacturer’’ would include control
laboratories, contract laboratories,
contract manufacturers, and other
entities that manufacture a drug because
their activities include the making of
drugs by chemical, physical, biological,
or other procedures, including the
manipulation, sampling, testing, or
control procedures applied to the final
drug product or to a part of the process.
Such activities would fall under the
scope of activities (that is, manufacture,
prepare, propagate, compound, or
process) in section 510(a)(1) of the act
that trigger registration requirements.
The proposed definition of
‘‘manufacture’’ also explains that, for
purposes of proposed part 207, the term
manufacture is defined and used
separately from the terms relabel,
repack, and drug product salvage.
Although we explain that repacking,
relabeling, and drug product salvaging
are activities that trigger registration
(because the term ‘‘manufacture,
preparation, propagation, compounding,
or processing,’’ under section 510 of the
act includes repackaging or otherwise
changing the container, wrapper, or
labeling of any drug package in
furtherance of the distribution of the
drug from the original place of
manufacture to the person who makes
the final delivery or sale to the ultimate
consumer or user), we believe that it is
clearer to use four separate terms for the
different activities for purposes of
proposed part 207. We use separate
terms so that we can clarify and
differentiate the responsibilities of the
four types of parties engaged in the
separate activities of: ((1) Manufacturing
that does not include repacking,
relabeling, or drug product salvaging; (2)
repacking; (3) relabeling; and (4) drug
product salvaging).
Similarly, the proposed definition of
‘‘manufacturer’’ explains that the term
manufacturer is defined and used
separately from the terms relabeler,
repacker, and drug product salvager. We
explain that repackers, relabelers, and
drug product salvagers are
‘‘manufacturers’’ (as that entity is
contemplated in section 510 of the act),
but we believe that, for purposes of
proposed part 207, it is clearer to use
four separate terms for the different
entities: (1) Manufacturers (that are not
also repackers, relabelers, or drug
product salvagers); (2) repackers; (3)

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relabelers; and (4) drug product
salvagers. Repackers, relabelers, and
drug product salvagers would be subject
to the provisions of part 207 that are
applicable to repackers, relabelers, and
drug product salvagers, respectively, but
would not be subject to the provisions
of part 207 that are applicable to
‘‘manufacturers,’’ as that term is defined
in this proposal. For example, if a
repacker, relabeler, or a drug product
salvager supplies us with the
manufacturer’s NDC number, we would
not require the repacker, relabeler, or
drug product salvager to provide all of
the information that the manufacturer
provides to list a drug or, for the
repacker or relabeler, to obtain an NDC
number. We would already have much
of the information in the database
linked to the manufacturer’s NDC
number, and it would be an unnecessary
burden to require that the information
be provided again.
We are proposing to delete the
definition of ‘‘manufacturing or
processing’’ at current § 207.3(a)(8) and
incorporate parts of the definition
elsewhere in the proposed definitions.
For example, the phrase ‘‘control
procedures applied to the final product
or to any part of the process’’ in the
proposed definition of ‘‘manufacture’’ is
part of the current definition of
‘‘manufacturing or processing.’’
Material change. We are proposing to
revise the definition of ‘‘any material
change’’ in current § 207.3(a)(3). The
current definition includes, but is not
limited to: (1) Any change in the name
of the drug; (2) any change in the
identity or quantity of the active
ingredient(s); (3) any change in the
identity or quantity of the inactive
ingredient(s) where quantitative listing
of all ingredients is required by current
§ 207.31(a)(2); (4) any significant change
in the labeling of a prescription drug;
and (5) any significant change in the
label or package insert of an OTC drug.
Changes that are not significant
currently include changes in
arrangement or printing or changes of an
editorial nature. The proposed
definition would continue to exclude
labeling changes in arrangement or
printing or labeling changes of an
editorial nature. The inclusion of a bar
code or NDC number on the label would
not be considered a material change
because it would be too burdensome to
require the resubmission of labeling if
the only change was to include a bar
code or an NDC number. We are,
however, proposing to rename the term
‘‘material change’’ and to more precisely
identify all of the changes that would be
considered ‘‘material’’ in the current
definition. With respect to

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manufacturers, repackers, and
relabelers, and drug product salvagers, a
change in any information provided
under proposed §§ 207.49, 207.53,
207.54, 207.55, or 207.57 would be
considered a material change.
All listing information required under
the proposal is needed to identify the
drug. Under the broader definition of
material change, as proposed, we would
be better informed of changes to
marketed drugs. This would result in
more accurate and up-to-date drug
listing information. Under proposed
§ 207.57 and section 510(j)(2)(D) of the
act, the June and December updates of
listing information must include reports
of ‘‘material changes’’ in listing
information previously submitted. The
proposed definition of ‘‘material
change’’ has been revised to more
precisely identify which changes must
be reported under proposed § 207.57.
Person who imports or offers for
import. We are proposing to define a
‘‘person who imports or offers for
import’’ as an agent, broker, or other
entity that the foreign establishment
uses to facilitate the import of its drug
into the United States. As described in
section IV.B.3 of this document, this
proposal would require foreign
establishments to provide, for drugs
manufactured, repacked, relabeled, or
salvaged at the establishment, the name
of each person known to the
establishment who imports or offers for
import such drug into the United States.
Therefore, the establishment would
need to provide the name of each agent,
broker, or other entity that the foreign
registrant uses to facilitate the import of
its drug into the United States. We
describe more fully what we mean by
‘‘known to the establishment’’ in section
IV.B.3 of this document. The term
‘‘person who imports or offers to
import’’ would not include carriers,
consistent with the legislative history of
the Bioterrorism Act. The legislative
history shows that although the House
provision originally would have
required registration information for
importers and carriers, the conference
substitute changed the language. The
conference substitute deleted the term
‘‘carriers,’’ replacing it with ‘‘persons
who import or offer for import,’’
clarifying that foreign manufacturers are
not required to include information on
carriers with annual registration. (See H.
Rept. 107–481, 107th Cong., 2d sess., p.
140, 2002, Conf. Rept. to accompany
H.R. 3448) We invite comments on our
proposed definition of ‘‘persons who
import or offer for import.’’
We also invite comment on our use of
the word ‘‘facilitate’’ in the proposed
definition. We recognize that the term

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could be interpreted to include
middlemen or other entities that may be
viewed as assisting with or promoting
the importation of a drug into the
United States. For example, we are
aware that ‘‘buyer’s clubs’’ could be
captured in the definition if ‘‘facilitate’’
were to be interpreted broadly. Buyer’s
clubs are groups that consolidate orders
for drugs purchased from foreign
establishments and then, once those
drugs are imported into the United
States, send them to the individuals or
other entities who ordered the drugs
through the clubs. It is also possible that
‘‘facilitate’’ could be interpreted to
include organizations that may promote
the awareness and sale of products
through advertisements on the internet,
for example. We recognize that, under
this proposal, foreign establishments
would only be required to give us
information for persons who import or
offer for import that are known to the
establishments. Although the
knowledge requirement in this proposed
rule would include information that the
foreign establishment, and persons in
the foreign establishment, has reason to
know of, we believe it is likely that
foreign establishments generally would
not know about most of the
‘‘middlemen’’ described previously.
Therefore, even though the term
‘‘facilitate’’ in the proposed definition
would be interpreted broadly to include
middlemen, if the foreign establishment
did not know of, or have reason to know
of, the middlemen, the foreign
establishment would not be required to
report information about the middlemen
under this proposal.
We also note that the terms ‘‘broker’’
or ‘‘agent’’ include ‘‘customhouse
brokers’’ who facilitate importation by
filing documents with the U.S. Customs
Service, as well as FDA and other
Federal agencies responsible for the
regulation of imported products. We
specifically invite comment on our use
of the term ‘‘facilitate’’ in this proposal.
We invite comment on whether we
should interpret the term ‘‘facilitate’’
broadly to include middlemen as
described previously. We also invite
comment on whether foreign
establishments would know about such
middlemen and, if so, what effect a
requirement to report information about
those middlemen would have on foreign
establishments. We also invite comment
on whether there are benefits associated
with such a reporting requirement, and,
if so, what they are.
Private label distributor. We are
proposing to define ‘‘private label
distributor’’ to mean a person who owns
or operates an establishment that
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label or trade name, any drug
manufactured, repacked, relabeled, or
salvaged by a registered establishment.
When not modified by ‘‘domestic’’ or
‘‘foreign,’’ as defined in proposed
§ 207.1 and discussed in section IV.A.5
of this document, the term would
include both domestic private label
distributors and foreign private label
distributors.
Private label distributors are not
considered to be manufacturers,
repackers, relabelers, or drug product
salvagers because they do not conduct
any of the activities covered in section
510(a)(1) of the act with respect to the
products they commercially distribute.
Private label distributors only distribute
drugs under their own label or trade
name. The proposed definition is
consistent with current § 207.20(b) and
the description of private label
distributors set forth in the 1973 final
rule on drug listing requirements (38 FR
6258 at 6259). We are proposing to
define this term to clarify its meaning
and to distinguish private label
distributors from manufacturers,
repackers, relabelers, and drug product
salvagers. Under the proposed
definition, a private label distributor
does not engage in any activities
performed by a manufacturer, repacker,
relabeler, or drug product salvager for
the drug it distributes. As discussed in
section IV.D.1 of this document, private
label distributors currently may elect to
submit listing information to us for the
drugs they distribute. Under the
proposal, private label distributors
would not be permitted to list, and
manufacturers, repackers, relabelers,
and drug product salvagers would be
required to provide listing information
to us for drugs being manufactured,
repacked, relabeled, or salvaged for
private label distributors. However, if a
private label distributor is a
manufacturer with respect to a
particular drug or drugs, for example,
the private label distributor is subject to
the registration and listing requirements
for manufacturers in proposed part 207
with respect to that drug or drugs.
Relabel, relabeler. We are proposing
to use the term ‘‘relabel’’ to mean
changing the label or labels on a drug or
drug package, or adding to the labeling
for a drug or drug package, without
repacking the drug or drug package. We
remind interested persons that those
activities must be conducted in
accordance with the act and FDA
regulations. We are proposing to use the
term ‘‘relabeler’’ to mean a person who
owns or operates an establishment that
relabels a drug. When not modified by
‘‘domestic’’ or ‘‘foreign,’’ as defined in
proposed § 207.1 and discussed in

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section IV.A.5 of this document, the
term would include both domestic
relabelers and foreign relabelers.
Under the proposal, relabelers must
provide registration and listing
information. Under section 510(a)(1) of
the act, the term ‘‘manufacture,
preparation, propagation, compounding,
or processing’’ includes repackaging or
otherwise changing the container,
wrapper, or labeling of any drug
package in furtherance of the
distribution of the drug from the
original place of manufacture to the
person who makes final delivery or sale
to the ultimate consumer or user. As
discussed previously, we use the term
‘‘relabeler’’ separately from the term
‘‘manufacturer’’ because, although the
relabeler’s registration and listing
responsibilities in general are the same
as those for manufacturers under the
act, the proposal would modify some of
these requirements. For example, as
described under the definition of
‘‘manufacturer’’ in section IV.A.5 of this
document, if a relabeler supplies us
with the manufacturer’s NDC number,
we would not require the relabeler to
provide all of the information that the
manufacturer provides to obtain an NDC
number and to list a drug. We would
already have much of the information in
the database linked to the
manufacturer’s NDC number, and it
would be an unnecessary burden to
require that the information be provided
again. Under the proposed definition, a
relabeler does not engage in any other
activity performed by a manufacturer for
the drugs they relabel.
Repack, repacker. We are proposing
to use the term ‘‘repack’’ to mean repack
or repackage or otherwise change the
container or wrapper of a drug or drug
package. We are proposing to use both
the terms ‘‘repack’’ and ‘‘repackage’’ in
the definition because these terms are
often used interchangeably with respect
to drugs and, whether such activities are
characterized as repacking or
repackaging, they are subject to the
requirements of this part. Although the
term ‘‘repackaging’’ is used in section
510(a)(1) of the act, the terms
‘‘repacking,’’ ‘‘repack,’’ and ‘‘repacker’’
are more commonly used by industry
when referring to this activity, and,
therefore, we are using these terms
throughout the proposal. We are
proposing to use the term ‘‘repacker’’ to
mean a person who owns or operates an
establishment that repacks a drug or
drug package. When not modified by
‘‘domestic’’ or ‘‘foreign,’’ as defined in
proposed § 207.1 and discussed in
section IV.A.5 of this document, the
term would include both domestic
repackers and foreign repackers.

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Under the proposal, repackers must
provide registration and listing
information. Under section 510(a)(1) of
the act, the term ‘‘manufacture,
preparation, propagation, compounding,
or processing’’ includes repackaging or
otherwise changing the container,
wrapper, or labeling of any drug
package in furtherance of the
distribution of the drug from the
original place of manufacture to the
person who makes final delivery or sale
to the ultimate consumer or user. We
use the term ‘‘repacker’’ separately from
the term ‘‘manufacturer’’ because,
although the repacker’s registration and
listing responsibilities in general are the
same as those for manufacturers under
the act, the proposal would modify
some of these requirements. For
example, as described under the
definition of ‘‘manufacturer’’ in section
IV.A.5 of this document, if a repacker
supplies us with the manufacturer’s
NDC number, we would not require the
repacker to provide all of the
information that the manufacturer
provides to obtain an NDC number and
to list a drug. We would already have
much of the information in the database
linked to the manufacturer’s NDC
number, and it would be an unnecessary
burden to require that the information
be provided again. Under the proposed
definition, a repacker does not engage in
any other activity performed by a
manufacturer for the drugs they repack.
Representative sampling of
advertisements. We are proposing to
revise the definition of ‘‘representative
sampling of advertisements.’’ Currently,
§ 207.3(a)(2) explains that the term
‘‘advertising’’ as used in part 207
includes the promotional material
described in § 202.1(l). However,
current § 207.3(a)(9) expressly excludes
such material from the definition of
‘‘representative sampling of
advertisements.’’ We believe that the
inconsistency between the two
provisions was an unintended result of
certain editorial amendments made to
part 207. We are proposing to revise the
definition of ‘‘representative sampling
of advertisements’’ to resolve the
inconsistency. Specifically, we believe
that the content of current § 207.3(a)(2)
should be incorporated into the
definition of ‘‘representative sampling
of advertisements’’ to clarify that the
term includes the promotional material
described in § 202.1(l)(1).
We are proposing to define
‘‘representative sampling of
advertisements’’ as typical advertising
material (including the promotional
material described in § 202.1(l)(1), but
excluding labeling as determined in
§ 202.1(l)(2)), that gives a balanced

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picture of the promotional claims used
for the drug. In addition to resolving the
inconsistency described previously, the
proposed definition would delete the
example currently provided in
§ 207.3(a)(9) (that is, if more than one
medical journal advertisement is used
but the promotional content is
essentially identical, only one needs to
be submitted). We believe that this
example is unnecessary and are
proposing to simplify the definition by
deleting it.
Representative sampling of any other
labeling. We are proposing to revise the
definition of ‘‘representative sampling
of any other labeling.’’ We are proposing
to delete current § 207.3(a)(2), which
explains that the term ‘‘labeling’’ as
used in part 207 includes the
promotional material described in
§ 202.1(l)(2). We believe that this
information would be more
appropriately included in the definition
of ‘‘representative sampling of any other
labeling.’’
We are proposing to define
‘‘representative sampling of any other
labeling’’ as typical labeling material
(including the promotional material
described in § 202.1(l)(2), but excluding
labels and package inserts) that gives a
balanced picture of the promotional
claims used for the drug. In addition to
incorporating the relevant content of
current § 207.3(a)(2), the proposed
definition would delete the example
currently provided in current
§ 207.3(a)(10) (that is, if more than one
brochure is used but the promotional
content is essentially identical, only one
needs to be submitted). We believe that
this example is unnecessary and are
proposing to simplify the definition by
deleting it.
United States agent. We are proposing
to remove the definition of ‘‘United
States agent’’ in current § 207.3(a)(11).
Proposed § 207.69 would incorporate
many of the provisions of the current
definition of United States agent and
current § 207.40 (registration and listing
requirements for foreign
establishments). The same requirements
in the current definition appear at
proposed § 207.69(b)(1), (b)(2), and
(b)(3).
B. Registration
1. Who Would Be Required to Register?
Proposed § 207.17(a) would require
manufacturers, repackers, relabelers,
and drug product salvagers to register
each establishment. This provision
would replace the requirement at
current § 207.20(a) that owners or
operators of all drug establishments that
engage in the manufacture, preparation,

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propagation, compounding, or
processing of a drug must register. The
terms ‘‘manufacturer,’’ ‘‘repacker,’’
‘‘relabeler,’’ and ‘‘drug product
salvager,’’ as defined in proposed
§ 207.1 and discussed in section IV.A.5
of this document, more clearly indicate
who must register.
Manufacturers, repackers, relabelers,
and drug product salvagers would be
required to register because the
activities they perform fall within the
scope of activities that trigger
registration requirements in section
510(a)(1) of the act. Section 510(a)(1)
states that the phrase ‘‘manufacture,
preparation, propagation, compounding,
or processing’’ includes repacking or
otherwise changing the container,
wrapper, or labeling of any drug
package in furtherance of the
distribution of the drug from the
original place of manufacture to the
person who makes final delivery or sale
to the ultimate consumer or user.
We are proposing to use the terms
‘‘repacker,’’ ‘‘relabeler,’’ and ‘‘drug
product salvager’’ separately from the
term ‘‘manufacturer’’ in the proposal
because, although the repacker,
relabeler, and drug product salvager’s
listing responsibilities in general are
similar to those for manufacturers under
the act, the proposal would modify
some of these requirements. In
particular, if a repacker, relabeler, or
drug product salvager supplies us with
the manufacturer’s NDC number, we
would not require the repacker,
relabeler, or drug product salvager to
provide all of the information that the
manufacturer provides to list a drug.
Similarly, we would not require
repackers and relabelers to submit all of
the information that the manufacturer
submits to obtain an NDC number.
Proposed § 207.17(a) would enable us
to identify who is making drugs and
where they are being made. Being able
to accurately identify who makes drugs
and where they are made is very
important. Certain marketed drugs may
need to be quickly identified and used
to help counteract the effects of a
bioterrorism attack. Registration
information also assists us in scheduling
and planning inspections of registered
establishments pursuant to section 704
of the act.
Proposed § 207.17(a) also provides
that registration information may be
submitted by the parent, subsidiary,
and/or affiliate company for all
establishments when operations are
conducted at more than one
establishment and there exists joint
ownership and control among all the
establishments. This provision would
also apply when operations are

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conducted at both domestic and foreign
establishments and there exists joint
ownership and control among all the
establishments. This provision is
consistent with current § 207.20(a).
We are proposing to revoke the
requirement in current § 207.20(a) that
no owner or operator may register an
establishment if any part of that
establishment is registered by another
owner or operator. The requirement has
caused uncertainty about who must
register and which establishment must
be registered. Under proposed
§ 207.17(a), manufacturers, repackers,
relabelers, and drug product salvagers
must register each establishment unless
they are otherwise exempt under section
510(g) of the act or proposed § 207.13.
Under proposed § 207.17(b), private
label distributors would not register
with us unless they also manufacture,
repack, relabel, or salvage drugs and are
required to register under the act or
proposed § 207.17(a). Private label
distributors are not considered to be
manufacturers, repackers, relabelers, or
drug product salvagers because they do
not conduct any of the activities covered
under section 510(a)(1) of the act with
respect to the drugs they commercially
distribute. Private label distributors only
distribute drugs under their own label
or trade name. Proposed § 207.17(b)
would revise the provision in current
§ 207.20(b) that owners or operators of
establishments that distribute under
their own label or trade name a drug
manufactured or processed (as defined
in current § 207.3(a)(8)) by a registered
establishment may elect to obtain a
labeler code from us and submit listing
information directly to us. Under
current regulations, if a private label
distributor does not elect to submit drug
listing information to us, the registered
establishment must submit the drug
listing information. As explained in
section IV.D.1 of this document, we are
proposing to revise current § 207.20(b)
and not permit private label distributors
to register or list. Manufacturers,
repackers, relabelers, and drug product
salvagers must submit drug listing
information for those drugs they
manufacture, repack, relabel, or salvage
for commercial distribution for a private
label distributor.
2. When Would Initial Registration
Information Be Provided?
Under proposed § 207.21, a domestic
manufacturer, domestic repacker,
domestic relabeler, and domestic drug
product salvager must register each
establishment no later than 5 calendar
days after beginning to manufacture,
repack, relabel, or salvage a drug. The
proposed timeframe ‘‘no later than 5

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calendar days’’ is consistent with
current § 207.21(a) in that the current
registration requirement also provides
for a 5-day registration timeframe for
owners or operators of establishments
entering into the ‘‘manufacturing or
processing’’ of a drug (as defined in
current § 207.3(a)(8)). The proposed
timeframe is also consistent with the
requirement in section 510(c) of the act
to register each establishment
‘‘immediately’’ and ‘‘upon first engaging
in the manufacture, preparation,
propagation, compounding, or
processing’’ of a drug.
Under proposed § 207.21, a foreign
manufacturer, foreign repacker, foreign
relabeler, and foreign drug product
salvager must register each
establishment before a drug
manufactured, repacked, relabeled, or
salvaged at the establishment is
imported or offered for import into the
United States. This is consistent with
current § 207.40(b), which states that no
drug may be imported or offered for
import into the United States unless it
is listed and manufactured, prepared,
propagated, compounded, or processed
at a registered foreign drug
establishment. In addition, section
510(i) of the act states that any
establishment within any foreign
country engaged in the manufacture,
preparation, propagation, compounding,
or processing of a drug or device that is
imported or offered for import into the
United States shall register with the
Secretary.
Proposed § 207.21 uses the term ‘‘each
establishment’’ to emphasize that the
requirement to register would apply
even if the manufacturer, repacker,
relabeler, or drug product salvager has
previously registered one or more other
establishments. This proposed
requirement is consistent with two
provisions of section 510 of the act.
Section 510(d) of the act requires
registration of any additional
establishment immediately upon
beginning the manufacture, preparation,
propagation, compounding, or
processing of a drug at that
establishment. Section 510(i)(1) of the
act states that any establishment within
any foreign country engaged in the
manufacture, preparation, propagation,
compounding, or processing of a drug or
a device that is imported or offered for
import into the United States must
register with the Secretary.
We are proposing to specify
‘‘calendar’’ days to be consistent with
the terminology and timeframes used in
the international pharmaceutical
regulatory guidances of the International
Conference on the Harmonisation of
Technical Requirements for Registration

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of Pharmaceuticals for Human Use (ICH)
(http://www.ich.org) and the World
Health Organization’s Council for
International Organizations of Medical
Sciences (CIOMS) (http://
www.cioms.ch).
We are proposing to revoke the
requirement in current § 207.21(a) to
register within 5 days after submitting
certain marketing applications if the
owner or operator has not previously
entered into the manufacture or
processing of a drug (as defined in
current § 207.3(a)(8)). We are also
proposing to revoke the requirement in
current § 207.20(c) that, before
beginning the manufacture or
processing of a drug subject to certain
marketing applications, an owner or
operator of an establishment must
register before the application is
approved. We are proposing to revoke
these requirements because, under
proposed § 207.21 and consistent with
section 510(c) and (d) of the act,
registration of each establishment must
occur no later than 5 calendar days after
beginning to manufacture, repack,
relabel, or salvage a drug at the
establishment. This provision would
govern when to register an
establishment rather than the date a
marketing application is submitted or
approved. We believe that this proposed
requirement would provide us with
sufficient notice as to who is
manufacturing, repacking, relabeling, or
salvaging drugs and where those
activities are taking place. In addition,
marketing application approval is
linked to registration elsewhere in our
regulations. Under current
§ 314.125(b)(11) (21 CFR
314.125(b)(11)), we may refuse to
approve an application if the drug will
be manufactured or processed in an
establishment that is not registered. For
consistency with current
§ 314.125(b)(11), we are proposing to
revise § 514.111(a)(12) (21 CFR
514.111(a)(12)) for NADAs to state that
we will refuse to approve an application
if ‘‘the drug will be manufactured in
whole or in part in an establishment
that is not registered and not exempt
from registration under section 510 of
the act and part 207.’’ For licensed
human biological products, current 21
CFR 601.4(b) includes a provision that
we must deny a BLA if the
establishment or product does not meet
‘‘requirements established in Title 21,
Chapter I’’ (this would include the
registration and listing provisions).
3. What Information Would Be Required
for Registration?
Under proposed § 207.25, all
manufacturers, repackers, relabelers,

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and drug product salvagers must
provide the following information to
register each of their establishments:
• Name of the owner or operator of
each establishment; if a partnership, the
name of each partner would be
submitted; if a corporation, the name of
each corporate officer and director and
the place of incorporation would be
submitted (proposed § 207.25(a)). This
provision is consistent with section
510(a)(2) of the act, which states that
‘‘the term ’name’ shall include in the
case of a partnership the name of each
partner and, in the case of a corporation,
the name of each corporate officer and
director, and the State of
incorporation.’’ The proposal would
replace ‘‘State of incorporation’’ with
‘‘place of incorporation’’ to include
foreign corporations. Proposed
§ 207.25(a) is also consistent with
section 510(c) of the act, which states
that ‘‘Every person * * * shall
immediately register with the Secretary
his name, place of business, and such
establishment.’’ The proposal would use
‘‘owner or operator’’ for consistency
with current § 207.25(a), which provides
that the information required for
registration includes the name of the
owner or operator of the establishment.
Current § 207.25(a) provides that the
term ‘‘name of the owner or operator’’
includes, in the case of a partnership,
the name of each partner and, in the
case of a corporation, the name and title
of each corporate officer and director
and the name of the State of
incorporation. The proposal would
revoke the requirement to include the
title of each corporate officer and
director because we have determined
that it is not necessary for registration
purposes. Current § 207.25(a) also
requires the submission of the ‘‘kind of
ownership or operation (that is,
individually owned, partnership, or
corporation).’’ The proposal would
replace this requirement because the
kind of ownership or operation would
be captured under the requirement to
provide, if applicable, the name of each
partner, and corporate officer and
director, and the place of incorporation
in proposed § 207.25(a).
• Name, trade name(s), and address of
each establishment (proposed
§ 207.25(b), (c), and (d)). This provision
is consistent with section 510(c) of the
act and current § 207.25(a). The
proposal would continue the
requirement in current § 207.25(a) to
submit all trade names used by the
establishment, but rephrase current
§ 207.25(a) to clarify that, for purposes
of this subsection, we want the trade
name(s) of the establishment, names
under which the establishment

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conducts business, and additional
names by which the establishment is
known. We are not seeking under this
section the trade name(s) of the drugs of
the establishment. Although we are
interested in the trade names of the
drugs, we can obtain that information
through the drug listing requirements.
• Registration number of each
establishment, if previously assigned to
the establishment by us (proposed
§ 207.25(e)). If not previously assigned
by us, we would assign a registration
number after we receive the registration
information (proposed § 207.25(e)).
Under section 510(e) of the act, we may
assign a registration number to any
person or establishment registered and,
under current § 207.35(a), we will assign
a permanent registration number to each
establishment that registers. The
‘‘establishment registration number’’ is
defined in proposed § 207.1 to mean the
number assigned by FDA to the
establishment during the establishment
registration process. (Currently, the FEI
will be the number we assign as the
establishment registration number.) We
are proposing to require the submission
of the registration number because each
establishment is identified by its
registration number for registration and
inspection purposes and to enable us to
identify all registered establishments.
The registration number is currently
submitted on Form FDA 2656.
• Type of operations(s) performed at
each establishment—for example,
manufacturing, repacking, relabeling, or
salvaging (proposed §207.25(f)). We are
proposing to require this information
because it is important for identifying,
prior to an inspection, which operation
the establishment engages in so that our
investigators can be better prepared
before inspection. Currently, the
‘‘business type’’ (for example,
manufacturer, repacker, relabeler) must
be submitted on Form FDA 2656.
• Name, address, telephone and fax
numbers, and e-mail address of the
official contact, as provided in proposed
§ 207.69(a), for each establishment
(proposed § 207.25(g)). We are
proposing to require this information
because we need a contact person to
facilitate discussion with the
manufacturer, repacker, relabeler, and
drug product salvager. This information
needs to be current and, under proposed
§ 207.29(a)(3), any change in this
information must be provided to us
within 30 calendar days. This
information is not required under
current part 207. The requirements for
the official contact are discussed in
section IV.F.1 of this document.
• Information for foreign
establishments only (proposed

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§ 207.25(h)). With respect to foreign
establishments only, for drugs
manufactured, repacked, relabeled, or
salvaged at the establishment, the name,
address, telephone and fax numbers,
and e-mail address must also be
provided for: (1) The United States
agent, as provided in proposed
§ 207.69(b), (2) each importer of such
drug in the United States that is known
to the establishment, and (3) each
person who imports or offers for import
such drug to the United States. The
requirements for the United States agent
are discussed in section IV.F.1 of this
document. The name, address, and
phone number of the United States
agent is required to be submitted under
current § 207.40(c). The information on
importers and persons who import is
not required to be submitted under
current part 207. We are proposing to
require the submission of the
information on importers and persons
who import because the Bioterrorism
Act requires foreign establishments to
submit, among other things, the name of
each importer of each drug that is
known to the manufacturer, repacker,
relabeler, and drug product salvager and
the name of each person who imports or
offers for import each drug to the United
States for purposes of importation. We
want to make clear that the term
‘‘known to’’ would include any importer
that is known to the foreign
establishment as well as any importer
that the foreign establishment has
reason to know of. We therefore expect
that the person responsible for
completing the required registration
forms on behalf of the foreign
establishment would undertake
appropriate due diligence in completing
those forms, including to find out and
report importers that others in his or her
establishment know of or have reason to
know of. In addition to the name, the
proposal would require that the address,
telephone and fax numbers, and e-mail
address of each importer and of each
person who imports or offers for import
be provided to enable us to contact
these persons.
All information required under
proposed § 207.25 must be submitted for
the establishment to be considered
registered. As explained in section
IV.B.l of this document, establishment
registration would enable us to identify
who is making drugs and where they are
being made. Being able to accurately
identify who makes drugs and where
they are made is very important for
protecting the public health. Among
other things, registration information
would enable us to become aware of and
take action to stop manufacturers,

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repackers, relabelers, and drug product
salvagers who do not follow the
requirements set forth in the act and in
our regulations.

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4. What Are the Proposed Requirements
for Reviewing and Updating
Registration Information?
The proposal would modify and
streamline the requirements associated
with updating registration information.
Currently, manufacturers, repackers,
relabelers, and drug product salvagers
must enter new or revised registration
information on Form FDA 2656 and
return the form to us annually. Under
the proposal, manufacturers, repackers,
relabelers, and drug product salvagers
would access the electronic drug
registration and listing system and
review their current registration
information online, making any changes
where needed. Updating registration
information would be less time
consuming under the proposal because
the manufacturer’s, repacker’s,
relabeler’s, and drug product salvager’s
information would be easily accessible
at any time and only changes to the
information already in the system
would need to be entered in the fields
provided.
The following sections provide a
description of the proposed
requirements for reviewing and
updating registration information and
how they modify or reduce the burden
of the current requirements.
a. Expedited updates of registration
information. Manufacturers, repackers,
relabelers, and drug product salvagers
would report, under proposed
§ 207.29(a), the following changes as
expedited updates no later than 30
calendar days after the change:
• The close or sale of an
establishment;
• Any change in the name or address
of an establishment; and
• Any change in the name, address,
telephone and fax numbers, or e-mail
address of the official contact or the
United States agent.
We are proposing to require that these
changes be reported as expedited
updates because we need to know as
soon as possible when a business has
closed or has been sold and when the
establishment’s name or address has
changed. This information is especially
important for scheduling inspections.
We also need current information for
contacting the official contact or United
States agent. As previously mentioned,
it is increasingly important for us to be
able to identify where drugs are being
made and when drugs are no longer
available. The expedited receipt of this

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information will help promote the
efficient enforcement of the act.
Manufacturers, repackers, relabelers,
and drug product salvagers are
encouraged to provide expedited
updates as soon as possible but no later
than 30 calendar days after the change
occurs. Our electronic drug registration
and listing system will be easily
accessible all the time to make changes.
The close or sale of an establishment,
and a change in the name or address of
an establishment, are currently reported
annually on Form FDA 2656.
Proposed § 207.29(a) would revise
current §§ 207.26 and 207.40(c)(3).
Current § 207.26 requires the
submission of certain amendments to
registration information within 5 days of
the change, and as noted previously,
§ 207.40(c)(3) requires the submission of
any changes to the United States agent’s
name, address, or phone number within
10 business days of the change. As
explained below, the proposal would
lengthen the time period for reporting
the changes in current § 207.40(c)(3).
The proposal also would lengthen the
time period for reporting some of the
changes in current § 207.26 and revoke
some of the reporting requirements in
current § 207.26:
• A change in location would no
longer be submitted as an amendment to
registration within 5 days of the change,
but would be reported under proposed
§ 207.29(a)(2) as an expedited update no
later than 30 calendar days after the
change (‘‘address’’ of an establishment
is used in the proposal instead of
location). We have determined that
notification no later than 30 calendar
days would be sufficient and would be
consistent with the proposed timeframe
for the other expedited updates.
• A change in ‘‘drug-handling
activity’’ would no longer be submitted
as an amendment to registration within
5 days of the change. A change in this
information would only be reported
during the annual review and update
under proposed § 207.29(b). (The term
‘‘type of operations’’ is used in proposed
§ 207.25(f) instead of ‘‘drug-handling
activity.’’) We have determined that
annual notification of this change would
be sufficient.
• Changes in ‘‘individual ownership’’
and ‘‘corporate or partnership
structure,’’ in current § 207.26, would
no longer be reported as amendments to
registration because the proposal would
revoke the corresponding provision for
registration in current § 207.25(a) (the
‘‘kind of ownership or operation (that is,
individually owned, partnership or
corporation)’’). As explained in section
IV.B.3 of this document, the kind of
ownership or operation would no longer

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be submitted for registration because the
information would be captured under
the requirement to provide, if
applicable, the name of the partner,
corporate officer and director, and the
place of incorporation in proposed
§ 207.25(a). This information would be
reviewed and updated annually under
proposed § 207.29(b). This proposed
requirement is consistent with current
§ 207.26, which specifies that changes
in the names of officers and directors of
the corporation do not require an
amendment and must be submitted at
the time of annual registration.
• Under current § 207.26, a change in
a registered establishment’s firm name
within 6 months of the registration of
the establishment must be supported by
a signed statement of the
establishment’s owner or operator that
the change was not made for the
purpose of changing the name of the
manufacturer of a drug product under
current § 201.1. This verification would
no longer be required to be submitted as
an amendment to registration. A change
in the name of an establishment would
be reported under proposed
§ 207.29(a)(2) no later than 30 calendar
days after the change.
Proposed § 207.29(a)(3) would revise
current § 207.40(c)(3), which provides
that a foreign drug establishment or
United States agent must report to us,
within 10 business days, any changes to
the United States agent’s name, address,
or phone number. The proposal would
make the following revisions:
• The changes to the information
about the United States agent would be
revised to include not only the name,
address, and telephone number, but also
the fax number and e-mail address. This
provision would be consistent with the
information required to be submitted for
the United States agent for registration
under proposed § 207.25(h).
• The time period for reporting the
changes would be lengthened to no later
than 30 calendar days for consistency
with the time period for the other
expedited reports in proposed
§ 207.29(a).
• Changes in the name, address,
telephone and fax numbers, and e-mail
address of the official contact would
also be reported under proposed
§ 207.29(a)(3) within 30 calendar days.
This provision would be consistent with
the information required to be
submitted for the official contact for
registration under proposed § 207.25(g).
• Under proposed § 207.29(a)(3), the
manufacturer, repacker, relabeler, and
drug product salvager, official contact,
or United States agent may notify us
about a change of information for the
designated official contact or United

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States agent. This provision would make
the updates easier than the requirement
in current § 207.40(c)(3) because it
would enable the official contact and
the United States agent (in addition to
the manufacturer, repacker, relabeler,
and drug product salvager) to update
their own or each other’s registration
information.
• Under proposed § 207.29(a)(3), only
a manufacturer, repacker, relabeler, or
drug product salvager may designate a
new official contact or United States
agent. This proposed requirement is
necessary because the manufacturer,
repacker, relabeler, and drug product
salvager is ultimately responsible for the
actions of the official contact and the
United States agent.
The requirements for the official
contact and the United States agent are
discussed in section IV.F.1 of this
document.
b. Annual review and update of
registration information. Proposed
§ 207.29(b) would require that the
registration information provided under
proposed § 207.25 be reviewed and
updated annually. This timeframe is
consistent with the requirement in
section 510(b) of the act that owners or
operators register on or before December
31 of each year and with the
requirement in current § 207.21(a) that
owners or operators renew their
registration information annually.
Proposed § 207.29(b) uses the term
‘‘review and update’’ to stress the
importance of first reviewing all
registration information to determine if
any changes have occurred and then
updating the information where needed.
Proposed § 207.29(b)(1) specifies that
the first review and update must occur
no later than 1 year after the date of the
initial registration of each establishment
and that subsequent reviews and
updates must occur no later than
annually thereafter from the date of
initial registration. Proposed
§ 207.29(b)(2) provides that the updates
must reflect all changes that have
occurred since the last annual review
and update.
The proposal would add a new
requirement for updating registration
information. Under proposed
§ 207.29(b)(3), if none of the registration
information has changed since the last
annual registration (accomplished
through the review and update of
registration information),
manufacturers, repackers, relabelers,
and drug product salvagers must certify
electronically that no changes have
occurred. This is consistent with section
510(b) of the act, which requires
manufacturers to register on or before
December 31 of each year. If

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manufacturers, repackers, relabelers,
and drug product salvagers certify that
no changes have occurred, this
certification would be the equivalent of
resubmitting registration information,
thereby satisfying the annual
registration requirement. We are
proposing to require that manufacturers,
repackers, relabelers, and drug product
salvagers certify annually that no
changes have occurred because many
manufacturers, repackers, relabelers,
and drug product salvagers have not
reviewed or updated this information on
a regular basis. It has been difficult for
us to determine whether failure to
register annually is the result of no
changes in information or
noncompliance. The proposed
requirement is intended to reduce these
instances and improve the accuracy of
our registration database. To increase
the nation’s ability to prepare for and
respond effectively to bioterrorism and
other public health emergencies, it is
increasingly important for
manufacturers, repackers, relabelers,
and drug product salvagers to comply
with registration requirements. With
accurate information, we can identify
where drugs are being made and better
ensure that drugs are promptly available
when needed. Furthermore, taking steps
to increase compliance is consistent
with section 301(p) of the act (21 U.S.C
331(p)), which makes it a prohibited act
to fail to register under section 510 of
act.
C. The National Drug Code (NDC)
Number: What is It? How is It Used?
What Changes Are We Proposing?
1. What Is the NDC Number?
The NDC number is a widely used
identifier for drugs. It is a unique 10digit number consisting of 3 segments:
The labeler code, the product code, and
the package code. Currently, the labeler
code consists of four or five digits, the
product code consists of either three or
four digits, and the package code
consists of either one or two digits. We
assign the labeler code to the
manufacturer, repacker, or relabeler
after it has registered with us. For
private label distributors, currently we
provide a labeler code to the private
label distributor if the private label
distributor submits the required
information to us. Alternatively, we
provide a labeler code for a private label
distributor to the manufacturer,
repacker, or relabeler who is
manufacturing, repacking, or relabeling
the drug for the private label distributor
after the manufacturer, repacker, or
relabeler provides the required
registration information pertaining to

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the private label distributor. The
manufacturer, repacker, relabeler, or
private label distributor then assigns the
product code and package code to each
drug within certain parameters that we
have established.
2. How Did NDC Numbers Originate?
How Are They Used?
Created in 1969, NDC numbers were
originally intended to ‘‘provide an
identification system in computer
language to permit automated
processing of drug data by Government
agencies, drug manufacturers and
distributors, hospitals, and insurance
companies’’ (see 34 FR 11157, July 2,
1969). Participation in the NDC system
was voluntary initially, and the program
covered ‘‘firms which manufacture and
label or which repackage and label
drugs’’ (id.). In 1971, the NDC system
expanded to include ‘‘distributors who
are marketing drug products in
interstate commerce, under their own
name (label), and through multiple
wholesale outlets and/or five or more
retail outlets’’ (see 36 FR 27, January 1,
1971).
The enactment of the Drug Listing Act
of 1972 (Public Law 92–387, 86 Stat.
559) changed the NDC number system
even further. The Drug Listing Act
required registered establishments to list
all drugs that the establishment
manufactures, prepares, propagates,
compounds, or processes for
commercial distribution and authorized
us to assign a ‘‘listing number’’ to each
drug or class of drugs that was listed.
The Drug Listing Act declared that,
‘‘Any number assigned * * * shall be
the same as that assigned pursuant to
the National Drug Code.’’ Thus, by
linking drug listings to the NDC
numbers, the Drug Listing Act, in
essence, authorized us to make
participation in the NDC number system
mandatory. In addition, by referring to
the word, ‘‘drug,’’ the Drug Listing Act
extended the NDC number system to
over-the-counter drugs and animal
drugs (because both are ‘‘drugs’’ under
the act and are listed under section
510(j) of the act).
Today, NDC numbers continue to be
an important, standardized,
identification system for drug products
used in data or claims processing, as
well as in applications other than data
or claims processing. For example,
consumers may use NDC numbers to
identify drugs that are the subject of a
recall. Health care professionals
submitting MedWatch reports
(concerning possible adverse drug
events) use NDC numbers to identify the
drug at issue. Our investigators
sometimes use NDC numbers to

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determine a drug’s compliance status by
linking the NDC number to our
registration and listing database to
verify whether the manufacturer has
registered and listed a particular drug.
We compile the NDC numbers in the
National Drug Code Directory, and the
directory is accessible online at http://
www.fda.gov/cder/ndc/database.
In addition, several new or future
public health programs or initiatives
rely or will rely on NDC numbers. For
example:
• On February 26, 2004 (69 FR 9120),
we published in the Federal Register a
final rule to require certain human drug
and biological products to have bar
codes (see 69 FR 9120). The bar code
must contain, at a minimum, the drug’s
NDC number. This rule is designed to
reduce the number of medication errors
in hospitals and other health care
settings by allowing health care
professionals to use bar code scanning
equipment to verify that the right drug
(in the right dose and right route of
administration) is being administered to
the right patient at the right time.
• The electronic prescription drug
program established by the Medicare
Modernization Act promotes uniform
standards that permit (among other
things) electronic exchange of drug
labeling and drug listing information
maintained by us and by the National
Library of Medicine (see 42 U.S.C.
1860D–4(e)(3)(C)(iii)). The goal behind
the program is to reduce transcription
and dispensing errors (which, in turn,
lead to medication errors) and to
prevent adverse drug interactions. As
we stated previously in this document,
drug listing numbers are, under the
Drug Listing Act of 1972, to be the same
as NDC numbers.
• The Health Insurance Portability
and Accountability Act (Public Law
104–191) required, among other things,
adoption of code set standards to
facilitate electronic transactions. The
standard code set for drugs is the NDC
(see final rule on ‘‘Health Insurance
Reform: Standards for Electronic
Transactions’’ (65 FR 50312, August 17,
2000), 45 CFR 162.1002(c); amended
February 20, 2003: ‘‘Health Insurance
Reform: Modifications to Electronic
Data Transaction Standards and Code
Sets’’ (68 FR 8381), 45 CFR
162.1002(a)(3) and (b)(2)).
• We are working with the National
Library of Medicine, manufacturers,
repackers, relabelers, and health care
information suppliers to improve
patient safety by better access to
medication information through the
DailyMed initiative. The DailyMed is an
up-to-date, computerized repository of
medication information including

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product labeling. The changes we are
proposing to the NDC number would
complement the DailyMed initiative by
providing a link to product labeling
made available through the DailyMed.
The product labeling in this repository
would be in the form of SPL. SPL is a
standardized computer readable product
labeling that links the NDC number to
the product information.
To illustrate how this would work,
someone could simply scan a bar code
encoded with the NDC number or type
into the DailyMed search program the
NDC number on the carton label to
access the most current information in
the product labeling available from the
DailyMed. This capability would enable
DailyMed users to have the most up-todate information for a drug, which
could be an important public health
benefit for consumers and health care
professionals. For example, assume that
a manufacturer modified its labeling to
reflect a new adverse drug experience.
If a consumer, pharmacist, or health
care provider received a drug whose
labeling had been printed earlier, the
consumer, pharmacist, or health care
provider would not be alerted to the
new adverse drug experience. By using
the DailyMed, the consumer,
pharmacist, or health care provider
would be able to access the new drug
labeling and would, therefore, learn
about the new adverse drug experience
and possibly be able to avoid it. The
consumer, pharmacist, or health care
provider would also be better able to
assess the risks and benefits of the drug
and, therefore, would be able to make
more informed decisions about using
the drug. The DailyMed would be a
publicly accessible repository of drug
information that could be used in many
ways by various parties, such as by
those who could add value to the
information, such as pricing
information, and make it available to
other parties.
Unfortunately, despite the widespread
and growing use and reliance on NDC
numbers, the existing NDC number
system has several shortcomings. For
example, manufacturers, repackers, and
relabelers can assign NDC numbers, and
the current regulations at
§ 207.35(b)(4)(ii) permit them to re-use
the product codes under certain
circumstances (such as taking the NDC
number assigned to drug X and then,
after drug X has been discontinued, later
assign the same NDC number to drug Z).
Also, under current regulations, it is
difficult for FDA to control the practice
of a manufacturer, repacker, or relabeler
making changes to a drug but
continuing to use the same NDC number
despite those changes.

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The manufacturer, repacker, and
relabeler’s ability to assign the product
code and package code themselves has
also resulted in problems that affect the
National Drug Code Directory and its
reliability. Product and package codes
are not always assigned appropriately,
and industry practices for assigning
codes are inconsistent. In addition,
manufacturers, repackers, and relabelers
currently do not tell us what codes they
have assigned until they list drugs with
us; this means that the National Drug
Code Directory is not always complete
or comprehensive. Moreover,
manufacturers, repackers, and relabelers
may never list a product or may
sometimes omit information or submit
incorrect information to us; this often
prevents us from including the correct
information in the National Drug Code
Directory and forces us to devote
resources to obtaining, sometimes
unsuccessfully, the correct information.
Furthermore, because NDC code
segments can vary in length (such as a
NDC having a four-digit labeler code, a
four-digit product code, and a two-digit
package code while another NDC has a
five-digit labeler code, a three-digit
product code, and a two-digit package
code), electronic systems that view the
NDC as a single number might interpret
two different NDC numbers as being the
same number. For example, one
manufacturer, repacker, or relabeler’s
drug might have a NDC number that
reads as 12345–678–90 while another
could have a drug whose NDC number
reads as 1234–5678–90. If a database
omits the hyphens, the result would be
a misleading impression that both drugs
have identical NDC numbers (i.e.,
1234567890), although they are made by
different manufacturers and may be
entirely different products.
We have also found that some
manufacturers, repackers, and relabelers
have assigned NDC numbers to products
that are not drugs, such as dietary
supplements and medical devices; such
actions can confuse drug databases or
lead to inappropriate reimbursements.
Consequently, to address these
shortcomings and to create an accurate,
up-to-date NDC number system, we
propose to revise the NDC number
system. In brief, we believe that to
ensure that the numbers are unique and
unambiguous, we need to take on the
responsibility of assigning the NDC
numbers prospectively to drugs that
have not previously been assigned NDC
numbers by a manufacturer, repacker, or
relabeler. The NDC numbers currently
assigned to drugs prior to the effective
date of the rule would remain
unchanged, provided those NDC
numbers comply with the new

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regulations as finalized. FDA intends to
validate that current NDC numbers
comply with the new regulations as
finalized. We believe that the NDC
number structure can remain very
similar to what exists today, as we
describe below, and still allow for
unique and unambiguous NDC numbers
if we assign the NDC numbers.
The proposal would also delete
obsolete or unnecessary requirements.
For example, current § 207.35 refers to
the National Health Related Items Code
(NHRIC) system as another code system;
the proposal would omit references to
the NHRIC system because we no longer
maintain the NHRIC database (see 42 FR
52808 at 52810, September 30, 1977)).
We describe the proposed changes in
more detail in the next section.
3. What Changes Are We Proposing?
a. Proposed § 201.2—Drugs; National
Drug Code (NDC) Number. Currently,
§ 201.2 states that NDC numbers are
requested, but not required, to appear
on all drug labels and in all drug
labeling, ‘‘including the label of any
prescription drug container furnished to
a consumer.’’ Section 201.2 also states
that if the NDC number appears on the
drug label, it must be displayed as
required by current § 207.35(b)(3).
The proposal would revise § 201.2 to
explain:
• What drugs must have an NDC
number, in human-readable form, on the
label;
• What an appropriate NDC number
is;
• Whether any other NDC number
may appear on a label;
• What prefix must be used to
identify the NDC number on the label;
and
• Where the NDC number goes on the
label.
Specifically, proposed § 201.2(a)
would require the appropriate NDC
number, in human-readable form, to
appear on the labels of drugs subject to
the drug listing requirements. In this
case, the word ‘‘drugs’’ should be
interpreted in light of proposed § 207.1
and encompasses human drugs,
including the drugs regulated under a
BLA, as described in proposed
§ 207.9(c), and animal drugs, including
Type A medicated articles. These drugs
may be active pharmaceutical
ingredients or finished dosage forms,
whether prescription or OTC. The drugs
regulated under a BLA, as described in
proposed § 207.9(c) include, but are not
limited to: (1) Plasma derivatives such
as albumin, Immune Globulin, Factor
VIII and Factor IX, and recombinant
versions of plasma derivatives or animal
derived plasma derivatives; (2)

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Vaccines; (3) Allergenic products; (4)
Bulk product substances such as
fractionation intermediates or pastes;
and (5) Therapeutic biological products.
We propose to require humanreadable NDC numbers to appear on
drug labels because various individuals
and databases use and rely on NDC
numbers, and those individuals or
databases might not have the technology
or means to read an automatic
identification technology such as a bar
code that is required under § 201.25. In
addition, for those who are able to read
bar codes, a human-readable NDC
number may serve as a ‘‘backup’’ in case
the bar code is damaged, cannot be read,
or is otherwise illegible.
Proposed § 201.2(b) would explain
that an ‘‘appropriate NDC number’’ is
the NDC number that we have assigned
(under proposed §§ 207.33 or 207.37,
which we discuss later in this part) to
the last manufacturer, repacker or
relabeler (including a drug product
salvager who repacks or relabels the
drug), or private label distributor
responsible for the drug immediately
before it is received by the wholesaler
or retailer. For example, assume that a
manufacturer makes a drug and sells
that drug to a wholesaler or retailer.
Under proposed § 201.2(b), the
manufacturer is the last person
responsible for the drug immediately
before it reached the wholesaler or
retailer, so the appropriate NDC number
would be the manufacturer’s NDC
number that we have assigned to that
drug. If, however, the manufacturer sold
the drug to a repacker, who then
repackages the drug and sells the
repackaged drug to a retailer, the
repacker is the last person responsible
for the drug immediately before it
reached the retailer, so the appropriate
NDC number would be the repacker’s
NDC number that we have assigned and
not the manufacturer’s NDC number.
Identifying the last person responsible
for a drug may be important in
situations where the drug’s quality,
purity, labeling, or packaging may be at
issue; for example, if a drug appeared to
be contaminated, knowing who the last
person was who manufactured,
repacked, or relabeled the drug could
help focus an investigation to determine
how the contamination occurred. It also
allows linking to the correct product
information in the DailyMed. In
addition, requiring the NDC number of
the last manufacturer, repacker,
relabeler, or private label distributor
responsible for the drug immediately
before it is received by the wholesaler
or retailer would enable us to accurately
and quickly identify the original
manufacturer by connecting the NDC

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number on the label to the information
in the electronic drug registration and
listing system.
The proposed approach of assigning
NDC numbers would mean that
repackers, for example, would have to
use their own NDC number, rather than
using the manufacturer’s NDC number
on drug labels. We recognize that some,
but not all, repackers have been using
the manufacturer’s NDC number rather
than their own on drug labels. We are
aware that some repackers’ practice of
using the manufacturers’ NDC numbers
has led to some confusion among FDA,
the Centers for Medicare & Medicaid
Services (CMS), other Federal agencies,
State agencies, and private insurance
organizations that rely on NDC numbers
for many purposes, including to identify
a drug and a drug’s source and for
purposes of reimbursement and
dispensing systems. It also has led to
some confusion by practitioners and
patients. There may be other reasons
that this practice has posed difficulties
or is cause for concern.
We are aware that the use of
manufacturer’s NDC numbers by some
repackers may lead to inaccurate or
improper reimbursement by Medicaid,
Medicare, and private insurers. It also
may result in misunderstanding as to
which rebate agreement a particular
drug is covered by or whether a
particular drug is covered by any rebate
agreement at all.
We are also aware that the use of
manufacturer’s NDC numbers by
repackers may not always be accurate or
consistent. For example, a repacker
might use a manufacturer’s NDC
number for a particular drug and then
continue to use that manufacturer’s
NDC number for generic equivalents to
that drug. This may lead to confusion
for caregivers and patients who may be
dispensed medication based on the
original manufacturer’s NDC number,
but receive a drug that is different in
size, shape and/or color than the drug
they are accustomed to using.
Additionally, there could be
reimbursement differences between one
firm’s product and another firm’s
product. Further, the NDC number of
the wrong manufacturer on the drug’s
label (even if the drugs of both
manufacturers are generic equivalents)
may also be a problem when pharmacies
rely on verification systems that include
exact color images of drugs based on
NDC numbers.
Recently, the National Association of
Chain Drug Stores (NACDS) and the
Healthcare Distribution Management
Association (HDMA) asked us to
exercise enforcement discretion
concerning our recent bar code rule (see

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21 CFR 201.25 (69 FR 9170, February
26, 2004)) so that repackers could
continue using manufacturers’ NDC
numbers on retail-based repackaged
drug products (Ref. 1). In brief, NACDS
and HDMA assert that FDA has
‘‘historically allowed the use of original
manufacturer NDC numbers by
repackagers on the product labels of
retail-based repackaged drug products’’
and that this practice is standard among
repackers (Ref. 1, p. 2). NACDS and
HDMA also stated that use of the
repackers’ NDC numbers ‘‘is not
necessary or desirable’’ because
repackers identify themselves on the
drug labels and that procedures exist to
allow recall of particular lots of
repacked drugs (rather than all drugs
made by a manufacturer). They also
stated that mandatory use of the
repackers’ NDC numbers might affect
patient safety adversely and create
additional, excessive costs to patients,
health care providers, and payers
because databases use the
manufacturers’ NDC numbers and
cannot be modified to accommodate
repackers’ NDC numbers (Ref. 1, pp. 4
through 9). For example, NACDS and
HDMA said that requiring repackers to
use their own NDC numbers could
‘‘greatly increase the potential for
medication errors’’ because pharmacists
would: ‘‘be required to inefficiently and
manually choose between multiple
options of the same product, e.g., Motrin
800mg by [one manufacturer] or Motrin
800mg repackaged by 5 different
repackagers. The more NDC numbers in
use for the same product across the
country, the greater the chance that data
entry errors will occur across the many
pharmacies that use repackaged
products.’’ (Ref. 1, p. 7.) In addition,
NACDS and HDMA said that requiring
repackers to use their own NDC
numbers would oblige them to pay
substantial rebate fees under Medicaid
when Congress intended drug
manufacturers, not repackers, to pay
those rebates and would complicate
Medicaid billing; they further stated that
requiring repackers to use their own
NDC numbers would lead to a ‘‘sharp
reduction or elimination of this type of
repackaging’’ (Ref. 1, p. 8).
On March 28, 2005, we issued a
response to the letter from NACDS and
HDMA. The response stated, among
other things, that we intend to
temporarily exercise our enforcement
discretion and permit repackers to use
manufacturers’ NDC numbers in bar
codes placed on their products. We said
that there will be an opportunity to
directly consider this issue when we
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establishment registration and drug
listing. The response stated that we will
consider all information provided that
documents the impact on repackers.
We lack sufficient information to
assess whether requiring repackers to
use their own NDC numbers would be
as problematic and expensive as NACDS
and HDMA suggest. We also do not
know the extent to which databases that
use NDC numbers cannot be modified to
accommodate repackers’ NDC numbers
or to associate more than one NDC
number with drugs made by the same
manufacturer. Moreover, although
repackers currently assign their own
NDC numbers and report those numbers
to us, we do not know whether
databases ignore or omit repackers’ NDC
numbers that we make available through
the National Drug Code Directory.
We believe that allowing repackers to
use the manufacturers’ NDC numbers
would be contrary to the proposal’s goal
of making the NDC number unique and
the system more accurate and reliable.
We are requesting additional
information on this issue. We
specifically invite comments on the
proposed approach of requiring on the
drug’s label the NDC number of the last
manufacturer, repacker or relabeler
(including the drug product salvager
who repacks or relabels the drug), or
private label distributor responsible for
the drug immediately before it is
received by the wholesaler or retailer,
which would result in prohibiting the
use of manufacturer’s NDC numbers by
repackers. We are especially interested
in: (1) Examples and discussions of
dispensing errors or difficulties,
confusion, reimbursement problems, or
other difficulties that may have been
caused or contributed to by the practice
of some repackers using the
manufacturer’s NDC number; (2) The
magnitude of the problems that may be
attributed to the use of manufacturer’s
NDC numbers by repackers and of the
problems that NACDS and HDMA have
articulated that may result from
mandating the use of repacker’s NDC
numbers by repackers; (3) the extent to
which such problems do or are likely to
occur; and (4) whether there are
technological (that is, software)
solutions or alternatives that could
address the issues presented in the
NACDS and HDMA letter, other issues
identified in this preamble, or those
raised in comments to this proposed
rule.
By inviting comment, we are
specifically giving NACDS and HDMA,
and any other interested parties, the
opportunity to comment on whether
repackers should be able to use the

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manufacturers’ NDC numbers on the
repacked drugs’ label.
Proposed § 201.2(c) states that only
the appropriate NDC number required
by proposed § 201.2(b) may appear on
the label. This provision would
complement proposed § 201.2(b) by
requiring the drug’s label to bear the
appropriate NDC number.
Proposed § 201.2(d) would require the
human-readable NDC number to be
immediately preceded by the letters
‘‘NDC.’’ This provision would modify
the current requirement at
§ 207.35(b)(3)(ii), which states that the
NDC number must be preceded by the
prefix ‘‘NDC’’ or ‘‘N’’ when used on a
label or labeling. We decided to limit
the prefix to ‘‘NDC’’ because, when
compared to ‘‘N’’ alone, ‘‘NDC’’ is a
clearer signal that the number following
‘‘NDC’’ is the NDC number.
Proposed § 201.2(e) would require
that the appropriate NDC number
appear clearly on the drug’s label as
defined by section 201(k) of the act.
Section 201(k) of the act defines ‘‘label’’
as ‘‘a display of written, printed, or
graphic matter upon the immediate
container of any article.’’ Section 201(k)
also states that ‘‘a requirement made by
or under authority of this Act that any
word, statement, or other information
appear on the label shall not be
considered to be complied with unless
such word, statement, or other
information also appears on the outside
container or wrapper, if any there be, of
the retail package of such article, or is
easily legible through the outside
container or wrapper.’’ This proposed
requirement would be a change from
current § 207.35(b)(3)(i), which requires
the NDC number to appear
‘‘prominently in the top third of the
principal display panel.’’ We decided to
remove the restriction on the NDC
number’s location because our bar code
rule, which requires the bar code to
encode the drug’s NDC number, allows
the bar code to appear anywhere on the
drug’s label. Consequently, some
establishments may wish to place the
human-readable NDC number next to
the bar code, so we have decided against
specifying the location of the humanreadable NDC number.
We are also proposing to revise
current § 201.25 because, as discussed
in section IV.A.5 of this document
(definition of ‘‘drug(s)’’) and in the
February 26, 2004, bar code final rule,
certain drugs that would be subject to
proposed part 207 are not subject to
current § 201.25. Under proposed
§ 201.25(e), a drug product that is
subject to the drug listing requirements
of proposed part 207 but is not subject
to current § 201.25 may display a bar

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code on the label only if the bar code
meets the requirements of § 201.25(c).
We are proposing this revision to help
ensure consistency in the appearance,
content, and placement of bar codes on
drug labels. We are also proposing to
revise current § 201.25 to further clarify
what ‘‘appropriate’’ NDC number must
appear in the bar code. Current
§ 201.25(c)(1) states that each drug
product subject to current § 201.25 must
have a bar code that contains, at a
minimum, the appropriate NDC
number. To clarify this requirement, we
are proposing to amend current
§ 201.25(c)(1) to state that the
‘‘appropriate NDC number,’’ as used in
current § 201.25(c)(1), is described in
proposed § 201.2(b).
We note that when there is a change
in the NDC number on a drug product
label, or when an NDC number is added
to a label, application holders must
submit revised labeling to us with their
annual reports under § 314.81(b)(2) for
human drugs, § 514.80(b)(4) for animal
drugs (‘‘periodic reports’’ are required
instead of ‘‘annual reports’’), and
§ 601.12(f)(3) for biological drugs.
b. Proposed § 207.33—What is the
National Drug Code Number, who must
obtain it, and what information must be
submitted? Proposed § 207.33 would
describe the NDC number and the
process for obtaining NDC numbers. The
proposal would differ from the preexisting NDC number system by having
us assign the NDC number for newly
listed drugs, by describing the changes
that would require a manufacturer,
repacker, or relabeler to obtain a new
NDC number, and by describing when
information must be submitted to us to
obtain an NDC number. Under the
proposal, all three sections of the NDC
number would be assigned
prospectively by us to drugs that have
not previously been assigned NDC
numbers by a manufacturer, repacker, or
relabeler. The NDC numbers currently
assigned to drugs prior to the effective
date of the rule would remain
unchanged, provided those NDC
numbers comply with the new
regulations as finalized. FDA intends to
validate that current NDC numbers
comply with the new regulations as
finalized.
Currently, § 207.35(a) states that we
will provide a validated copy of an
establishment’s registration form and
assign a permanent registration number
to each drug establishment in
accordance with our regulations.
Current § 207.35(b)(1) and (b)(2) state
that we will assign a drug listing
number to each drug or class of drugs
and that the number of characters in
that number may differ depending on

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whether the drug is already listed in the
NDC system or the NHRIC system. For
example, current § 207.35(b)(1) states
that if a drug is already listed in the
NDC system or NHRIC system, the drug
listing number is the same as that
assigned under those codes and that we
will add a lead zero to the first three
characters to create a four-character
labeler code. Current § 207.35(b)(1) also
states that manufacturers or distributors
may retain alphanumeric characters that
they already use in the product and
package code segments and must inform
us if they convert those code segments
into numeric digits. Current
§ 207.35(b)(2) also explains how many
characters may be in a labeler code,
product code, and package code.
Given that this proposal would
designate the responsibility of assigning
the NDC number to FDA, the proposal
would eliminate many of the provisions
in current § 207.35, such as our need to
provide to sponsors validated copies of
registration forms as well as information
on how to assign the product code and
package code. Proposed § 207.33(a)
explains that the NDC number is a
unique 10-digit number composed of a
labeler code, product code, and package
code. Proposed § 207.33(a) also states
that we would assign the complete NDC
number (that would include the existing
labeler code, if any) to each drug that is
subject to the listing requirements in
part 207. We would use the same
configuration when assigning each
segment of the NDC number: The labeler
code would be either five or four digits,
the product code would be either four
or three digits, and the package code
would be either two digits or one digit.
When we assign a NDC number to a
drug, we intend to leave a space
between the segments of the NDC
number so that the separate codes are
distinguishable. Manufacturers,
repackers, and relabelers may add
symbols, such as hyphens or asterisks,
between the segments of the humanreadable NDC number if they want to
visually distinguish the codes in such a
manner. Under the proposal,
manufacturers, repackers, and relabelers
would keep the same labeler code that
they use for currently marketed drugs.
However, if more than one labeler code
is currently used by a manufacturer,
repacker, or relabeler, only one labeler
code would be used for any new NDC
numbers that we would assign under
this rule prospectively. Also, as
described below, the proposal would
allow currently marketed drugs to keep
the same NDC numbers in most cases.
Proposed § 207.33(b)(1) and (b)(2)
would require that manufacturers,
repackers, relabelers, and, in certain

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circumstances, drug product salvagers,
obtain NDC numbers from us for each
drug that is subject to the drug listing
requirements. In the case of drug
product salvagers, they would obtain an
NDC number for each drug that is
subject to the drug listing requirements
only if they repack or relabel the
salvaged drug. For private label
distributors, proposed § 207.33(b)(3)
states that the manufacturer, repacker,
or relabeler who manufactures, repacks,
or relabels the drug for the private label
distributor is responsible for obtaining
the NDC number from us for each drug
that is subject to the drug listing
requirements.
Proposed § 207.33(b) is intended to
clarify who must obtain NDC numbers.
For example, drug product salvagers
ordinarily would not need to obtain
NDC numbers because they merely
salvage drugs. If a drug product salvager
simply recovers the drug and sells it
without repacking or relabeling the
product, the drug product salvager
would not need to obtain an NDC
number for the salvaged drug. However,
if the drug product salvager repacks or
relabels the salvaged drug, then the drug
product salvager is similar to a repacker
or relabeler, and proposed § 207.33(b)
would require the drug product salvager
to obtain an NDC number from us for
the repacked or relabeled drug. As
another example, under the proposal,
private label distributors would not be
permitted to register or list and,
consequently, they would not obtain
NDC numbers for the drugs they
distribute. Instead, the manufacturer,
repacker, or relabeler who
manufactures, repacks, or relabels the
drug for the private label distributor
would be responsible for obtaining the
NDC number, including a labeler code
appropriate for the private label
distributor. This change ensures that
more accurate information is provided
to FDA about the drug distributed by the
private label distributor because the
manufacturer supplies the necessary
drug information to FDA.
Under current § 207.35,
manufacturers, repackers, and relabelers
assign NDC numbers to the drugs they
manufacture, repack, or relabel, and
private label distributors assign NDC
numbers to the drugs they distribute if
they opt to list the drugs themselves.
Drug product salvagers currently do not
receive NDC numbers for the drugs they
salvage, and under current § 207.20(a),
they are not required to list the drugs
they salvage.
As noted previously, even though we
would assign NDC numbers under the
proposal, an establishment’s labeler
code would remain the same in most

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cases. For example, if a manufacturer’s
labeler code were 12345, we would
assign NDC numbers for the
manufacturer’s drugs and still use 12345
as the manufacturer’s labeler code.
However, under the proposal, if a
manufacturer, repacker, or relabeler
uses more than one labeler code, we
would prospectively assign NDC
numbers that use only one labeler code
for that manufacturer, repacker, or
relabeler.
Note, too, that other components in an
NDC number may remain unchanged
under the proposal. For example,
assume that a drug is already listed in
the National Drug Code Directory and
its manufacturer later decides to change
its package size. In this situation, the
labeler code and the product code
would ordinarily remain the same, and,
generally, we would assign a new
package code for the changed drug.
Furthermore, if a drug already has an
NDC number at the time of the effective
date of a final rule, the drug would
retain that NDC number provided that
the manufacturer, repacker, or relabeler,
within 9 months after the effective date
of a final rule, reviews and updates, in
accordance with proposed §§ 201.2,
207.33, 207.37, 610.60, and 610.61, the
information in our database for the NDC
number (see sections IV.C.4, IX, and X
of this document for information on the
proposed implementation and effective
and compliance dates of this
rulemaking). We also will work with
manufacturers, repackers, and relabelers

to address any problems with existing
NDC numbers (such as duplicate or
potentially duplicate NDC numbers)
that might arise after a final rule
becomes effective.
Using a 5-digit labeler code, we
estimate that we have the capacity for
NDC numbers for up to 100,000
registered establishments, each having a
capacity for up to 100,000 product/
package size combinations (using the 5
remaining digits). If a registered
establishment requires more than
100,000 product/package size codes, we
could issue that establishment an
additional labeler code. We currently
have about 25,000 active establishments
in our registration database, utilizing
less than half of the 5-digit labeler code
capacity. We currently issue about 1,000
new labeler codes annually. If we reach
NDC number capacity (possibly in 30 to
50 years), we could propose to either
add alphanumeric capability or expand
the number of numeric digits to 11 or
12 (current § 207.35(b)(2)(i) states that
FDA will go from a 5- to 6-digit labeler
code if needed). This change in NDC
numbers will necessitate advances in
current UPC technology (due to the
need for bar code reading), which we
anticipate will likely occur prior to our
reaching the 10-digit NDC numeric
capacity.
The proposal would also omit the
references to Form FDA–2656 in current
§ 207.35(a) and (b)(2) because the
proposal’s electronic submission of
registration and listing information

would make it unnecessary for us to
provide validated copies of forms. In
addition, because we would assign NDC
numbers, the proposal would eliminate
the provision in current § 207.35(b)(1)
that allows manufacturers and
distributors to convert alphanumeric
product codes and package codes they
may have and report such changes to us.
(If any establishment still has
alphanumeric product or package codes
for a drug, we will work with them to
assign new NDC numbers.) The
proposal would also omit references in
current § 207.35(b)(1) and (b)(2) to the
NHRIC system because we do not
maintain a NHRIC database (see 42 FR
52808 at 52810).
Proposed § 207.33(c) and (d) describes
the information that a manufacturer,
repacker, or relabeler would be required
to submit before we assign an NDC
number to a drug. As discussed earlier
in this section, if a drug product
salvager simply recovers the drug and
sells it without repacking or relabeling
the drug, the drug product salvager
would not need to obtain an NDC
number for the salvaged drug. However,
if the drug product salvager repacks or
relabels the salvaged drug, then the drug
product salvager is similar to a repacker
or relabeler, and proposed § 207.33(b)
would require the drug product salvager
to obtain an NDC number from us for
the repacked or relabeled drug. The
following table illustrates the proposed
requirements.

TABLE 1.—INFORMATION TO BE SUBMITTED TO OBTAIN AN NDC NUMBER, ARRANGED BY MANUFACTURER, REPACKER, OR
RELABELER AND DRUG

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Proposed Section

Type of Drug

Information to be Submitted

§ 207.33(c)(1)
(Manufacturer)

Active pharmaceutical ingredient

• Manufacturer’s name, address, telephone number, fax number, e-mail address, and labeler code
• Drug’s established name and proprietary name (if any)
• Package size and type
• Drug Master File number or Veterinary Master File number, if any, assigned to the active pharmaceutical ingredient

§ 207.33(c)(2)
(Manufacturer)

Drug other than an active
pharmaceutical ingredient

• Manufacturer’s name, address, telephone number, fax number, e-mail address, and labeler code
• Drug’s established name and proprietary name (if any)
• Name and quantity of each active pharmaceutical ingredient or the approved U.S. application number
• Name of each inactive ingredient (or approved U.S. application number) for certain
drugs, and whether you consider the name of the inactive ingredient to fall under
§ 20.61 (21 CFR 20.61) of this chapter or to be otherwise prohibited from disclosure
and, if so, why
• Dosage form
• Package size and type, including immediate unit-of-use container
• Marketing status (e.g., prescription or OTC)
• Drug or drug product type (human drug or animal drug)
• Imprinting information

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TABLE 1.—INFORMATION TO BE SUBMITTED TO OBTAIN AN NDC NUMBER, ARRANGED BY MANUFACTURER, REPACKER, OR
RELABELER AND DRUG—Continued
Proposed Section

Type of Drug

Information to be Submitted

§ 207.33(c)(3)
(Manufacturer)

Active pharmaceutical ingredient for a private label distributor

• Manufacturer’s name, address, telephone number, fax number, e-mail address, and labeler code
• Drug’s established name and proprietary name (if any)
• Package size and type
• Drug Master File number or Veterinary Master File number, if any, assigned to the active pharmaceutical ingredient
• Private label distributor’s name, address, telephone number, fax number, e-mail address, labeler code
• Drug’s proprietary name (if any) as assigned by the private label distributor

§ 207.33(c)(3)
(Manufacturer)

Drug other than an active
pharmaceutical ingredient
for a private label distributor

• Manufacturer’s name, address, telephone number, fax number, e-mail address, and labeler code
• Drug’s established name and proprietary name (if any)
• Name and quantity of each active pharmaceutical ingredient or the approved U.S. application number
• Name of each inactive ingredient (or approved U.S. application number) for certain
drugs, and whether you consider the name of the inactive ingredient to fall under
§ 20.61 of this chapter or to be otherwise prohibited from disclosure and, if so, why
• Dosage form
• Package size and type, including immediate unit-of-use container
• Marketing status (e.g., prescription or OTC)
• Drug or drug product type (human drug or animal drug)
• Imprinting information
• Private label distributor’s name, address, telephone number, fax number, e-mail address, and labeler code
• Drug’s proprietary name (if any) as assigned by the private label distributor

§ 207.33(d)(1)
(Repacker or
relabeler)

Drug that is repacked or relabeled

• Repacker’s or relabeler’s name, address, telephone number, fax number, e-mail address, and labeler code
• NDC number assigned to the drug immediately before its receipt by the repacker or relabeler
• Type of operation performed for the drug (repacking or relabeling)
• Drug’s established name and proprietary name (if any)
• Package size and type, including immediate unit-of-use container, if any (required for
repackers only)

§ 207.33(d)(2)
(Repacker or
relabeler)

Drug that is repacked or relabeled for a private label
distributor

• Repacker’s or relabeler’s name, address, telephone number, fax number, e-mail address, and labeler code
• NDC number assigned to the drug immediately before its receipt by the repacker or relabeler
• Type of operation performed for the drug (repacking or relabeling)
• Drug’s established name and proprietary name (if any)
• Package size and type, including immediate unit-of-use container, if any (required for
repackers only)
• Private label distributor’s name, address, telephone number, fax number, e-mail address, and labeler code
• Drug’s proprietary name (if any) assigned by the private label distributor

Proposed § 207.33(c) and (d) are
intended to accomplish several goals:
1. The proposal would reduce
redundant data submission and improve
the accuracy of information that we
receive. For example, under the current
system, a manufacturer and a repacker
may submit the same drug listing
information for the same type of drug.
However, the repacker might not have
adequate information from the
manufacturer or might describe the drug
differently than the manufacturer; this
would lead to data discrepancies and
omissions. So, by requiring only
manufacturers to provide descriptive
information about the drugs they make,

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we would eliminate potential duplicate
submissions, data discrepancies, and
data omissions. Instead, the repacker,
under the proposal, would simply tell
us the NDC number of the drug that the
repacker receives, and we could use the
NDC number to link the drug back to its
manufacturer.
2. By having manufacturers,
repackers, relabelers, and drug product
salvagers submit information on behalf
of private label distributors, the
proposal would eliminate the potential
for redundant, incomplete, or
inconsistent submissions by private
label distributors. For example, under
the current system, some manufacturers

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have submitted information for drugs
that they manufactured for private label
distributors, and the private label
distributors also submitted information
for the same drugs; if the manufacturers
and private label distributors described
the drugs differently to us, we then had
different information for the same drugs.
3. By linking a repacker’s or
relabeler’s drug to an NDC number, the
proposal would eliminate a problem
that some repackers and relabelers have
encountered in the past. Under the
current listing system, repackers and
relabelers have sometimes found it
difficult to obtain necessary information
from manufacturers. This difficulty has

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resulted in data errors and omissions
and an incomplete or inaccurate
National Drug Code Directory.
4. By separating the NDC number
process from drug listing and creating
an electronic drug registration and
listing system, the proposal should
make it easier for manufacturers,
repackers, and relabelers (and drug
product salvagers who obtain NDC
numbers for private label distributors) to
obtain their NDC numbers quickly and,
as a result, prepare product labels and
marketing plans earlier.
5. Under the proposal, the
information submitted about the drug to
obtain an NDC number would be
retained in the electronic drug
registration and listing system. Thus,
when the manufacturer, repacker, or
relabeler later lists the drug, they would
need to provide only the additional
information required for listing.
6. By assigning a unique NDC number
to each drug, the proposal would ensure
that the drug has an accurate identifier,
allowing us to support the
implementation of the electronic
prescribing provisions of the Medicare
Modernization Act. We would link the
accurate NDC number to the product
labeling that would be made available
through the DailyMed initiative.
i. Information to be submitted to
receive an NDC number. We describe
the information that proposed
§ 207.33(c) and (d) would require and
our reasons for proposing to require the
information, as follows:
• Name, address, telephone and fax
numbers, e-mail address, and labeler
code. Proposed § 207.33(c) and (d)
would require manufacturers, repackers,
and relabelers to provide this
information to enable us to identify and
contact (if necessary) the appropriate
manufacturer, repacker, or relabeler and
identify their labeler code. In situations
where a manufacturer, repacker, or
relabeler manufactures, repacks, or
relabels a drug for a private label
distributor, the proposal would also
require the manufacturer, repacker, or
relabeler to provide comparable
information for the private label
distributor. This information would
enable us to associate the
manufacturer’s, repacker’s, or relabeler’s
drugs with a particular private label
distributor and to contact that private
label distributor if necessary.
• The drug’s or active pharmaceutical
ingredient’s established name and
proprietary name (if any). The
established name (sometimes referred to
as generic name) is ordinarily either the
drug’s compendial name or, if there is
no compendial name, the drug’s
common or usual name. The proprietary

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name (sometimes referred to as trade
name) is generally the drug’s marketed
or advertised name as designated by the
manufacturer, repacker, relabeler, or
private label distributor. Most
consumers recognize a drug by its
proprietary name rather than its
established name. Proposed § 207.33(c)
and (d) would require submission of
these names because knowing a drug’s
established name would let us
determine, for example, which
companies market identical drugs and
which drugs can be substituted in the
event of drug shortages or recalls.
Knowing a drug’s proprietary name
would enable us to identify a drug to the
public during a recall or consumer alert.
This information is currently required
under § 207.25(b)(1) and is submitted on
Form FDA 2657.
• The Drug Master File (DMF)
number or Veterinary Master File (VMF)
number, if any, assigned to the active
pharmaceutical ingredient. Under
proposed § 207.33(c)(1)(iv) (and, if
applicable, proposed § 207.33(c)(3)), if a
DMF number or VMF number is
assigned to the active pharmaceutical
ingredient, the manufacturer would
identify for us the DMF number or the
VMF number. The DMF or VMF may
contain additional information about
the active pharmaceutical ingredient
that our electronic drug registration and
listing system could associate with the
active pharmaceutical ingredient at
other points in the registration and
listing process. This could reduce the
burden on the manufacturer of
submitting to us the information already
contained in the DMF or VMF. This
information is not currently provided to
us under current part 207 or Form FDA
2657 or Form FDA 2658.
• Name and quantity of each active
pharmaceutical ingredient in a drug.
Proposed § 207.33(c)(2) and, if
applicable, proposed § 207.33(c)(3),
would require manufacturers to submit
this information to us (unless the
approved U.S. application number is
provided). Knowing the name and
quantity of a drug’s active
pharmaceutical ingredients would help
us assign unique product codes and
help ensure that the assigned NDC
numbers are unique to different
products. For example, assume that a
manufacturer makes a drug in two
different strengths, 100 milligrams (mg)
and 500 mg. If we only required the
manufacturer to identify the active
pharmaceutical ingredient, we might
assume, incorrectly, that the
manufacturer made two versions of the
same drug in the same strength and then
assign the same product code to both
drugs. Instead, by proposing to require

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information about the quantity of the
drug’s active pharmaceutical ingredient,
we would be able to assign one product
code to the 100 mg product and a
different product code to the 500 mg
product. As an alternative to providing
the name and quantity of the drug’s
active pharmaceutical ingredient,
proposed § 207.33(c)(2) would allow a
manufacturer to give us the drug’s
approved U.S. application number; the
approved U.S. application number
would allow us to link the drug to a
particular application and determine the
name and quantity of the active
pharmaceutical ingredients in that drug.
The proposed requirement is similar
to the requirement regarding
quantitative listing of active ingredients
in current § 207.25(b). Current
§ 207.25(b)(6) requires a quantitative
listing of a drug’s active ingredient(s) for
drugs that a registrant regards as not
being subject to sections 505 or 512 of
the act or section 351 of the PHS Act.
Current 207.25(b)(2) requires, for each
drug listed that the registrant regards as
subject to section 505 or 512 of the act,
the application number. The act, for
purposes of certain drug listing
requirements, appears to treat drugs
differently depending on whether those
drugs are subject to sections 505 or 512
of the act or not. Section 510(j)(1)(A) of
the act mandates that the drug list be
prepared in the form and manner
prescribed by us. That drug list, for
drugs subject to sections 505 or 512 of
the act, must be accompanied by ‘‘the
authority for the marketing of such
drug’’. In contrast, section 510(j)(1)(C) of
the act states that the drug list, for drugs
that are not subject to either section 505
or 512 of the act, must be accompanied
by a ‘‘quantitative listing’’ of the drug’s
active ingredient or ingredients and that
we may require a quantitative listing of
all ingredients with respect to a
particular product if we find such
submission is necessary to carry out the
act’s purposes.
We believe that these provisions, and
others, give us sufficient authority to
require the submission of active
ingredient information for all drugs as
part of the NDC number assignment
process. We already have such
information for drugs approved under
sections 505 and 512 of the act because
information concerning active
ingredients is an essential part of the
drug’s marketing application. Thus,
when a manufacturer gives us the
approved U.S. application number (as
proposed § 207.33(c)(2)(i) would require
and as current § 207.25(b)(2) (pertaining
to required drug listing information)
requires), the manufacturer is, in
essence, giving us a link to information

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about the drug’s active ingredients. As
noted previously, section 510(j)(1)(A) of
the act, for drugs subject to sections 505
or 512 of the act, requires the ‘‘reference
to the authority for the marketing of
such drug.’’ This reference would be the
approved U.S. application number. The
act, for drugs not subject to section 505
or 512, explicitly requires a quantitative
listing of active ingredients. Proposed
§ 207.33(c)(2)(i) would, therefore, enable
us to input the active ingredient
information into an electronic database.
This would enable us to link to certain
information in the application, and
would be more efficient than having to
review individual marketing
applications, identify each drug’s active
ingredients, and then enter that data
into the database ourselves.
• Name of the inactive ingredient(s).
Proposed § 207.33(c)(2), and, if
applicable, (c)(3) would require
manufacturers to give us the drug’s
approved U.S. application number or, in
the alternative, the name of each
inactive ingredient for each human and
animal drug that the manufacturer
regards as subject to section 505 or
section 512 of the act or section 351 of
the PHS Act, and for each human OTC
drug that the manufacturer regards as
not subject to section 505 of the act, and
whether the name of an inactive
ingredient falls under § 20.61 or is
otherwise prohibited from disclosure
and, if so, why. Proposed § 207.33(c)(3)
describes the requirements of the
manufacturer who is manufacturing a
drug for a private label distributor. Such
manufacturers would be required to give
us the name of each inactive ingredient
for certain drugs, as described
previously, or the drug’s U.S. approved
application number for the drug it
manufactures for a private label
distributor. Proposed § 207.33(c)(2) and
(c)(3) are authorized under section 510
of the act as well as other provisions.
We are considering whether to require
the name of each inactive ingredient to
be submitted for other categories of
drugs as well.
• Dosage form. Proposed
§ 207.33(c)(2) and (c)(3) would require
manufacturers to identify a drug’s
dosage form. This information will also
help us distinguish between drug
products that contain the same active
ingredient and, consequently, assign
unique product codes to such drugs. For
example, assume that a manufacturer
makes drug X, in a 100 mg strength, in
a tablet form and also in a gelatin
capsule. If we did not know there were
two dosage forms of drug X, we might
mistakenly assign the same product
code to the tablet and gelatin capsule.
Thus, information about dosage forms

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will help us create an NDC system that
ties unique NDC numbers to unique
products. The drug’s dosage form is
currently submitted on Form FDA 2657.
• Package size and type. Proposed
§ 207.33(c)(1), (c)(2), (c)(3) (if
applicable), (d)(1), and (d)(2) would
require manufacturers and repackers
respectively to provide information
about package size and type. This
information would obviously be
relevant in helping us assign package
codes to a particular drug. For example,
a drug packaged in a glass container
would have a different NDC number
from the same drug packaged in a
plastic container. The proposal would
require that information about the
drug’s package size and type be
provided for each package, including
the immediate unit-of-use container. For
example, a drug packaged in a box
containing a card of 12 unit-of-use
blisters would have a different NDC
number than each individual blister
(unit-of-use). In the latter example, the
different NDC numbers would have a
practical impact with respect to our bar
code requirements. A database system
computer reading the bar code for the
individual unit-of-use blister would see
that the health care professional is
administering a single dose of a
particular drug to a patient; if the NDC
number for the box were the same as
that used for each unit-of-use blister,
then the computer might mistakenly
believe that the health care professional
was administering 12 doses to the
patient. In these scenarios, distinct NDC
numbers for each package level would
enhance the bar code’s accuracy and
value. The drug’s package size and type
is currently submitted on Form FDA
2657.
• Marketing status. Proposed
§ 207.33(c)(2) and, if applicable, (c)(3),
would require manufacturers to tell us
whether the drug is available only by
prescription or is available OTC. Having
such information in our electronic
database would enable us to determine
quickly which drugs are available by
prescription and which are OTC. In
addition, some entities that rely on NDC
numbers, such as CMS and health care
insurance companies, might treat
prescription drugs differently from OTC
drugs. For example, an insurer might
reimburse consumers for prescription
drug expenses, but not for OTC drug
expenses. The drug’s marketing status—
whether prescription or OTC—is
currently submitted on Form FDA 2657.
• Drug or drug product type. Under
proposed § 207.33(c)(2) and, if
applicable, (c)(3), manufacturers would
identify whether a drug is a human drug
or animal drug. This information would

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enable us to refine our databases to
distinguish quickly between human and
animal drugs. Having such information
readily available could help us
determine the regulatory obligations for
a particular drug. For example, the bar
code requirement applies to human
drugs only. Thus, if we could
differentiate quickly between human
and animal drugs based on NDC
numbers alone and we received a report
that a particular drug failed to have a
bar code on its label, we would be able
to determine, based on the NDC number
alone, whether that drug was subject to
the bar code requirement. This
information is currently submitted
under ‘‘product type’’ on Form FDA
2657.
• Imprinting information. For each
drug product subject to the listing
requirements and covered under
§ 206.1, including products that are
exempted under § 206.7(b),
manufacturers must provide the size,
shape, color, and code imprint (if any)
(proposed § 207.33(c)(2)(vii) and, if
applicable, proposed § 207.33(c)(3)).
This provision is similar to current
§ 207.25(c), except the current provision
also requires that the name of the drug
product, its active ingredient(s), dosage
strength, NDC number, and the name of
its manufacturer or distributor be
submitted. Under the proposal, the
name of the drug product, its active
ingredient(s) (proposed § 207.33(c)(2)
uses the term ‘‘active pharmaceutical
ingredient’’), and dosage strength
(proposed § 207.33(c)(2) uses the term
‘‘dosage form’’) would be submitted to
us under proposed § 207.33(c) along
with the imprinting information. The
NDC number would be submitted under
proposed § 207.49 for listing, the name
of the private label distributor would be
submitted under proposed §§ 207.33
and 207.49 for listing, and the name of
the manufacturer would be submitted
under proposed § 207.25 for registration.
All of this information would be
accessible via our electronic drug
registration and listing system. The
proposal would also delete the
requirement in current § 207.25(c) that
‘‘any other characteristic that identifies
the drug product as unique’’ must be
submitted. We need to know the drug’s
size, shape, color, and code imprint, as
well as the other information required
under proposed § 207.33(c), to assign an
NDC number to the manufacturer’s
drug. Imprinting information would
enable us to investigate reports of
medication errors and counterfeiting
and to assist poison control centers in
identifying drugs in overdose and
accidental poisoning situations.

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• NDC number assigned to the drug
immediately before the repacker or
relabeler received that drug. Proposed
§ 207.33(d) would require repackers and
relabelers to give us the NDC number of
the drug that they receive. This
information would enable us to link that
drug to a particular source and, as we
said earlier in this part, eliminate the
need for repackers and relabelers to
obtain certain drug information from
those sources to obtain an NDC number.
For example, assume that relabeler
Alpha received drug X from
manufacturer Beta. If Alpha gives us the
NDC number for drug X, we will then
be able to link Alpha’s relabeled drug to
Beta. We would also eliminate any need
for Alpha to ask Beta for information
about drug X for purposes of getting an
NDC number and eliminate the
possibility that Alpha might report
incorrect or contradictory information
about drug X compared to the
information given to us by Beta.
• Type of operation. Proposed
§ 207.33(d) would require repackers and
relabelers to report the type of operation
(that is, repacking or relabeling)
performed for a drug. This information
is comparable to the information we
currently receive about an
establishment’s ‘‘type of business’’ on
Form FDA 2657, except that proposed
§ 207.33(d) is limited to repackers and
relabelers.
• Information regarding private label
distributors. Proposed § 207.33(c)(3) and
207.33(d)(2) would require
manufacturers, repackers, and relabelers
who manufacture, repack, or relabel
drugs for a private label distributor to
tell us the private label distributor’s
name, address, telephone number, fax
number, e-mail address, labeler code,
and any proprietary name assigned by
the private label distributor to the drug.
This information will help us link the
manufacturer’s, repacker’s, or relabeler’s
drug to a particular private label
distributor and, as we stated earlier in
this part, eliminate potential data
duplication, omissions, and
inaccuracies that would otherwise result
if private label distributors were able to
seek NDC numbers from us.
Manufacturers, repackers, and relabelers
should be able to obtain the necessary
information from private label
distributors. Listing information for
private label distributors is currently
submitted on Form FDA 2658.
ii. How the information would be
submitted. Proposed § 207.33(e) would
require manufacturers, repackers, and
relabelers to submit information to us
electronically, in accordance with
proposed § 207.61 unless we grant a
waiver under proposed § 207.65. We

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discuss proposed §§ 207.61 and 207.65
later in this document.
iii. Types of changes that would
require a new NDC number. Proposed
§ 207.33(f) would describe the types of
changes in information that would
require a new NDC number. In brief,
proposed § 207.33(f)(1) would require a
new NDC number for any change of
information that would be required
under proposed § 207.33(c) and (d),
except for the following contact
information: Name; address; telephone
and fax numbers; and e-mail address for
the manufacturer, repacker, relabeler, or
private label distributor. In addition,
§ 207.33(f)(2) requires manufacturers to
obtain a new NDC number when there
is a change in an inactive ingredient for
each human prescription drug that the
manufacturer regards as not subject to
section 505 of the act and for each
animal drug that the manufacturer
regards as not subject to section 512 of
the act. Although we are not proposing
to require, at this time, that
manufacturers submit the name of each
inactive ingredient to us when they
obtain an NDC number for these drugs,
we are proposing to require that
manufacturers notify us only of the fact
that there has been a change in an
inactive ingredient for these drugs. This
would ensure that a unique NDC
number is assigned to these drugs when
the drug’s inactive ingredient(s) has
changed. It is important that marketed
drugs have unique NDC numbers that
are accurate because, as discussed in
section IV.C.2 of this document, NDC
numbers are an important, standardized,
identification system for drug products
and are used for many purposes. In
addition, identifying marketed drugs in
our electronic database for which
inactive ingredients have changed
would help us investigate, as discussed
in section IV.C.3 of this document,
incidents of allergic reactions in
patients as well as possible drug
contamination, counterfeiting, or
adulteration. Although we are not
proposing it at this time, we are
considering requiring in the future that
manufacturers submit the name of each
inactive ingredient to obtain an NDC
number for categories of drugs beyond
those referenced in proposed
§ 207.33(c)(2)(ii) and 207.33(c)(3). We
are specifically requesting comments on
the feasibility of submitting these
inactive ingredients. The proposed rule
would be similar to current
§ 207.35(b)(4)(i), which requires a
registrant to assign a new NDC number
if any change occurs in a product’s
characteristics that clearly distinguishes
one drug product version from another.

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However, proposed § 207.33(f) would
differ from the current requirement in
several important respects. First,
proposed § 207.33(f) would require
changes to be reported to us in
accordance with proposed § 207.33(e)
(which would require electronic
submission of information) and
§ 207.33(g) (which describes timing
requirements discussed later in this
part). The current regulation has no
comparable electronic reporting
requirement. Second, proposed
§ 207.33(f) would not require us to
publish a notice in the Federal Register
announcing our determination as to
whether a change requires assignment of
a new product code. Because the
proposed rule would create an
electronic drug registration and listing
system and have us assign NDC
numbers quickly that would be
accessible in the registration and listing
database, we find it unnecessary and
impractical to publish Federal Register
notices regarding product code changes.
Third, although current § 207.35(b)(4)(i)
allows registrants to assign their own
package codes for changes involving
trade packages, proposed § 207.33(f)
would eliminate this provision because
we would assign the new NDC number
ourselves to ensure that the NDC
number is unique and that our NDC
number database is accurate and up-todate. Fourth, proposed § 207.33(f), in
conjunction with proposed § 207.33(c)
and (d), gives a more complete
description of which changes would
require a new NDC number, compared
with current § 207.25(b)(4)(i) (which
currently lists examples of changes).
Because manufacturers, repackers, and
relabelers currently have different
practices with respect to assigning NDC
numbers, this change would eliminate
inconsistency and would introduce an
element of certainty with respect to the
assignment of new NDC numbers.
iv. When the information would be
provided. Proposed § 207.33(g) would
explain when a manufacturer, repacker,
or relabeler must provide the
information to obtain an NDC number.
In brief, the proposal would require a
manufacturer, repacker, or relabeler to
provide the information described in
proposed § 207.33(c), (d), and (f) either
before or at the time drug listing
information is required under proposed
§§ 207.45 or 207.57. (We discuss
proposed §§ 207.45 and 207.57 later in
this document.) The proposed
requirement differs slightly from current
§§ 207.21(b), 207.22(b), and
207.25(b)(8), which allows
manufacturers, repackers, and relabelers
to give us NDC numbers as part of their

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drug listing information, because the
proposal would allow companies to give
us information earlier than the drug
listing process would be completed.
This ability to seek NDC numbers
throughout the year should help us keep
the National Drug Code Directory
current and, as a result, provide more
accurate and useful NDC number
information to entities that rely on or
use NDC numbers. In addition, the
proposed scheme would give
manufacturers, repackers, and relabelers
more flexibility to obtain an NDC
number earlier for their own planning
purposes. Furthermore, we will know
which NDC number corresponds to a
drug immediately because we will
assign it, rather than the current system
where manufacturers, repackers, and
relabelers assign their own NDC
numbers and only report those numbers
to us as part of their drug listing
information.
We considered assigning the NDC
number as part of the drug listing
process, but believe that allowing for
earlier assignment would provide
optimal flexibility for manufacturers,
repackers, and relabelers. We note that
the information submitted to have an
NDC number assigned is a subset of the
information submitted to list a drug.
Therefore, if a manufacturer, repacker,
or relabeler provides us the information
early to get an NDC number, they will
only need to provide the additional
information needed when they later list
the drug.
c. Proposed § 207.37—What
restrictions pertain to the use of NDC
numbers? Proposed § 207.37 would
establish four restrictions on the use of
NDC numbers insofar as FDA-regulated
products or activities are concerned.
The proposed restrictions reflect
practical problems or difficulties that
we have encountered when
manufacturers, repackers, or relabelers
assign their own NDC numbers.
Proposed § 207.37(a) would state that
an NDC number must not be used to
represent a different drug than the drug
to which it was assigned. This
restriction would prevent
manufacturers, for example, from using
the same NDC number for different
drugs and thus prevent potential
discrepancies among databases that rely
on or use NDC numbers to distinguish
between drugs. The restriction would
prevent two different drugs from having
the same NDC number and avoid
medication errors that could result if the
NDC number encoded in a bar code
represented more than one drug. Use of
an NDC number not assigned to a drug
would also cause a drug to be
misbranded under section 502(a) of the

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act because the drug’s label would be
misleading.
Proposed § 207.37(b) would state that
a different NDC number must not be
used if marketing is resumed for a drug
that was discontinued earlier. If
marketing is resumed for a drug, and no
changes have been made to the drug that
would require a new NDC number
under § 207.33(f), the drug must have
the same NDC number that was assigned
to it earlier before marketing was
discontinued. This would prevent two
NDC numbers from being assigned to or
used for the same drug. Consistent with
this rationale, proposed § 207.37(b)
would revoke current § 207.35(b)(4)(ii),
which states that the product code of a
discontinued product may be reassigned
to another product 5 years after the
expiration date of the discontinued
product or, if there is no expiration date,
5 years after the last shipment of the
discontinued product into commercial
distribution.
Proposed § 207.37(c) would state that
NDC numbers must not be used to
denote FDA approval. This is similar to
current § 207.39, which states, in part,
that assignment of an NDC number does
not in any way denote approval of a
product. For drugs subject to sections
505 or 512 of the act, those drugs must
be shown to be safe and effective for
their intended uses to obtain FDA
approval. Mere assignment of an NDC
number by us is not equivalent to our
determining whether a drug is safe and
effective for its intended uses.
Proposed § 207.37(d) would state that
NDC numbers must not be used on
products that are not subject to the drug
listing requirements of part 207, such as
dietary supplements and medical
devices. We are proposing this
requirement because the fundamental
purpose behind NDC numbers was to
establish an identification system to
help in the automated processing of
drug data and claims. Use of NDC
numbers on non-drug products could
introduce misleading information in
databases, lead to inappropriate claims
processing, and undermine the accuracy
and reliability of an NDC system. For
example, some human dietary
supplements bear an NDC number on
their labels. FDA considers a human
dietary supplement that bears an NDC
number misbranded under 21 U.S.C.
343(a)(1), which provides that a food is
misbranded if its labeling is false or
misleading in any particular. A product
labeled and marketed as a human
dietary supplement is not a drug listed
with FDA; thus, the presence of an NDC
number on the label is a false
representation about the nature of the
product.

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d. Proposed §§ 610.60(a)(2) and
610.61(b)—Where would the NDC
number be required for biological
products? Under proposed § 201.2(a), all
drugs, including human biological
drugs, subject to the drug listing
requirements of part 207 must have
labels that bear the appropriate NDC
number in human-readable form, in
accordance with the provisions in
proposed § 201.2. Current § 610.60(a)
(21 CFR 610.60(a)) specifies which
items must appear on the label affixed
to each container of a biological product
capable of bearing a full label and
current § 610.61 specifies which items
must appear on the label affixed to each
package containing a biological product.
We are proposing to amend
§§ 610.60(a)(2) and 610.61(b) (21 CFR
610.60(b)) to require that the NDC
number appear, in accordance with
proposed part 207, on these biological
product labels. Many individuals and
companies use NDC numbers and they
may not have the technology or ability
to read an automatic identification
technology such as a bar code that is
required under current § 207.25 or
§ 610.67. In addition, a human-readable
NDC number may serve as a ‘‘backup’’
in case the bar code is damaged, cannot
be read, or is otherwise illegible.
4. How Do We Intend to Implement the
NDC Number Changes?
a. When would we expect compliance
with the NDC number requirements? We
are proposing that our electronic drug
registration and listing system be used
to enter and update all NDC number
information, as well as all registration
and listing information, no later than 9
months after the effective date of a final
rule. If a drug already has an NDC
number at the time of the effective date
of a final rule, the drug would retain
that NDC number provided that the
manufacturer, repacker, or relabeler,
within 9 months after the effective date
of a final rule, reviews and updates, in
accordance with proposed §§ 201.2,
207.33, 207.37, 610.60, and 610.61, the
information in our database for the NDC
number. To retain the NDC number,
new information about the drug’s
characteristics may need to be provided
to us. We will, if necessary, assign a
new product code and/or package code,
creating a new NDC number for the
drug. If a manufacturer, repacker, or
relabeler does not review or update its
information within 9 months after a
final rule’s effective date, we may assign
a new NDC number to the drug or take
other appropriate steps.
As discussed in section IV.E.6 of this
document, we intend to make available
guidance on how to provide to us in

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electronic format information required
to receive an NDC number, as well as
registration and listing information. We
can assist manufacturers, repackers, and
relabelers in determining whether their
NDC numbers are accurate and address
any problems with existing NDC
numbers (such as duplicate or
potentially duplicate NDC numbers).
We are available to work with
manufacturers, repackers, and relabelers
to resolve issues that might arise after a
final rule becomes effective. Information
on how to contact us for assistance will
be specified in the guidance.
b. When would we expect NDC
numbers to appear on drug labels?
Although current regulations do not
require NDC numbers on drug labels
(other than NDC numbers encoded in a
bar code, where such bar codes are
required under current § 201.25), almost
all human and animal prescription
drugs already have NDC numbers on
their labels because government
agencies and third-party payers rely on
NDC numbers for reimbursement and
other purposes. Thus, when we issue a
final rule requiring NDC numbers to
appear on drug labels, such a
requirement should have little impact
on human and animal prescription drug
labels.
We intend to phase-in the
requirements for NDC number
placement and appearance on human
and animal prescription drug labels over
a 3-year period, starting from the
effective date of a final rule. This
implementation scheme should lessen
the impact on prescription drug labels
(which might stem from changing the
NDC number on the label or adding an
NDC number, for example, for unit-ofuse blisters).
As for human and animal OTC drugs,
we estimate that approximately 30
percent of these drug labels currently
have NDC numbers. (We discuss this
issue further in section VI of this
document.) We intend to phase-in the
requirements for NDC number
placement and appearance on OTC drug
labels over a 7-year period, starting from
the effective date of a final rule.
We are considering shortening the
compliance dates by which the
appropriate NDC number must appear
on drug labels to 2 years after the
effective date of a final rule for
prescription drugs and 5 years after the
effective date of a final rule for OTC
drugs. We discuss this issue further in
section VI of this document. We invite
comment on whether a shorter
implementation period would be
preferable.
These implementation periods would
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relabelers to incorporate the appropriate
NDC number at minimal additional cost
when redesigning their labels in the
course of the normal relabeling cycle.
We should note, however, that
manufacturers, repackers, relabelers,
and private label distributors who are
subject to the bar code requirements at
current § 201.25 might find it easier to
put human-readable NDC numbers on
their labels when they revise those
labels to accommodate the bar code. We
remind readers that the bar code
requirement became effective on April
26, 2004, and the compliance dates
varied depending on when we approved
a drug relative to the April 26, 2004,
date. For example, for drugs approved
on or after April 26, 2004, we expected
compliance within 60 days of the drug’s
approval date. For drugs approved
before April 26, 2004, we expect
compliance within 2 years. So, for
example, a manufacturer whose
prescription drug is subject to the bar
code requirement might find it easier to
redesign its label once to add a humanreadable NDC number and a bar code,
rather than redesign its label twice.
We invite comments on the
implementation scheme described here.
D. Listing
1. Who Would Be Required To List
Drugs?
Proposed § 207.41(a) would require
manufacturers, repackers, relabelers,
and drug product salvagers who are
subject to the registration requirements
under proposed § 207.17 (and not
exempt under proposed § 207.13) to list
drugs being manufactured, repacked,
relabeled, or salvaged by them for
commercial distribution. Proposed
§ 207.41(a) is consistent with current
§ 207.20(a), which states that owners or
operators of all drug establishments, not
exempt under section 510(g) of the act
or current § 207.10, that engage in the
manufacture, preparation, propagation,
compounding, or processing of a drug
submit a list of every drug in
commercial distribution. Section
510(j)(1) of the act requires, among other
things, that every person who registers
with the Secretary must list drugs that
are being manufactured, prepared,
propagated, compounded, or processed
for commercial distribution.
Under current § 207.20(a), such drugs
must be listed whether or not they enter
interstate commerce. This is consistent
with Congress’s intention for section
510 of the act to apply to drugs both in
interstate and intrastate commerce as
stated in section 301 of Public Law 82–
781, in part, as follows: ‘‘[T]he products
of all [establishments in which drugs are

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manufactured, prepared, propagated,
compounded, or processed] are likely to
enter the channels of interstate
commerce and directly affect such
commerce; and * * * the regulation of
interstate commerce in drugs without
provision for registration and inspection
of establishments that may be engaged
only in intrastate commerce in such
drugs would discriminate against and
depress interstate commerce in such
drugs, and adversely burden, obstruct,
and affect such interstate commerce.’’
Proposed § 207.41(a) also provides
that when operations are conducted at
more than one establishment and there
exists joint ownership and control
among all the establishments, listing
information may be submitted by the
parent, subsidiary, and/or affiliate
company for drugs at all establishments.
This provision would also apply when
operations are conducted at both
domestic and foreign establishments
and there exists joint ownership and
control among all the establishments.
This provision is consistent with
current § 207.20(a).
Under proposed § 207.41(a), drug
product salvagers would be required to
list. As discussed in sections IV.A.5 and
IV.B.1 of this document, and consistent
with current § 207.20(a), drug product
salvagers would continue to be required
to register because their activities
include applying manufacturing
controls to drug products and
segregating drug products. This activity
would be covered under the scope of
manufacturing, preparing, propagating,
compounding, or processing, and would
trigger the requirement to register under
the act. Because drug product salvagers
are conducting one of these activities
with respect to a given drug for the
purpose of commercial distribution, this
activity would also trigger the
requirement to list under the act
(section 510(j)(1) of the act). (Drug
product salvagers sometimes repack/
relabel drug products and would also
have to register because of those
activities.) Under current § 207.20(a),
drug product salvagers are not required
to list. Because drug product salvagers
place the salvaged drug in commercial
distribution, we are proposing to require
that drug product salvagers submit
listing information to us. We
specifically invite comments on the
scope of activities of drug product
salvagers, that is, whether drug product
salvagers salvage drug products for
commercial distribution and whether
these activities should trigger listing
under the act.
Under proposed § 207.41(b),
manufacturers, repackers, relabelers,
and drug product salvagers who engage

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in more than one activity for drugs
would list each drug in accordance with
the requirements for the activity
engaged in for that drug. An example of
a company that engages in more than
one activity for drugs would be a
company that manufactures Drug X and
relabels Drug Y. The company would
provide the listing information
described in proposed § 207.49 for Drug
X and the listing information described
in proposed § 207.53 for Drug Y. We are
proposing this requirement to clarify
which listing information would be
provided by manufacturers, repackers,
relabelers, and drug product salvagers
who engage in more than one activity
for drugs. As discussed below,
manufacturers, repackers and relabelers,
and drug product salvagers would
provide similar listing information to us
(although some information would be
provided by reference).
Under proposed § 207.41(c),
manufacturers, repackers, relabelers,
and drug product salvagers would, in
addition to listing their own drugs,
provide all listing information to us for
drugs they manufacture, repack, relabel,
or salvage for private label distributors.
In general, private label distributors
would not list drugs with us. However,
private label distributors would be
required to list a drug with us if they
manufacture, repack, relabel, or salvage
the drug for commercial distribution.
Proposed § 207.41(c) would revise
current § 207.20(b), which states that
owners or operators of establishments,
not otherwise required to register, that
distribute under their own label or trade
name a drug manufactured or processed
(as defined in current § 207.3(a)(8)) by a
registered establishment may elect to
submit listing information directly to us
and obtain a labeler code. Under current
part 207, if a private label distributor
does not elect to submit drug listing
information to us, the registered
establishment must submit the drug
listing information. Currently, private
label distributors that elect to submit
listing information must include the
registration number of the establishment
that manufactured or processed (as
defined in current § 207.3(a)(8)) each
drug listed and must assume full
responsibility for compliance with all
the requirements of part 207. Private
label distributors must currently certify
to the registered establishment that the
submission has been made by providing
a signed copy of Form FDA 2656 to the
registered establishment. Private label
distributors must submit to us the
original Form FDA 2656 showing this
certification. A list showing the NDC

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number assigned to each drug must
accompany the certification.
We are proposing to alter the
arrangement permitted under current
§ 207.20(b). Although we recognize that
this proposed shift in responsibility may
alter current business practices, we
believe that proposed § 207.41(c) will
help to ensure that listing information is
more accurate and complete. The
current scheme has caused confusion
and resulted in inaccurate and
incomplete listing information. Some
private label distributors that have
elected to list their drugs have not had
access to all the information needed to
list the drugs accurately. Some private
label distributors have claimed that
manufacturers, repackers, and relabelers
have been reluctant to provide certain
information to them. In addition, in
some instances, the parties have been
uncertain about who is responsible for
listing.
As discussed in section IV.B.1 of this
document and previously,
manufacturers, repackers, relabelers,
and drug product salvagers would be
required to register and list the drugs
they manufacture, repack, relabel, or
salvage. They would be required to do
so even if they conduct such activities
on behalf of private label distributors.
This proposed requirement would be
consistent with section 510(j)(1) of the
act which requires every person who
registers to submit listing information
for drugs ‘‘which are being
manufactured, prepared, propagated,
compounded, or processed by him for
commercial distribution’’ (emphasis
added). In addition, private label
distributors would not be required (nor
permitted) to register because their
activities are not covered under the
scope of manufacturing, preparing,
propagating, compounding, or
processing. Nor do private label
distributors conduct one of these
activities with respect to a given drug
for the purpose of commercial
distribution and, thus, would not be
required (nor permitted) to list. Private
label distributors only commercially
distribute drugs under their own label
or trade name. Manufacturers,
repackers, relabelers, and drug product
salvagers often manufacture, repack,
relabel, or salvage drugs that are
distributed by a private label distributor,
and they have all the information about
the drug that is necessary to list the drug
distributed by the private label
distributor. Under the proposal, to list a
drug that is manufactured, repacked,
relabeled, or salvaged for a private label
distributor, manufacturers, repackers,
relabelers, and drug product salvagers
would have to obtain any existing NDC

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number from the private label
distributor or would have to obtain the
NDC number from FDA for a drug
distributed by a private label distributor.
Manufacturers, repackers, relabelers,
and drug product salvagers would have
to place the NDC number assigned to
the private label distributor’s drug on
the label. We specifically invite
comments on this proposed change in
the listing responsibilities of
manufacturers, repackers, relabelers,
drug product salvagers, and private
label distributors and its potential effect
on business practices.
2. When Would Initial Listing
Information Be Provided?
Under proposed § 207.45,
manufacturers, repackers, relabelers,
and drug product salvagers would list,
at the time of initial registration of an
establishment, any drug being
manufactured, repacked, relabeled, or
salvaged for commercial distribution at
that establishment. This provision is
consistent with section 510(j)(1) of the
act, which requires, among other things,
that every person who registers with the
Secretary under sections 510(b), (c), (d),
or (i) of the act must list drugs that are
being manufactured, prepared,
propagated, compounded, or processed
for commercial distribution. Proposed
§ 207.45 pertains to the submission of
listing information for drugs at the time
of the initial registration of an
establishment. Reviewing and updating
information for drugs already listed and
providing listing information for drugs
not previously listed are covered under
proposed § 207.57. Proposed § 207.57 is
discussed in section IV.D.8 of this
document.
3. What Listing Information Would Be
Required?
To list a drug, manufacturers would
be required to provide the information
in proposed § 207.49, repackers and
relabelers would be required to provide
the information in proposed § 207.53,
and drug product salvagers who are not
repackers or relabelers would be
required to provide the information in
proposed § 207.54. We are proposing
different listing requirements for
manufacturers, repackers and relabelers,
and drug product salvagers because
much of the information about a drug is
submitted to us by the manufacturer to
obtain an NDC number and to list the
drug. When the repacker, relabeler, and
drug product salvager provide, during
listing, the required NDC number for the
drug, we can incorporate by reference
the information already submitted about
the drug by the manufacturer. The
information required to obtain an NDC

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number is explained in section IV.C of
this document, and the requirements for
providing the NDC number during
listing are explained in section IV.D.4.a
of this document.
The following paragraphs summarize
the information that would be required
for listing from manufacturers,
repackers, relabelers, and drug product
salvagers. These summaries are
followed by descriptions of each of the
listing requirements (see section IV.D.4
of this document).
a. Summary of proposed listing
information for manufacturers.
Manufacturers would be required to
submit to us the following listing
information (if applicable to the drug
being listed) under proposed § 207.49:
• NDC number;
• Route of administration;
• Approved U.S. application number
or approved U.S. BLA number, if any;
• Registration number of each
establishment where the manufacturing
is performed for the drug;
• Schedule of the drug under section
202 of the Controlled Substances Act
(21 U.S.C. 812);
• With respect to foreign
establishments only, the name and
contact information of each importer of
the drug and of each person who
imports or offers for import the drug;
• Labeling;
• Advertisements; and
• Information about the private label
distributor, if any.
b. Summary of proposed listing
information for repackers and
relabelers. Repackers and relabelers
would be required to submit to us the
following listing information (if
applicable to the drug being listed)
under proposed § 207.53:
• NDC number;
• Registration number of each
establishment where the repacking or
relabeling is performed for the drug;
• With respect to foreign
establishments only, the name and
contact information of each importer of
the drug and of each person who
imports or offers for import the drug;
• Labeling;
• Advertisements; and
• Information about the private label
distributor, if any.
c. Summary of proposed listing
information for drug product salvagers
who are not repackers or relabelers.
Drug product salvagers who do not
otherwise repack or relabel the drugs
they salvage would be required to
submit to us the following listing
information (if applicable to the drug
being listed) under proposed § 207.54:
• NDC number assigned to the drug
immediately before the drug is received
by the drug product salvager;

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• Lot number and expiration date of
the salvaged drug;
• Registration number of each
establishment where the drug product
salvager salvages the drug;
• With respect to foreign
establishments only, the name and
contact information of each importer
and of each person who imports or
offers for import the drug; and
• Information about the private label
distributor, if any.
4. What Listing Information Would Be
Required for Manufacturers?
Under proposed § 207.49,
manufacturers would be required to
provide to us the following listing
information for each drug they list,
including a drug manufactured for a
private label distributor.
a. NDC number. For a drug to be
considered listed, manufacturers and, as
discussed below, repackers, relabelers,
and drug product salvagers, must
submit the NDC number for the drug as
part of the drug’s listing information.7
The NDC number, including the
information that would be submitted to
us to obtain an NDC number, is
explained under proposed § 207.33.
Knowing the NDC number of the drug
would enable us to incorporate by
reference information about the drug
submitted by the manufacturer,
repacker, or relabeler to obtain an NDC
number under proposed § 207.33(c) and
(d), as well as information submitted by
the manufacturer, repacker, or relabeler
to list the drug. This would reduce the
amount of information that must be
provided to us by manufacturers,
repackers, relabelers, and drug product
salvagers for listing. Current
§ 207.25(b)(8) requires the submission of
the NDC number for each drug listed,
and this information is currently
submitted on Form FDA 2657.
b. Route of administration. The route
of administration would enable us to
identify a specific formulation of a drug.
For example, drugs having the same
active ingredient may have different
routes of administration. The route of
administration is currently submitted on
Form FDA 2657.
c. Approved U.S. application number.
The approved U.S. application number
or the approved U.S. BLA number,8 if
7The drug product salvager (that does not repack
or relabel) would submit the NDC number assigned
to the drug immediately before the drug is received
by the drug product salvager; the manufacturer,
repacker, and relabeler (and the drug product
salvager that repacks or relabels) would submit the
NDC number assigned to their drug under proposed
§ 207.33(c) and (d).
8Human drugs are approved by FDA under an
NDA, ANDA, or a BLA. Part 314 (21 CFR part 314)

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any, would enable us to link to the
information about the drug that was
already submitted to us for marketing
approval. Section 510(j)(1)(A) of the act
requires the submission of a reference to
the authority for marketing a drug
subject to section 505 or 512 of the act.
In addition, current § 207.25(b)(2)
requires the submission of the
application number for each drug listed
that the registrant regards as subject to
section 505 or 512 of the act. The drug’s
application number is currently
submitted on Form FDA 2657. As
discussed in section IV.D.4.g of this
document, if the approved U.S.
application number is provided to us
when a human prescription or OTC
drug is listed, the manufacturer would
not be required to re-submit the labeling
for the approved drug. The application
number would incorporate by reference
the labeling for approved drugs. This
would eliminate unnecessary
duplication of effort and cost to
industry. The application number may
have already been provided under
§ 207.33(c)(2)(i) and (c)(2)(ii) instead of
providing the names of the active
pharmaceutical ingredient and the
inactive ingredient. If so, it will already
be in our database and would not need
to be resubmitted.
d. Registration number of each
establishment. The registration number
of each establishment where the
manufacturing is performed for the drug
would enable us to identify the
establishment where the drug is
manufactured. This would help our
investigators better prepare for
inspections and collect postmarketing
surveillance samples. Although this
information would already be submitted
for registration under proposed
§ 207.25(e), submitting it at listing
would enable us to link this information
to the drug being listed. Current
§ 207.25(b)(7) requires, for each drug
listed, the submission of the registration
number of each drug establishment at
which the drug is manufactured or
processed (within the meaning of
current § 207.3(a)(8)). Current
§ 207.25(b)(3) requires the submission of
the license number of the manufacturer
of drugs subject to section 351 of the
PHS Act. The ‘‘establishment
registration number’’ is defined in
proposed § 207.1 to mean the number
assigned by FDA to the establishment
during the establishment registration
process. Currently, we plan to assign the
FEI number as the establishment
registration number. In the future,
however, we may use a different
for human drugs and part 601 (21 CFR part 601) for
biologics set forth the approval requirements.

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number as the establishment registration
number. The establishment registration
number is currently submitted on Form
FDA 2657.
e. Schedule of the drug. The schedule
of the drug under section 202 of the
Controlled Substances Act would enable
us to provide yearly estimates of
medical, scientific, and reserve stock
needs for Schedule I and II substances
(21 CFR part 1303, 21 U.S.C. 826).
Under section 302(a) of the PHS Act (42
U.S.C. 242(a)), the Secretary is
responsible for providing to the Drug
Enforcement Administration estimates
of the quantities of controlled
substances for which production quotas
must be established that will be
required to meet the legitimate medical,
scientific, and reserve stock needs of the
United States for the following calendar
year. The schedule of the drug is
currently submitted on Form FDA 2657.
f. Information about each importer of
the drug and each person who imports
or offers for import the drug to the
United States. Foreign establishments
only must provide the name, address,
telephone and fax numbers, and e-mail
address of each importer of such drug in
the United States that is known to the
establishment, and of each person who
imports or offers for import such drug
to the United States. As discussed under
section IV.B.3 of this document, the
term ‘‘known to’’ would mean any
importer that is known to the foreign
establishment as well as any importer
that the foreign establishment has
reason to know of. We therefore expect
that the person responsible for
completing the required registration
forms on behalf of the foreign
establishment would undertake
appropriate due diligence in completing
those forms, including to find out and
report importers that others in his or her
establishment know of or have reason to
know of. Foreign establishments would
provide this information for listing
unless previously provided under
proposed § 207.25(h) for registration.
The Bioterrorism Act requires foreign
establishments to submit, among other
things, the name of each importer of
each drug that is known to the
establishment, and the name of each
person who imports or offers for import
each drug to the United States for
purposes of importation. The
Bioterrorism Act requires submission of
such information as part of registration
information and also specifically
requires listing information to be
submitted for each drug being
manufactured for commercial
distribution (see section IV.A.4.d of this
document). We are proposing, under
this part, to make the submission of

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information concerning importers of
drugs and persons who import or offer
for import drugs to the United States
both a registration and a listing
requirement. However, if the
information has been previously
provided by the foreign establishment at
registration, the foreign establishment
would not be required to re-enter that
information into the database at listing.
Our listing database will be populated
automatically with the required
information. This would reduce the
amount of information that must be
provided to us by the foreign
establishment at listing. The
information about each importer of the
establishment’s drug that is known to
the establishment and each person who
imports or offers for import the drug to
the United States is not currently
required to be submitted under current
part 207 or on Form FDA 2656 or Form
FDA 2657.
g. Labeling. Under proposed
§ 207.49(g), the following labeling
would be provided to us for each drug
listed:
• Human prescription drugs. If the
manufacturer has not provided the
drug’s approved U.S. application
number as part of the listing information
under proposed § 207.49(c), the
manufacturer would submit a copy of
all current labeling, including the
content of labeling, for each human
prescription drug (proposed
§ 207.49(g)(1)).
Under proposed § 207.49(g)(1) and, as
discussed below under proposed
§§ 207.49(g)(2) and 207.49(g)(3), only
one representative container or carton
label would be submitted where
differences exist only in the quantity of
contents statement or the bar code. This
proposed provision is consistent with
current § 207.25(b)(2), although the
proposal would add differences in the
bar code to the provision. This
provision would reduce the number of
labels that must be submitted to us by
the manufacturer.
If the manufacturer provides the
drug’s approved U.S. application
number as part of the drug’s listing
information, the labeling required under
proposed § 207.49(g)(1) and, as
discussed below under proposed
§ 207.49(g)(2), would be deemed to
accompany the listing information.
Incorporating the labeling, including the
content of labeling, by reference to the
application number would eliminate
unnecessary duplication of effort and
cost to industry. This proposed
exception would not apply to animal
drugs approved under section 512 of the
act because currently these application
holders are not required to provide the

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51309

content of labeling electronically with
the application for those drugs.
The ‘‘content of labeling’’ would be
provided to FDA under proposed
§ 207.49(g)(1) and, as discussed below,
under proposed § 207.49(g)(2) and (g)(3).
The ‘‘content of labeling’’ is defined in
proposed § 207.1 and discussed in
sections IV.A.5 and IV.E.4 of this
document and would mean, for human
prescription drugs that the manufacturer
regards as subject to section 505 of the
act or section 351 of the PHS Act, the
content of the prescription drug
labeling, including all text, tables, and
figures. For human prescription drugs
that the manufacturer regards as not
subject to section 505 of the act or
section 351 of the PHS Act, the ‘‘content
of labeling’’ would mean the labeling
equivalent to the content of the
prescription drug labeling, including all
text, tables, and figures. For human OTC
drugs, the ‘‘content of labeling’’ would
mean the content of the drug facts
labeling required by § 201.66, including
all text, tables, and figures. For animal
drugs, the ‘‘content of labeling’’ would
mean the content of the labeling that
accompanies the drug that is necessary
to enable the safe and proper
administration of the drug, including all
text, tables, and figures.
The labeling submission requirements
in proposed § 207.49(g) are almost
identical in substance to the labeling
submission requirements of current
§ 207.25(b)(2) through (b)(5), except that
manufacturers would also be required,
as discussed previously, to submit
electronically the ‘‘content of labeling.’’
In addition, the labeling submission
requirements in proposed § 207.49(g)
conform to the statutory requirements of
section 510(j) of the act. The proposed
requirement to submit labeling,
including the content of labeling, for
human prescription drugs and, as
discussed below, for human OTC drugs
and animal drugs, whether or not the
drugs are subject to the pre-approval
provisions of the act or the PHS Act, is
consistent with the statutory
requirements of section 510(j)(1)(A),
510(j)(1)(B)(i), and 510(j)(1)(B)(ii) of the
act. Section 510(j)(1)(A) of the act
requires, among other things, the
submission of a copy of all labeling for
drugs subject to section 505 or 512 of
the act. Section 510(j)(1)(B)(i) requires,
among other things, the submission of a
copy of all labeling for prescription
drugs not subject to section 505 or 512
of the act, and section 510(j)(1)(B)(ii)
requires, among other things, the
submission of the label, package insert,
and representative sampling of any
other labeling for OTC drugs not subject
to section 505 or 512 of the act. We also

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have the authority to require that
labeling be submitted in this format
under other sections of the act (e.g.,
sections 201, 301, 501, 502, 503, 505,
506, 506A, 506B, 506C, 513–516, 518–
520, 701, 704, 721, 801 of the act) and
the PHS Act.
• Human OTC drugs that
manufacturers regard as subject to
section 505 of the act or section 351 of
the PHS Act. If the manufacturer has not
provided the drug’s approved U.S.
application number as part of the listing
information under proposed § 207.49(c),
the manufacturer would submit a copy
of all current labeling, including the
content of labeling, for each human OTC
drug that the manufacturer regards as
subject to section 505 of the act or
section 351 of the PHS Act (proposed
§ 207.49(g)(2)(i)).
Drugs subject to section 505 of the act
or section 351 of the PHS Act must be
approved by FDA under an NDA,
ANDA, or a BLA. Part 314 for human
drugs and part 601 for biological
products set forth the approval
requirements.
• Human OTC drugs that
manufacturers regard as not subject to
section 505 of the act or section 351 of
the PHS Act. The manufacturer would
submit a copy of the current label, the
content of labeling, the package insert (if
any), and a representative sampling of
any other labeling for each human OTC
drug that the manufacturer regards as
not subject to section 505 of the act or
section 351 of the PHS Act (proposed
§ 207.49(g)(2)(ii)).
The term ‘‘label’’ means the container
label as defined at section 201(k) of the
act. ‘‘Content of labeling’’ is defined at
proposed § 207.1 (as discussed in
section IV.A.5 of this document) and for
OTC drugs refers to the content of the
drug facts labeling as specified at
§ 201.66. Most OTC drugs do not have
a package insert. However, for those that
do, it is currently required to be
submitted for drug listing under section
510(j)(1)(A) and (j)(1)(B)(ii) of the act
and current § 207.25(b)(4) and (b)(5). We
are proposing to retain that requirement
in proposed § 207.49(g)(2)(i) and
(g)(2)(ii). For OTC drugs marketed
pursuant to an approved application,
any package insert would be included
within the requirement to submit ‘‘all
current labeling.’’ The term
‘‘representative sampling of any other
labeling,’’ as used in proposed
§ 207.49(g)(2)(ii) and, as discussed
below, in proposed § 207.49(g)(3)(ii), is
defined in proposed § 207.1 and
discussed in section IV.A.5 of this
document. Examples of OTC drugs that
a manufacturer may regard as not
subject to section 505 of the act or

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section 351 of the PHS Act would
include human OTC drugs marketed
under an OTC monograph and deemed
generally recognized as safe and
effective (see part 330 (21 CFR part
330)).
• Animal drugs that manufacturers
regard as subject to section 512 of the
act. The manufacturer would submit a
copy of all current labeling, including
the content of labeling, for each animal
drug that the manufacturer regards as
subject to section 512 of the act
(proposed § 207.49(g)(3)(i)).
• Animal drugs that manufacturers
regard as not subject to section 512 of
the act. For all other animal drugs, the
manufacturer would submit a copy of
the current label, the package insert, the
content of labeling, and a representative
sampling of any other labeling, for each
animal drug that the manufacturer
regards as not subject to section 512 of
the act (proposed § 207.49(g)(3)(ii)).
h. Advertisements. Under proposed
§ 207.49(h), and in accordance with
section 505(j)(1)(B)(i) of the act, the
following advertisements would be
provided by the manufacturer for each
drug listed:
• A representative sampling of
advertisements for human prescription
drugs that the manufacturer regards as
not subject to section 505 of the act or
section 351 of the PHS Act. Proposed
§ 207.49(h)(1) is consistent with section
510(j)(1)(B)(i) of the act and current
§ 207.25(b)(4). The term ‘‘representative
sampling of advertisements’’ is defined
in proposed § 207.1 and discussed in
section IV.A.5 of this document.
• If we request it, for good cause, a
copy of all advertisements for human
prescription drugs that the manufacturer
regards as not subject to section 505 of
the act or section 351 of the PHS Act,
including those advertisements
described in § 202.1(l)(1), would be
required to be submitted to FDA within
30 calendar days after our request.
Proposed § 207.49(h)(2) is consistent
with section 510(j)(1)(B)(i) of the act and
current § 207.31(a)(1). Section
510(j)(1)(B)(i) of the act requires, among
other things, the submission of a
representative sampling of
advertisements and, upon request for
good cause, a copy of all advertisements
for prescription drugs not subject to
section 505 of the act. Current
§ 207.31(a)(1) requires, upon request,
the submission of a copy of all
advertisements for prescription drugs
that the manufacturer regards as not
subject to section 505 of the act.
i. Private label distributor. If the drug
is manufactured for a private label
distributor, the manufacturer would
submit the name, address, labeler code,

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telephone and fax numbers, and e-mail
address of the private label distributor.
The manufacturer may obtain this
information from the private label
distributor or other sources. This
information would indicate whose drug
(the manufacturer’s or the private label
distributor’s) is being listed and would
identify and enable us, if needed, to
contact the private label distributor. The
information for a private label
distributor is currently submitted on
Form FDA 2658.
5. What Listing Information Would Be
Required for Repackers and Relabelers?
Under proposed § 207.53, repackers
and relabelers would be required to
provide to us all of the following listing
information for each drug they list,
including a drug repacked or relabeled
for a private label distributor.
a. NDC number. For a drug to be
considered listed, repackers and
relabelers would submit the NDC
number for the drug being repacked or
relabeled as part of the drug’s listing
information. This requirement is
explained in section IV.D.4.a of this
document.
b. Registration number of each
establishment. The registration number
of each establishment where the
repacking or relabeling is performed for
the drug would enable us to identify the
establishment where the drug is
repacked or relabeled. This requirement
is explained in section IV.D.4.d of this
document.
c. Information about each importer of
the drug and each person who imports,
or offers for import, the drug to the
United States. This requirement is
explained in section IV.D.4.f of this
document.
d. Labeling. Under proposed
§ 207.53(d), the following labeling must
be provided for each drug listed:
• Human prescription drugs. If the
repacker or relabeler makes any change
in the labeling of the drug repacked or
relabeled, the repacker or relabeler
would submit a copy of all changed
labeling for each human prescription
drug that is repacked or relabeled
(proposed § 207.53(d)(1)). We would
already have, as required under
proposed § 207.49(g), the labeling for
the drug provided by the manufacturer
during listing, and the repacker or
relabeler would not need to resubmit it
to us unless they make changes to the
labeling. Proposed § 207.53(d)(1) is
consistent with section 510(j)(1)(A) and
(j)(1)(B)(i) of the act and current
§ 207.25(b)(2) and (b)(4), except that
repackers and relabelers would not need
to resubmit labeling when no changes
have been made.

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• Human OTC drugs that
manufacturers regard as subject to
section 505 of the act or section 351 of
the PHS Act. If the repacker or relabeler
makes any changes, in accordance with
the act and FDA regulations, in the
labeling of the drug repacked or
relabeled, the repacker or relabeler
would submit a copy of all changed
labeling for each human OTC drug that
the manufacturer of the drug regards as
subject to section 505 of the act or
section 351 of the PHS Act (proposed
§ 207.53(d)(2)(i)). As stated previously,
we would not need a copy of the
unchanged labeling because we would
already have the labeling for the drug
provided by the manufacturer during
listing. Proposed § 207.53(d)(2)(i) is
consistent with section 510(j)(1)(B)(i) of
the act and current § 207.25(b)(2),
except that some of the information
required under current § 207.25(b)(2)
would not need to be provided by the
repacker or relabeler under proposed
§ 207.53(d)(2)(i) if the repacker or
relabeler provides the manufacturer’s
NDC number. The NDC number would
provide a link to that information.
• Human OTC drugs that
manufacturers regard as not subject to
section 505 of the act or section 351 of
the PHS Act. The repacker or relabeler
would submit a copy of the current
label, a copy of any changes made to the
package insert, if there is one, and a
representative sampling of any other
labeling for each human OTC drug that
the manufacturer of the drug regards as
not subject to section 505 of the act or
section 351 of the PHS Act (proposed
§ 207.53(d)(2)(ii)). The term
‘‘representative sampling of any other
labeling,’’ as used in proposed
§ 207.53(d)(2)(ii) and, as discussed
below, in § 207.53(d)(3), is defined in
proposed § 207.1 and discussed in
section IV.A.5 of this document.
Examples of OTC drugs that a
manufacturer may regard as not subject
to section 505 of the act or section 351
of the PHS Act would include human
OTC drugs marketed under an OTC
monograph and deemed generally
recognized as safe and effective (see part
330). Proposed § 207.53(d)(2)(ii) is
consistent with section 510(j)(1)(B)(ii) of
the act and current § 207.25(b)(5),
except redundant information would
not be submitted.
• Animal drugs. The repacker or
relabeler would submit a copy of the
current label, a copy of any changes
made to each animal drug labeling, and
a representative sampling of any other
labeling for each animal drug (proposed
§§ 207.53(d)(3)). Proposed § 207.53(d)(3)
is consistent with section 510(j)(1)(B)(ii)
of the act and current § 207.25(b)(2) and

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(b)(5), except redundant information
would not be submitted.
e. Advertisements. Under proposed
§ 207.53(e), and in accordance with
section 505(j)(1)(B)(i) of the act, the
following advertisements would be
provided by the repacker or relabeler for
each drug listed:
• A representative sampling of
advertisements for human prescription
drugs that the repacker or relabeler
regards as not subject to section 505 of
the act or section 351 of the PHS Act.
Proposed § 207.53(e)(1) is consistent
with section 510(j)(1)(B)(i) of the act and
current § 207.25(b)(4).
• If we request it, for good cause, a
copy of all advertisements for human
prescription drugs that the repacker or
relabeler regards as not subject to
section 505 of the act or section 351 of
the PHS Act, including those
advertisements described in
§ 202.1(l)(1), would be required within
30 calendar days after our request.
Proposed § 207.53(e)(2) is consistent
with section 510(j)(1)(B)(i) of the act and
current § 207.31(a)(1).
f. Private label distributor. If the drug
is repacked or relabeled for a private
label distributor, the repacker or
relabeler would submit the name,
address, labeler code, telephone and fax
numbers, and e-mail address of the
private label distributor. The repacker or
relabeler may obtain this information
from the private label distributor or
other sources. This information would
indicate whose drug (the repacker’s,
relabeler’s, or private label distributor’s)
is being listed and would identify and
enable us, if needed, to contact the
private label distributor. The
information for a private label
distributor is currently submitted on
Form FDA 2658.
6. What Listing Information Would Be
Required for Drug Product Salvagers
Who Are Not Repackers or Relabelers?
Drug product salvagers who do not
otherwise repack or relabel the drugs
they salvage would be required to
provide all of the following listing
information to us for each drug they list,
including a drug salvaged for a private
label distributor. Drug product salvagers
who also repack and relabel the drugs
they salvage must list those drugs as a
repacker or relabeler in accordance with
§ 207.53.
a. NDC number. For a drug to be
considered listed, the drug product
salvager would be required to provide
the NDC number assigned to the drug
immediately before the drug is received
by the drug product salvager. Under the
proposal, we would assign an NDC
number to a manufacturer’s, repacker’s,

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51311

or relabeler’s drug (or to a drug
manufactured, repacked, or relabeled for
a private label distributor) after the
information required under proposed
§ 207.33(c) or (d) is provided (see
discussion in section IV.D.4.a of this
document). The drug product salvager
who is not also a repacker or a relabeler
for the drug would provide to us the
NDC number that is already on the
salvaged drug’s label (that is, the NDC
number of the manufacturer, repacker,
relabeler, or private label distributor).
Knowing the NDC number of the drug
would enable us to incorporate by
reference information about the drug
submitted by the manufacturer,
repacker, or relabeler to obtain an NDC
number under proposed § 207.33(c) and
(d), as well as information submitted by
the manufacturer, repacker, or relabeler
to list the drug.
b. Lot number and expiration date.
We need to know the lot number and
expiration date to properly identify the
drug because the drug product salvager
who is not a repacker or relabeler for the
drug would not be assigned an NDC
number for the drug. The salvaged
drug’s lot number would enable us to
specifically identify the salvaged drug
and determine which batch of a
manufacturer’s drug has been processed
by the drug product salvager. Lot
number (or control number or batch
number) is defined at current
§ 210.3(b)(11) as any distinctive
combination of letters, numbers, or
symbols, or any combination of them,
from which the complete history of the
manufacture, processing, packing,
holding, and distribution of a batch or
lot of drug product or other material can
be determined. Knowing the drug’s
expiration date would indicate
approximately how long the salvaged
drug may be available for use by
consumers. The expiration date would
also allow us to identify the
approximate date that the salvaged drug
would no longer be marketed.
c. Registration number of each
establishment. The registration number
of each establishment where the drug
product salvager salvages the drug
would enable us to connect the
salvaging activity to a particular drug
and identify the specific location where
the drug product salvaging is performed
for the drug. This information would
also be used in conducting our
establishment inspections and for
collecting postmarketing surveillance
samples. Current § 207.25(b)(7) requires,
for each drug listed, the submission of
the registration number of each drug
establishment at which the drug is
manufactured or processed (within the
meaning of current § 207.3(a)(8)), and

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current § 207.25(b)(3) requires the
submission of the license number of the
manufacturer of drugs subject to section
351 of the PHS Act. The establishment
registration number is currently
submitted on Form FDA 2657.
d. Information about each importer of
the drug and each person who imports,
or offers for import, the drug to the
United States. This requirement is
explained under section IV.D.4.f of this
document.
e. Private label distributor. If the drug
is salvaged for a private label
distributor, the drug product salvager
would be required to submit the name,
address, labeler code, telephone and fax
numbers, and e-mail address of the
private label distributor. The drug
product salvager may obtain this
information from the private label
distributor or other sources. This
information would identify the private
label distributor and enable us, if
needed, to contact the private label
distributor. The information for a
private label distributor is currently
submitted on Form FDA 2658.

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7. What Additional Drug Listing
Information May Be Required?
Under proposed § 207.55, if we
request it, the manufacturer, repacker,
relabeler, or drug product salvager
would be required to briefly state the
basis for its belief that a particular drug
product is not subject to section 505 or
512 of the act or section 351 of the PHS
Act. This proposed provision, which is
consistent with section 510(j)(1)(D) of
the act and current § 207.31(a)(3), is
needed because some manufacturers,
repackers, and relabelers have
mistakenly considered a drug not to be
subject to section 505 or 512 of the act
or section 351 of the PHS Act. Although
in some cases manufacturers, repackers,
and relabelers have correctly concluded
that a drug is not subject to section 505
or 512 of the act or section 351 of the
PHS Act, in other cases we may
consider the drug to be subject to
section 505 or 512 despite that
conclusion.
The brief statement that would be
requested under proposed § 207.55 may
include, for example, the Federal
Register citation for the applicable OTC
monograph. We anticipate that our
electronic drug registration and listing
system will provide some options for
brief statements, including Federal
Register citations as described in the
example above, from which
manufacturers, repackers, relabelers,
and drug product salvagers may select
as the basis for their belief that a
particular drug product is not subject to

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section 505 or 512 of the act or section
351 of the PHS Act.
We are also considering whether to
require establishments to provide the
number of batches and batch size for
each drug subject to the listing
requirements that they manufactured,
repacked, or relabeled since the
establishment last provided listing
information. Typically, this information
would be provided every 6 months,
based on the obligation to review and
update listing information in June and
December of each year. We would
consider ‘‘batch size’’ to mean, as a
general matter, the batch size included
in the master production and control
records for each drug, as required by the
regulations governing current good
manufacturing practice for finished
pharmaceuticals in part 211, including
§ 211.186(a) (master production and
control records). Typically, ‘‘batch size’’
would be the number of unit dosage
forms (such as for tablets) or, if the unit
dosage form is not defined before
primary packaging (such as for liquids),
the total batch weight or volume before
primary packaging.
We are considering this requirement
because it would provide us with
important data regarding a product’s
volume in the U.S. marketplace to
assess the potential impact the product
has on the public health, which, in turn,
will enable us to use our limited
resources more efficiently, particularly
with regard to inspectional oversight.
For example, we currently use data
collected as a surrogate for production
volume, among many other factors, in
our risk-based model to prioritize
routine inspections. This model is a
systematic, objective, data-driven
method to prioritize inspections. (See
‘‘Risk-Based Method for Prioritizing
CGMP Inspections of Pharmaceutical
Manufacturing Sites—A Pilot Risk
Ranking Model’’ at http://www.fda.gov/
cder/gmp/gmp2004/
risk_based_method.htm.) However,
better estimates of manufacturing
volume would improve our ability to
implement a more risk-based approach
to manufacturing quality oversight
activities. By requiring establishments
to provide the number of batches and
batch size for each drug subject to the
listing requirements, we would have
objective data regarding production
volume and be better able to find and
address CGMP violations that may have
the most impact on public health.
Actual production data would also give
us the ability to more efficiently allocate
our resources in other areas.
We specifically invite comments on
whether we should require
manufacturers, repackers, relabelers,

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and drug product salvagers to provide
the number of batches and batch size for
each drug subject to the listing
requirements.
8. What Are the Proposed Requirements
for Reviewing and Updating Listing
Information?
Currently, manufacturers, repackers,
and relabelers must enter new or revised
listing information on Form FDA 2657
(Form FDA 2658 is used when
manufacturers, repackers, and relabelers
enter new or revised information for a
private label distributor’s drug) and
return the form to FDA. Under the
proposal, manufacturers, repackers,
relabelers, and drug product salvagers
would access our electronic drug
registration and listing system and
review their current listing information
online, making any changes where
needed. Updating listing information
would be less time consuming under the
proposal because the manufacturer,
repacker, relabeler, and drug product
salvager would be able to easily access
their information at any time, and only
changes to the information already in
the system would need to be entered in
the fields provided.
Under proposed § 207.57,
manufacturers who are required to list
under proposed § 207.41 would review
and update all listing information
provided under proposed §§ 207.49,
207.55, and 207.57; repackers and
relabelers (including drug product
salvagers who repack and/or relabel)
who are required to list under proposed
§ 207.41 would review and update all
listing information provided under
proposed §§ 207.53, 207.55, and 207.57;
and drug product salvagers (who are not
repackers and/or relabelers) who are
required to list under proposed § 207.41
would review and update all listing
information provided under proposed
§§ 207.54, 207.55, and 207.57. Proposed
§ 207.57 uses the term ‘‘review and
update’’ to stress the importance of first
reviewing all listing information to
determine if any changes have occurred
and then updating the information.
Under proposed § 207.57(a), during
the annual review and update of
registration information, manufacturers,
repackers, relabelers, and drug product
salvagers would provide listing
information for any drug that has not
been previously listed. Proposed
§ 207.57(a) is consistent with section
510(j)(1) of the act, which requires,
among other things, that a list of all
drugs must be provided at the time of
annual registration.
Under proposed § 207.57(b),
manufacturers, repackers, relabelers,
and drug product salvagers would

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Federal Register / Vol. 71, No. 167 / Tuesday, August 29, 2006 / Proposed Rules
review and update their listing
information each June and December of
every year. Proposed § 207.57(b) is
consistent with the timeframes set forth
in section 510(j)(2) of the act, which
requires, among other things, that each
person who registers must report certain
listing information ‘‘once during the
month of June of each year and once
during the month of December of each
year.’’ Under current § 207.21(b), an
update of listing information must occur
each June and December.
Under proposed § 207.57(b)(1)
through (b)(5), manufacturers,
repackers, relabelers, and drug product
salvagers would, during the review and
update, submit the following
information:
• Listing information would be
provided for any drug manufactured,
repacked, relabeled, or salvaged for
commercial distribution that has not
been previously listed (proposed
§ 207.57(b)(1)). The information would
be provided in accordance with
proposed §§ 207.49, 207.53, 207.54, and
207.55. This information is currently
required under section 510(j)(2)(A) of
the act and current § 207.30(a)(1).
• The date that the manufacture,
repacking, relabeling, or salvaging for
commercial distribution of a listed drug
has been discontinued would be
provided (proposed § 207.57(b)(2)). The
date of discontinuation is currently
required under section 510(j)(2)(B) of
the act and current § 207.30(a)(2).
Section 510(j)(2)(B) of the act requires
submission of a ‘‘notice of
discontinuance.’’ We are proposing to
also require that the expiration date of
the last lot manufactured, repacked,
relabeled, or salvaged be part of
proposed § 207.57(b)(2). This
information would enable us to know
when a drug is no longer marketed and
approximately how long the
discontinued drug may be available for
use by consumers.
We recognize that because of their
business practices, drug product
salvagers may discontinue commercial
distribution of a listed drug almost
immediately after they salvage the drug.
Drug product salvagers may salvage a
drug, put the drug into commercial
distribution by selling it to a retailer or
other party, and then discontinue
salvaging the drug. In that case, we
intend to minimize the reporting burden
on drug product salvagers by allowing
the drug product salvager to provide
notice of discontinuation of the drug at
the same time the drug product salvager
lists the drug. We would not expect
under proposed § 207.57(b)(2) that the
drug product salvager inform us again,
during the review and update of listing

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information in either June or December
of the year, that the salvaged drug is
discontinued. Under this proposal, we
expect that our electronic drug
registration and listing system would
provide the opportunity for drug
product salvagers to first list a drug, as
required by proposed § 207.54, and then
indicate that they are discontinuing the
drug, as required by proposed
§ 207.57(b)(2). Because the drug product
salvager would have provided the lot
number and expiration date for the drug
under proposed § 207.54(b)(2), we
would not require that same information
be submitted again under proposed
§ 207.57(b)(2).
• The date that the manufacture,
repacking, or relabeling for commercial
distribution of a previously
discontinued drug has resumed and any
other listing information not previously
required or submitted for the drug
would be provided (proposed
§ 207.57(b)(3)). This proposed provision
is consistent with section 510(j)(2)(C) of
the act, which requires, among other
things, that if a registrant has resumed
the manufacture, preparation,
propagation, compounding, or
processing of a discontinued drug for
commercial distribution, the registrant
must provide notice and the date of
such resumption, the established name
and proprietary name of the drug, and
other listing information required under
section 510(j)(1) of the act not
previously provided. The established
name and proprietary name would have
previously been submitted at the time of
listing. Because we would be able to
reference that information in our listing
database, manufacturers, repackers, and
relabelers would not need to resubmit
the established name and proprietary
name. Current § 207.30(a)(3) requires, in
addition to the date of resumption of
commercial distribution, that the NDC
number, the established name and
proprietary name, and any other listing
information not previously submitted
must be provided. Under the proposal,
this information would not need to be
provided at this time because we would
have access to it from the listing
database.
We anticipate that drug product
salvagers would not report information
under proposed § 207.57(b)(3) because
we are unaware of instances when drug
product salvagers resume salvaging a
drug that they have already salvaged
and returned to the marketplace. Drug
product salvagers salvage a drug and
then put the drug into commercial
distribution by selling it to a retailer or
other party. This activity ends the drug
product salvager’s association with that
drug. In contrast, manufacturers,

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51313

repackers, and relabelers may resume
the manufacture, repacking, or
relabeling of a drug (usually a different
lot of the drug) that they had previously
listed but are currently not
manufacturing, repacking, or relabeling.
Thus, we anticipate that proposed
§ 207.57(b)(3) would not be applicable
to drug product salvagers. We invite
comment on whether drug product
salvagers resume salvaging a drug that
they have already salvaged and returned
to the marketplace.
• The June and December review and
update of listing information would
include the submission of all material
changes in any information previously
submitted under § 207.49, § 207.53,
§ 207.54, § 207.55, or § 207.57 (proposed
§ 207.57(b)(4)). Current § 207.30(a)(4)
requires that any material change in any
information previously submitted must
be reported every June and December or,
at the discretion of the registrant, when
the change occurs. Material changes are
listed in the definition of ‘‘any material
change’’ in current § 207.3(a)(3). As
discussed in section IV.A.5 of this
document, we are proposing to broaden
this definition to mean any change in
any listing information provided under
proposed §§ 207.49, 207.53, 207.54,
207.55, and 207.57 (except for labeling
changes in arrangement or printing or of
an editorial nature, or the inclusion of
a bar code or NDC number on the label).
Under the proposed definition of
‘‘material change,’’ the number of
changes in listing information that are
considered ‘‘material’’ would include
more than the five types of changes
considered ‘‘material’’ in the current
definition. We are proposing a broader
definition of material change because,
for the reasons explained in section IV.D
of this document, the accuracy of all
listing information is essential for us to
maintain a reliable and current drug
listing database. Proposed § 207.57(b)(4)
is consistent with section 510(j)(2)(D) of
the act, which requires that each person
who registers shall report once during
the month of June of each year and once
during the month of December of each
year any material change in any
information previously submitted
pursuant to section 510(j)(1) or section
510(j)(2) of the act. Section 510 of the
act does not define ‘‘material change.’’
• If no changes have occurred since
the last review and update of listing
information, manufacturers, repackers,
relabelers, and drug product salvagers
would certify that no changes have
occurred (proposed § 207.57(b)(5)).
Proposed § 207.57(b)(5) also provides
that if a drug is discontinued and we
have received the information required
under proposed § 207.57(b)(2)

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jlentini on PROD1PC65 with PROPOSAL2

concerning the discontinuation of a
listed drug, no further certifications
would be necessary for the discontinued
drug. We are proposing to revoke
current § 207.30(b), which states that no
report is required when no changes have
occurred since the previously submitted
list.
FDA is proposing this certification to
ensure that manufacturers, repackers,
relabelers, and drug product salvagers
have reviewed their listing information
and have determined that there have
been no changes. There have been many
instances where manufacturers,
repackers, and relabelers have not
updated their listing information on a
regular basis. It has been difficult for us
to determine whether failure to update
listing information is the result of no
changes in information or
noncompliance. The proposed
requirement is intended to reduce these
instances and improve the accuracy of
our drug listing database. Furthermore,
under section 301(p) of the act, it is a
prohibited act to fail to submit drug
listing information under section 510(j)
of the act. Failure to submit drug listing
information would also render a drug
misbranded under section 502(o) of the
act. In addition, the proposed
requirement to certify is supported by
the statutory provision in section 701(a)
of the act (21 U.S.C. 371(a)) that the
Secretary has the authority to
promulgate regulations for the efficient
enforcement of the act.
We specifically request comment on
any burden that may result from this
proposed requirement that
manufacturers, repackers, relabelers,
and drug product salvagers certify that
no changes have occurred.
Current § 207.30(a) provides that the
updates to listing information must be
submitted during each June and
December or, at the discretion of the
registrant, when the change occurs.
Although proposed § 207.57(b) would
require that listing information be
reviewed and updated only every June
and December, we are requesting that
manufacturers, repackers, relabelers,
and drug product salvagers provide all
updates to listing information within 30
calendar days of a change. We are
requesting that this information be
provided on an expedited basis because
our listing database will be more
accurate if listing information is
submitted sooner.
E. Electronic Format
1. How Would Registration and Listing
Information Be Provided To FDA?
Under proposed § 207.61(a)(1), the
following information required under

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proposed part 207 would be provided to
us using our electronic drug registration
and listing system:
• Establishment registration
information required in proposed
§§ 207.25 and 207.29 (proposed
§ 207.61(a)(1)(i));
• Information required for an NDC
number in proposed § 207.33 (proposed
§ 207.61(a)(1)(ii)); and
• Drug listing information required in
proposed § 207.49 (except for labeling
and advertising information in proposed
§ 207.49(g) and (h)), 207.53 (except
proposed §§ 207.53(d) and (e)), 207.54,
207.55, and 207.57 (proposed
§ 207.61(a)(1)(iii)). As explained in
section IV.E.7 of this document, the
submission of establishment registration
and drug listing information and
information required for an NDC
number would be made in accordance
with 21 CFR part 11, except for the
requirements under § 11.10(b), (c), and
(e), and the corresponding requirements
in § 11.30.
Proposed § 207.61(a)(2) would require
that the content of labeling defined in
proposed § 207.1 and required under
proposed § 207.49(g)(1) through (g)(3) be
provided to us in electronic format. The
NDC number would also be provided
with9 the content of labeling for each
drug. As explained in section IV.E.7 of
this document, the submission of the
content of labeling would be made in
accordance with 21 CFR part 11, except
for the requirements under § 11.10(a),
(c) through (h), and (k), and the
corresponding requirements under
§ 11.30. As explained in section IV.E.4
of this document and stated in proposed
§ 207.49(g), the labeling, including the
content of labeling, would not be
required if the approved U.S.
application number is provided by the
manufacturer when the drug is listed.
In addition to the electronic
submission of information under
proposed § 207.61(a)(1)(i), (a)(1)(ii),
(a)(1)(iii), and (a)(2)), advertisements
and labeling (other than the content of
labeling) required under §§ 207.49(g)
and (h) and 207.53(d) and (e) would be
provided to us in either paper or
electronic format (proposed
§ 207.61(a)(3)). The NDC number would
also be provided with10 the
advertisements and labeling. As
explained in section IV.E.7 of this
document, the electronic submission of
advertisements and labeling, other than
the content of labeling, would be made
9 As explained in section IV.E.4 of this document,
the NDC number may accompany the content of
labeling; it does not need to be in the content of
labeling.
10 See footnote 9.

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in accordance with part 11 (21 CFR part
11), except for the requirements under
§ 11.10(a), (c) through (h), and (k), and
the corresponding requirements under
§ 11.30.
Under proposed § 207.61(a)(4),
electronic format submissions must be
in a form that we can process, review,
and archive. As explained in section
IV.E.6 of this document, we may
periodically issue guidance on how to
provide registration and listing
information in electronic format (for
example, method of transmission,
media, file formats, preparation and
organization of files).
The electronic submission of the
information covered under proposed
§ 207.61(a) would provide a number of
advantages over the current submission
of FDA paper forms:
• We would receive a greater quantity
of accurate information in less time than
it takes to receive information from
paper submissions. The information
received would also be more accurate
because our electronic drug registration
and listing system would eliminate
errors associated with inputting paperbased data into an electronic system.
• The electronic transmission of the
information would be easier and more
efficient for both industry and us than
the current use of paper forms. For
example, you would receive on-screen
feedback if the information submitted
was not complete, reducing errors and
the time and cost of communicating
with us. Similarly, electronic
transmission of the information would
reduce significantly the time and cost
associated with our processing paper
forms and communicating with industry
concerning errors on those forms.
• Information search and retrieval
time would be reduced, allowing
quicker access to the information in the
database.
The requirement to provide listing
information to us electronically is
consistent with the requirement to list
in section 510(j)(1) of the act: ‘‘Every
person who registers with the Secretary
* * * shall * * * file with the
Secretary a list of all drugs * * *. Such
list shall be prepared in such form and
manner as the Secretary may prescribe
* * *.’’ The requirement to provide
registration information to us
electronically is consistent with section
510(p) of the act: ‘‘Registrations * * *
(including the submission of updated
information) shall be submitted to the
Secretary by electronic means, upon a
finding by the Secretary that the
electronic receipt of such registrations is
feasible * * *.’’ Persons who register
are also required to list drugs which are
being manufactured, prepared,

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propagated, compounded, or processed
for commercial distribution (21 U.S.C.
510(j)(1)).
2. What Was the Electronic Submission
Pilot Project?
In the Federal Register of January 9,
2001 (66 FR 1684), we requested
volunteers to participate in a pilot
project involving the electronic
submission of registration and listing
information. In a September 2001
meeting/teleconference with the pilot
project volunteers, we provided
information on the major functions of
the electronic drug registration and
listing system, including instructions on
the installation, setup, and testing of the
systems. The pilot test was held from
October 19, 2001, through November 9,
2001, and approximately 28 industry
representatives voluntarily participated.
As mentioned previously, our
electronic drug registration and listing
system is expected to be a Web-enabled,
integrated system that provides
controlled database access for you to
register establishments and list drugs. A
separate capability—an extranet—could
be used that authenticates external users
and controls their access to the our
online registration and listing database.
This system would allow you to create
user accounts and manage additional
users.
Industry representatives accessed the
pilot test through our extranet to
perform the following functions: (l)
Initial company setup and
establishment registration; (2)
registration of additional
establishments; (3) drug listing; (4)
updates; and (5) system access, logoff,
and exit. The pilot test included
installation, setup, and operational
testing of our electronic drug
registration and listing system.
The pilot test was intended to get
direct input from the pilot participants
about the usability and functionality of
the system. The pilot test provided
feedback to us on:
• The pilot participants’ experience
in submitting and preparing registration
and listing data.
• Web browsers used.
• Acceptability of proposed normal
operating hours.
• Page layout and design.
• Ease of navigation within pages and
between functions.
• Whether error messages provide
sufficient information to resolve the
error.
• The appropriateness of the style,
content, and depth of detail of the
onpage help.
The comments we received on our
electronic drug registration and listing

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system were generally positive. Those
who volunteered to participate in the
pilot test were able to successfully
access the system, set up a company
account within the system, register
establishments, and list drugs. Pilot
participants encountered a few one-time
difficulties that we will address,
including minor password problems
and difficulties completing the initial
company setup and establishment
registration process.
We are using information from the
pilot program to develop our electronic
system.
3. How Would the Electronic Drug
Registration and Listing System Work?
Electronic format submissions of
registration and listing information, as
well as information required for an NDC
number, would consist of the electronic
transmission via the Internet of the
required information from
manufacturers, repackers, relabelers,
and drug product salvagers into our
electronic drug registration and listing
system.
Our electronic drug registration and
listing system would be made available
using an Internet-based data collection
system accessed through our FDA
Internet site.
• To use the Web site, you would
need access to the Internet using a
browser.
• You could arrange for Internet
access through one of many available
Internet Service Providers (ISPs).
• You would need an e-mail address
so we can send you confirmation of
submissions and other related
information.
• This e-mail service could be
provided by the ISP or by other sources.
Prior to accepting registration and
listing information from this online
system, we would authenticate the
source (that is, the manufacturer,
repacker, relabeler, or drug product
salvager) providing the data.
• We could, for example, authenticate
entry into the electronic drug
registration and listing system by
establishing user accounts based on
current registration information.
• We anticipate that we may contact
manufacturers, repackers, relabelers,
and drug product salvagers to obtain
contact information to establish an
administration account.
To register and list electronically, to
provide updated registration and listing
information, and to provide information
to obtain an NDC number, you would go
to our Web site and follow the prompts.
• You could sign onto the system by
entering the account number, user
name, and password obtained by

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following the procedures in the
guidance we intend to issue on our
electronic drug registration and listing
system, as discussed in section IV.E.6 of
this document.
• You would then be prompted to
provide general information about your
company and then specific information
about each establishment and drug as
required in proposed part 207.
• When all of the required
information is provided, your official
contact would receive confirmation
electronically that the information has
been received by us.
• If you provide information to obtain
an NDC number, the number could be
issued electronically.
4. What Are the Proposed Requirements
for the Submission of Content of
Labeling in Electronic Format?
Under proposed § 207.61(a)(2), the
content of labeling would be provided
to us in an electronic format. The
electronic submission of the content of
labeling would permit us to
electronically review, compare, and
extract data from the labeling.
The content of labeling would be
submitted in electronic format for the
following drugs:
• Human prescription drugs;
• Human OTC drugs, including those
that the manufacturer regards as subject
to section 505 of the act or section 351
of the Public Health Service Act as well
as those regarded as not subject to
sections 505 or 351; and
• Animal drugs, including those that
the manufacturer regards as subject to
section 512 of the act as well as those
regarded as not subject to section 512.
The ‘‘content of labeling’’ is defined
in proposed § 207.1 (and discussed in
section IV.A.5 of this document) to
mean:
• For human prescription drugs that
the manufacturer regards as subject to
section 505 of the act or section 351 of
the Public Health Service Act: The
content of the prescription drug labeling
(as specified in §§ 201.56, 201.57, and
201.80 of this chapter), including all
text, tables, and figures.
• For human prescription drugs that
the manufacturer regards as not subject
to section 505 of the act or section 351
of the Public Health Service Act: The
labeling equivalent to the content of the
prescription drug labeling (as specified
in §§ 201.56, 201.57, and 201.80 of this
chapter), including all text, tables, and
figures.
• For human OTC drugs: The content
of the drug facts labeling required by
§ 201.66 of this chapter, including all
text, tables, and figures.

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• For animal drugs (including, but
not limited to, drugs that the
manufacturer regards as subject to
section 512 of the act): The content of
the labeling that accompanies the drug
that is necessary to enable the safe and
proper administration of the drug (e.g.,
the labeling specified in §§ 201.1 and
201.5 of this chapter), including all text,
tables, and figures.
The proposed requirement to provide
the content of labeling electronically is
consistent with (among other things)
that part of the listing requirement in
section 510(j)(1) of the act which states
that ‘‘Such list shall be prepared in such
form and manner as the Secretary may
prescribe.’’ The proposed requirement
to submit the content of labeling for
human prescription drugs, human OTC
drugs, and animal drugs is consistent
with the statutory requirements of
section 510(j)(1)(A), (j)(1)(B)(i), and
(j)(1)(B)(ii) of the act. Section
510(j)(1)(A) of the act requires, among
other things, the submission of a copy
of all labeling for drugs subject to
sections 505 or 512 of the act. Section
510(j)(1)(B)(i) requires, among other
things, the submission of a copy of all
labeling for prescription drugs not
subject to section 505 or 512 of the act.
Section 510(j)(1)(B)(ii) requires, among
other things, the submission of the label,
package insert, and representative
sampling of any other labeling for OTC
drugs not subject to section 505 or 512
of the act.
We are proposing that manufacturers
provide the NDC number electronically
with the content of labeling during
listing so that we can more easily link
the content of labeling to the listed drug
and, thus, expedite the listing process.
The NDC number may accompany the
content of labeling by being referenced,
for example, in the transmittal message
to us that contains the content of
labeling. The NDC number does not
need to be on the content of labeling.
As discussed in greater detail in
section IV.D.4 of this document, we are
proposing that you need not submit the
content of labeling for human
prescription or OTC drugs approved
under section 505 of the act or section
351 of the PHS Act if you provide the
application number when listing the
drug or requesting an NDC number for
the drug. Incorporating the content of
labeling by reference to the application
number would eliminate unnecessary
duplication of effort and cost to
industry.
The submission of the content of
labeling in an electronic format would
assist us in several ways:
• The use of computer technology to
identify changes in different versions of

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the labeling would greatly enhance our
accuracy and efficiency in updating our
listing database.
• Our ability to protect the public
health would be enhanced because
electronic review and comparison of
labeling files would provide a higher
degree of certainty that all portions of
the labeling are consistent and up to
date.
• Our ability to protect the public
health would be enhanced because we
could provide and make easily
accessible up-to-date product labeling
through the DailyMed initiative, as
described in section IV.C.2 of this
document.
• Our ability to protect the public
health would be enhanced by
supporting the implementation of the
electronic prescribing provisions of the
Medicare Modernization Act. The
product labeling information we would
make available through DailyMed
would be associated with the unique
NDC number for each drug, supporting
electronic prescribing.
• In the future, the electronic
submission of the content of labeling
would enable us to receive much of the
drug listing information through the
labeling, thus improving efficiency in
the drug registration and listing system.
Industry would be able to satisfy many
drug listing requirements through the
submission of the content of labeling.
The proposed requirement to provide
the content of labeling would not
significantly burden industry because
labeling is maintained in electronic
format by most manufacturers. In
addition, our proposal seeks to limit
industry costs by avoiding unnecessary
duplication of effort—for example, as
mentioned previously, if the content of
labeling has already been submitted in
an approved application, supplement,
or annual report, the manufacturer
would only have to reference the
application number to comply with this
listing requirement. In addition, only
the manufacturer would be required to
submit the content of labeling.
We would require, under proposed
207.61(a)(4), that the information in
electronic format be submitted in a form
we can process, review, and archive. We
are prepared at this time to receive the
content of labeling as a portable
document format (PDF) file that is
searchable. Using commercially
available software, an electronic source
document created by any number of
programs (for example, word processors
and desktop publishing programs) can
be converted to a PDF file, preserving
the fonts, formatting, and graphics of the
source document, regardless of the
application and platform used to create

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it. The PDF file can be copied onto a
disk or CD–ROM and shared with other
users who can use PDF reading software
to view, navigate through, and print the
document, as well as view, search, and
print the file, and copy text, tables, and
figures from the file.
However, to be responsive to
technological advances, we may
recommend in the future that new file
formats such as extensible markup
language and software applications be
used to submit labeling electronically.
The language in proposed § 207.61(a)(4),
that electronic format submissions must
be in a form that we can process,
review, and archive, will provide us
with the flexibility to recommend file
formats or software other than PDF, if
appropriate, such as SPL (described
earlier in sections III.B and IV.C.2 of this
document). We will provide advance
notice, in accordance with FDA’s good
guidance practice regulations under
§ 10.115 (21 CFR 10.115), so that
affected parties will have adequate time
to convert to any new format or
software. In addition, we expect that
such format or software will be widely
available before we switch to a new
technology. Changes in format and/or
software will be identified in public
docket number 92S–0251.11 During any
such transition, we will accept
submissions using either file format or
software.
5. Would the Proposal Require
Electronic Submission of
Advertisements and Other Labeling?
Under proposed § 207.61(a)(3),
advertisements and labeling, other than
the content of labeling, required under
proposed §§ 207.49(g) and (h) and
207.53(d) and (e) would be provided to
us in paper or electronic format.
Information on how and where to send
labeling and advertisements that are not
provided electronically will be
described in the guidance document we
intend to develop, as discussed in
section IV.E.6 of this document.
Although we are proposing to require
that only registration and listing
information, information submitted to
receive an NDC number, and the content
of labeling need be submitted in
electronic format, we expect to identify
in public docket number 92S–0251
copies and samples of labeling and
advertisements as types of documents
we accept in electronic format. Under
the proposal, you would have the option
of submitting advertisements and
labeling either electronically or in
paper.
11 This docket may be accessed on the Internet at
http://www.fda.gov/ohrms/dockets.

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The proposed requirement to submit
advertisements is consistent with
section 510(j)(1)(B)(i) of the act, which
requires, among other things, the
submission of a representative sampling
of advertisements and, upon request, a
copy of all advertisements for
prescription drugs not subject to section
505 of the act. The proposed
requirement to submit labeling is, as
explained previously, consistent with
the statutory requirements of section
510(j)(1)(A), (j)(1)(B)(i), and (j)(1)(B)(ii)
of the act.

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6. What Guidance Documents Do We
Intend To Issue on Providing
Registration and Listing Information
Electronically?
We plan to publish draft guidance and
technical specifications on the
electronic submission of registration
and listing information through our
electronic drug registration and listing
system (the draft guidance). The draft
guidance and technical specifications
will explain the electronic process for
providing registration and listing
information and for providing the
information that would be required to
obtain an NDC number, including stepby-step instructions on entering
information required under proposed
part 207. We are also planning to issue
guidance on providing registration and
listing information in electronic format
(concerning the method of transmission,
media, file formats, and preparation and
organization of files), and this guidance
will be updated regularly to reflect the
evolving nature of the technology.
In addition to the draft guidance and
the guidance on providing registration
and listing information in electronic
format under development, we have
issued other guidances that explain the
process for submitting information to us
in electronic format. These guidance
documents are available at FDA’s Web
site http://www.fda.gov/cder/guidance/
index.htm under the heading
‘‘Electronic Submissions.’’
7. How Would Part 11 Apply to the
Electronic Submission of Registration
and Listing Information?
Under proposed § 207.61(a)(1), the
submission of registration and listing
information (except for the content of
labeling and advertisements and
labeling) and the information required
to receive an NDC number would be
made in accordance with part 11, except
for the requirements under § 11.10(b),
(c), and (e) and the corresponding
requirements under § 11.30. Under
proposed § 207.61(a)(2) and (a)(3), the
submission of the content of labeling,
and advertisements and other labeling

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in electronic format, would be made in
accordance with part 11, except for the
requirements under § 11.10(a), (c)
through (h), and (k), and the
corresponding requirements under
§ 11.30. In the Federal Register of
March 20, 1997 (62 FR 13430), we
published regulations on electronic
records and electronic signatures (part
11). Part 11 regulations, among other
things, set forth the criteria under which
records submitted to us may be
submitted in electronic format in lieu of
paper records. Section 11.2(b) states
that, for records submitted to us,
persons may use electronic records in
lieu of paper records, in whole or part,
provided the requirements of part 11 are
met and the documents or parts of
documents to be submitted have been
identified by us in public docket
number 92S–0251 as being the type of
submission we are prepared to accept in
electronic format.
Part 11 permits the widest possible
use of electronic technology, compatible
with our responsibility to promote and
protect the public health (62 FR 13430).
Part 11 helps to ensure the authenticity,
integrity, and, when appropriate, the
confidentiality of electronic records.
Part 11 also helps to safeguard against
the possible repudiation of those
records. The controls in subpart B of
part 11 are intended to further this
purpose.
We recently announced in the Federal
Register our current thinking on part 11.
In the Federal Register of September 5,
2003 (68 FR 52779), we announced the
availability of a guidance for industry
entitled ‘‘Part 11, Electronic Records;
Electronic Signatures—Scope and
Application’’ (the part 11 guidance).
The part 11 guidance explains our
current thinking regarding the
requirements and application of part 11
and states that we intend to exercise
enforcement discretion in the manner
specified in the guidance with respect to
the validation (§ 11.10 (a)), audit trail
(§§ 11.10(e) and (k)(2)), record retention
(§ 11.10(c)), and copies of records
(§ 11.10(b)) requirements of part 11, and
any corresponding requirements in
§ 11.30. In addition, we announced that
we intend to exercise enforcement
discretion and do not intend to take (or
recommend) action to enforce any part
11 requirements with regard to systems
that were operational before August 20,
1997, the effective date of part 11
(commonly known as legacy systems)
under the circumstances described in
section III.C.3 of the part 11 guidance.
Although we explain the relationship
between the part 11 guidance and this
proposal, as discussed below, you
should refer to the guidance we intend

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to issue on electronic registration and
listing for information on complying
with part 11 when providing
registration and listing information
electronically. The part 11 requirements
from which we propose exemptions in
this proposal differ from the part 11
requirements for which we intend to
exercise enforcement discretion, as
described in the part 11 guidance. They
differ because the proposed exemptions
in this rule are specific to the electronic
submission of registration and listing
information, including information that
must be submitted to receive an NDC
number and the content of labeling, for
drugs that would be covered under
proposed part 207, whereas the part 11
draft guidance applies to the
maintenance of all electronic records
and to all electronic submissions subject
to part 11.
With respect to the electronic
submission of registration and listing
information, including the information
required to receive an NDC number but
not including the content of labeling
and advertisements and other labeling,
as previously noted, we believe, as
provided in proposed § 207.61(a)(1),
that several of the requirements in
subpart B of part 11 are not necessary
to further the goals of part 11. Because
we control the electronic drug
registration and listing system, certain
controls for systems would not apply to
the submission of registration and
listing information, such as:
• The ability to generate accurate and
complete copies of records in both
human readable and electronic form
suitable for inspection, review, and
copying by the agency (§ 11.10(b));
• The protection of records to enable
their accurate and ready retrieval
throughout the records retention period
(§ 11.10(c));
• The use of secure, computergenerated, time-stamped audit trails to
independently record the date and time
of operator entries and actions that
create, modify, or delete electronic
records (§ 11.10(e)); and
• The corresponding controls of
§ 11.30.
You would be exempt from these
subpart B controls because our
registration and listing database is
designed to ensure the authenticity,
integrity, and confidentiality of this
information in several ways. For
example, we would control the
database, and you would only be able to
enter and/or revise information in your
own account. In addition, the database
would contain records of registration
and listing information, and we could
generate accurate and complete copies
of records.

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With respect to the electronic
submission of the content of labeling
and advertisements and other labeling,
as previously noted, we believe, as
provided in proposed § 207.61(a)(2) and
(a)(3), that several of the requirements in
subpart B of part 11 are not necessary
to further the goals of part 11. For the
reasons described below, certain
controls for systems would not apply to
the submission of the content of labeling
and advertisements and other labeling,
such as:
• The validation of systems to ensure
accuracy, reliability, consistent
intended performance, and the ability to
discern invalid or altered records
(§ 11.10(a));
• The protection of records to enable
their accurate and ready retrieval
throughout the records retention period
(§ 11.10(c));
• Limiting system access to
authorized individuals(§ 11.10(d));
• The use of secure, computergenerated, time-stamped audit trails to
independently record the date and time
of operator entries and actions that
create, modify, or delete electronic
records (§ 11.10(e));
• The use of operational system
checks to enforce permitted sequencing
of steps and events, as appropriate
(§ 11.10(f));
• The use of authority checks to
ensure that only authorized individuals
can use the system, electronically sign
a record, access the operation or
computer system input or output
device, alter a record, or perform the
operation at hand (§ 11.10(g));
• The use of device checks to
determine, as appropriate, the validity
of the source of data input or
operational instruction (§ 11.10(h));
• The use of appropriate controls over
certain systems documentation
(§ 11.10(k));and
• The corresponding controls of
§ 11.30.
We are proposing to exempt the
submission of electronic content of
labeling from certain part 11
requirements because we believe these
part 11 requirements are not critical to
ensure the quality of the content of
labeling that would be submitted under
this proposed rule and we do not think
it is necessary for industry to expend
resources on controls that are not
necessary to further the goals of part 11.
For example, validation for the system
used to generate the labeling record is
not necessary because the
manufacturer’s verification that the
information in the labeling record is
accurate serves the same objective. Our
review of the content of labeling is
based on the version of the labeling

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record submitted to us. Earlier versions
of the record, as well as changes made
to the earlier versions, are not relevant
to our analysis. In addition, our
registration and listing database is
designed to ensure the authenticity,
integrity, and confidentiality of this
information. As mentioned, we would
control the database, you would only be
able to enter and/or revise information
in your own account, and the database
would contain records of the
information from which we could
generate accurate and complete copies.
Thus, controls related to the creation,
modification, and maintenance of the
content of labeling are not needed.
For the content of labeling and
advertisements and other labeling, we
recognize that there are some
differences with respect to the
exemptions from part 11 requirements
provided in this proposal (that is,
§ 11.10(a), (c) through (h), and (k), and
the corresponding requirements of
§ 11.30), and the part 11 requirements
set forth in the part 11 guidance for
which we intend to exercise
enforcement discretion (that is,
§ 11.10(a) through (c), (e), and (k)(2),
and any other corresponding
requirements in § 11.30)). Although the
proposal does not provide an exemption
from § 11.10(b) for the content of
labeling and advertisements and other
labeling, the part 11 guidance
announces that we intend to exercise
enforcement discretion with respect to
that section in the manner described in
the guidance.
If this proposed rule is finalized, we
intend to identify in docket number
92S–0251 the registration and listing
information and the content of labeling
specified previously as the types of
records that we are prepared to accept
in electronic format.
8. What Language Would Be Used to
Provide Registration and Listing
Information?
Under proposed § 207.61(b), we
would require that all registration and
listing information be submitted in the
English language. We are also proposing
that labeling be submitted in the English
language except, as provided under
current 21 CFR 201.15(c), when drugs
are distributed solely in the
Commonwealth of Puerto Rico or in a
Territory where the predominant
language is one other than English. In
those instances, the predominant
language may be substituted for English.
We are proposing § 207.61(b) because
providing information in languages
other than English would lead to
problems using the registration and
listing computerized database and

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problems with our review of registration
and listing information and the content
of labeling. Foreign establishments are
currently required to submit all
registration and listing information in
the English language under current
§ 207.40(b). Because all domestic
manufacturers, repackers, relabelers,
and drug product salvagers currently
submit this information in English, and
because foreign establishments are
already subject to this requirement, we
do not believe the proposed requirement
would increase the burden on industry.
9. Could the Electronic Format
Requirements Be Waived?
Under proposed § 207.65,
manufacturers, repackers, relabelers,
and drug product salvagers may request
a waiver from the proposed requirement
in § 207.61(a) that information be
provided to us in electronic format. This
proposed waiver provision is consistent
with the Medical Device User Fee and
Modernization Act of 2002 (Public Law
107–250) which amended section 510 of
the act to add section 510(p) to
explicitly give the Secretary discretion
to require the electronic submission of
registration information upon a finding
that electronic receipt of such
registration information is feasible,
unless the Secretary grants a request for
a waiver because the use of electronic
means is not reasonable for the person
requesting the waiver. Under proposed
§ 207.65, we may grant a waiver request
if the manufacturer, repacker, relabeler,
or drug product salvager does not have
an e-mail address and access to a
computer and an ISP that can access our
Web-based registration and listing
database and communicate with us. The
request must include a telephone
number and/or mailing address where
we can contact the person making the
request. We intend to provide the
mailing address for submitting a waiver
request in the draft guidance and
technical specifications on the
electronic submission of registration
and listing information.
We do not anticipate many waiver
requests because the expenses
associated with owning a personal
computer, obtaining an e-mail address,
and subscribing to Internet access are
low. If owning a computer is not
possible, however, only access to a
computer and an ISP as well as having
an e-mail address would be needed to
input information electronically in
accordance with the registration and
listing requirements under this part,
including the requirements for obtaining
an NDC number. There would be no
need for you to maintain data files on
disks or other formats; all data would be

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agent for more than one foreign
manufacturer, foreign repacker, foreign
relabeler, or foreign drug product
salvager.
We are proposing that each foreign
manufacturer, foreign repacker, foreign
relabeler, and foreign drug product
salvager designate a single United States
agent. (We note, however, the United
States agent may be a company
comprised of more than one person). As
we explained in the final rule entitled
‘‘Foreign Establishment Registration and
Listing’’ (66 FR 59138 at 59140), we
interpret section 510(i) of the act as
allowing only one United States agent
for each foreign establishment because
F. Miscellaneous
section 510(i) of the act refers to the
1. What Are the Proposed Requirements United States agent in singular, rather
than plural, terms. We also explained in
for an Official Contact and a United
that final rule (66 FR 59138 at 59141)
States agent?
that we interpret section 510(i) of the act
Under proposed § 207.69(a),
as requiring that the United States agent
manufacturers, repackers, relabelers,
must be in the United States. These
and drug product salvagers that are
proposed provisions are also consistent
subject to the registration requirements
with the use of ‘‘U.S. agent’’ in the
in proposed part 207 would designate
interim final rule entitled ‘‘Registration
an official contact for each
of Food Facilities Under the Public
establishment. The official contact
Health Security and Bioterrorism
would be responsible for:
Preparedness Act of 2002’’ (68 FR 58894
• Ensuring the accuracy of
at 58915, October 10, 2003).
registration and listing information; and
Currently, the provisions concerning a
• Reviewing, disseminating, routing,
United States agent, as well as other
and responding to communications
requirements for foreign manufacturers,
from us.
foreign repackers, foreign relabelers, or
We are proposing to require an official foreign drug product salvagers, are set
contact to facilitate communications
forth under § 207.40. In addition,
between you and us and to help ensure
current § 207.3(a)(11) defines United
compliance with the registration and
States agent as a person residing or
listing requirements. On numerous
maintaining a place of business in the
occasions, we have found it difficult to
United States whom a foreign
contact certain manufacturers,
establishment designates as its agent.
repackers, relabelers, and drug product
The definition states that ‘‘United States
salvagers to discuss registration and
agent’’ excludes mailboxes, answering
listing issues.
machines or services, or other places
In addition to the proposed
where an individual acting as the
requirement to designate an official
foreign establishment’s agent is not
contact, each foreign manufacturer,
physically present. We are proposing to
foreign repacker, foreign relabeler, and
revoke current §§ 207.3(a)(11) and
foreign drug product salvager would be
207.40 and include these requirements
required, under proposed § 207.69(b), to (as revised), for example, under
designate a single United States agent.
proposed §§ 207.1, 207.9, 207.13,
The United States agent would be
207.17, 207.33, 207.41, 207.61, and
responsible for:
207.69.
Under proposed § 207.69(b)(2)
• Helping us communicate with the
through (b)(4), the United States agent
foreign manufacturer, foreign repacker,
would be required to reside or maintain
foreign relabeler, and foreign drug
a place of business in the United States.
product salvager;
• Responding to questions concerning A United States agent may not be a
those drugs that are imported or offered mailbox, answering machine or service,
or other place where a person acting as
for import to the United States; and
the United States agent is not physically
• Helping us schedule inspections.
present. If we are unable to contact the
We would not object if the same
foreign manufacturer, foreign repacker,
individual serves as both the United
foreign relabeler, or foreign drug
States agent and the official contact for
product salvager directly or
a foreign manufacturer, foreign
expeditiously, we may provide
repacker, foreign relabeler, or foreign
information or documents to the United
drug product salvager, or if the same
States agent, which we would consider
individual serves as the United States

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maintained in our database and
accessed electronically via the Internet.
We would control the database and the
information contained in it, and you
would only enter new information and/
or revise your own previously submitted
information.
In those instances when we grant a
request for a waiver, we would provide
information on how to submit
registration and/or listing information.
One option may be to make available a
paper form for submitting the required
registration and listing information
(including the information required to
obtain an NDC number).

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51319

equivalent to providing the same
information or documents to the foreign
manufacturer, foreign repacker, foreign
relabeler, or foreign drug product
salvager.
We are proposing the requirements for
a United States agent to facilitate
communications between you and us
and to help ensure compliance with the
registration and listing requirements. On
numerous occasions, we have found it
difficult to contact certain foreign
manufacturers, foreign repackers,
foreign relabelers, and foreign drug
product salvagers, resulting in their
drugs being detained because certain
registration and/or listing issues have
not been resolved.
2. What Legal Status Is Conferred by
Registration and Listing?
Under proposed § 207.77(a),
registration of an establishment or
listing of a drug does not denote
approval of the establishment, the drug,
or other drugs of the establishment, nor
does it mean that a product may be
legally marketed. Any representation
that creates an impression of official
approval or that a drug is approved or
is legally marketable because of
registration or listing would be
misleading and would constitute
misbranding under section 502 of the
act. To clarify and consolidate current
regulations, we are proposing to revise
and move a similar provision in current
§ 207.39 to proposed §§ 207.77(a) and
207.37. Current § 207.39 states that
registration of a drug establishment or
drug wholesaler, assignment of a
registration number, or assignment of an
NDC number does not in any way
denote approval of the firm or its
products. Any representation that
creates an impression of official
approval because of registration or
possession of a registration number or
NDC number is misleading and
constitutes misbranding. The
registration provisions in current
§ 207.39 would be included in proposed
§ 207.77(a), and the NDC number
provisions in current § 207.39 would be
included in proposed § 207.37.
Proposed § 207.37(c) states that the NDC
number must not be used to denote FDA
approval of that drug. We are proposing
to include in proposed § 207.77(a) that
listing a drug would not denote
approval of the drug and that any such
representation would be misleading and
constitute misbranding.
Under proposed § 207.77(b),
assignment of an establishment
registration number, inclusion of a drug
in our database of drugs, or assignment
of an NDC number does not denote
approval of the establishment or the

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drug or any other drugs of the
establishment, nor does it mean that the
drug may be legally marketed. Any
representation that creates an
impression that a drug is approved or is
legally marketable because it appears in
our database of drugs, has been assigned
a NDC number, or the establishment has
been assigned an establishment
registration number, is misleading and
constitutes misbranding. Failure to
comply with proposed § 207.37 also
constitutes misbranding. We are
proposing to add this provision to
clarify that a drug’s marketing approval
status is determined, for example, under
section 505 or 512 of the act, section 351
of the PHS Act, and parts 314, 514 (21
CFR part 514), and 601 of the
regulations, and not under section 510
of the act or part 207 of the regulations.
Under proposed § 207.77(c), neither
registration nor listing constitutes a
determination by FDA that a product is
a drug as defined by section 201(g)(1) of
the act. This provision reflects a
revision and relocation of current
§ 207.20(e) to proposed § 207.77(c).
Current § 207.20(e) states that
registration and listing do not constitute
an admission, agreement, or
determination that a product is a drug
as defined under section 201(g) of the
act. Proposed § 207.77(c) also states that
registration and listing may be evidence
that a facility is manufacturing,
repacking, relabeling, or salvaging drugs
or that a product is a drug. Thus, the
proposed rule revises current § 207.20(e)
such that, while neither registration nor
listing constitutes a determination by
FDA that a product is a drug as defined
by the act, registration and listing may
be evidence that a facility is
manufacturing, repacking, relabeling, or
salvaging drugs or that a product is a
drug.
FDA is proposing to delete the
statement in current § 207.35(c) that
validation of registration and the
assignment of a drug listing number do
not, in themselves, establish that the
holder of the registration is legally
qualified to deal in such drugs. As
explained in sections IV.B and IV.C of
this document, FDA is proposing to
discontinue the validation of
registration. As explained previously in
this document, the provision on the
legal status of registration and listing is
included in proposed § 207.77, and
proposed § 207.37(c) sets forth
restrictions pertaining to the use of the
NDC number (e.g., the NDC number
must not be used to denote FDA
approval of the drug).

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3. What Registration and Listing
Information Would Be Made Available
for Public Disclosure?
Current § 207.37 pertains to the public
availability of registration and listing
information. Proposed § 207.81 would
revoke, in part, and revise current
§ 207.37. The heading ‘‘Inspection of
registrations and drug listings’’ in
current § 207.37 would be changed to
‘‘What registration and listing
information will we make available for
public disclosure?’’ This heading would
more accurately describe the scope of
the provision in that the provision
relates to the type of registration and
listing information that we intend to
make available for public disclosure.
The proposal would revoke the
introductory text of current § 207.37(a),
which includes a description of the
types of forms available for inspection,
the addresses at which such forms can
be inspected, and the addresses that
requests for verification of registration
numbers and requests for locations of
registered establishments can be
directed. We are proposing to revoke
this introductory text because these
forms would no longer be used under
the proposed scheme. Instead, we
intend to make most information that is
available for public disclosure
accessible via the Internet. This
initiative would be consistent with the
GPEA and would also help to reduce the
number of Freedom of Information Act
(5 U.S.C. 552) requests we receive for
registration and listing information.
Accordingly, we are also proposing to
revoke current § 207.37(b), which sets
forth the address to which requests for
information about drug registration and
listing can be directed. We note that
persons may still submit Freedom of
Information Act requests to the agency
for drug registration and listing
information that is not available on the
Internet.
Current § 207.37(a)(1) sets forth 11
categories of information that, when
compiled, will be available for public
disclosure. Proposed § 207.81(a) would
simplify this section to reference the
following information as generally
available for public disclosure: All
registration information and, after a
drug is listed, all information obtained
for that drug under proposed §§ 207.33,
207.49, 207.53, and 207.54, except for
that information obtained under
proposed §§ 207.33(d)(1)(ii) and
207.54(b)(1) or the information that
would otherwise be exempt from
disclosure under proposed § 207.81(b)
or (c).
Proposed § 207.81(a) would add
registration information to the list of the

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types of information that would
generally be considered to be publicly
available. Registration information is
currently available for public inspection
as referenced in § 207.37(a).
For various reasons, proposed
§ 207.81(a) would not include certain
specific categories of information that
are listed in current § 207.37. The
provision relating to a list of all drug
products arranged by labeled
indications or pharmacological category
would not be included in the proposal
because we currently do not compile or
index drug registration and listing
information by labeled indication. The
provisions related to a list of drug
products newly marketed or for which
marketing is resumed, a list of drug
products discontinued, and information
that has become a matter of public
knowledge would be deleted because
these categories of information would
also be disclosable under the general
provision of proposed § 207.81(a).
We are proposing to exempt proposed
§§ 207.33(d)(1)(ii) and 207.54(b)(1) from
proposed § 207.81(a) because this
information may disclose a business
relationship between the manufacturer,
repacker, relabeler, or drug product
salvager and the business from which
they obtained the drug, and may
constitute commercial or financial
information that is exempt from public
disclosure under § 20.61(c). We are
proposing to exempt from public
disclosure the information collected
under proposed § 207.33(d)(1)(ii), which
would require that repackers or
relabelers, to obtain an NDC number,
must provide, among other things, the
NDC number assigned to the drug
immediately before the drug is received
by the repacker or relabeler. We also are
proposing to exempt from public
disclosure the information collected
under proposed § 207.54(b)(1), which
would require that drug product
salvagers, to list a drug, must provide,
among other things, the NDC number
assigned to the drug immediately before
the drug is received by the drug product
salvager.
In addition to these changes, the
proposal would make some
fundamental changes to the disclosure
provision in current § 207.37. We are
proposing to add one category of listing
information to the list of information
that would generally be regarded as
publicly available information.
Specifically, proposed § 207.81
generally would make available for
public disclosure a drug product’s
inactive ingredients when provided
under § 207.33(c)(2)(ii) and (c)(3). When
the firm provides the approved
application number, we can link to the

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application and retrieve the names of
the inactive ingredients included in the
approved application. We will then
make the names of the inactive
ingredients available to consumers
unless they are subject to trade secret
protection, as discussed below.
Proposed § 207.81 would change the
current provision in § 207.37(a)(2).
Current § 207.37(a)(2)(ii) and (a)(2)(iii)
provide that information on inactive
ingredients will not be available for
public disclosure (except that any of the
information will be available for public
disclosure if it has become a matter of
public knowledge or if we find that it
would be inconsistent with the
protection of the public health).
We are proposing, under
§ 207.33(c)(2)(ii), to give manufacturers
the opportunity at the time of listing to
identify inactive ingredients that they
consider trade secret. Information
identified by the applicant as trade
secret would not be routinely posted on
the Internet. Public disclosure of
inactive ingredients not designated as
trade secret at the time of listing would
be authorized by the proposed
regulations. We would evaluate claims
of trade secret protection based on the
definition of a trade secret in § 20.61(a)
when making disclosure decisions in
response to requests made under the
Freedom of Information Act for this
information and would withhold the
information from public disclosure,
when appropriate, under § 207.81(c).
This evaluation is consistent with how
FDA evaluates requests asking for
inactive ingredient information that is
included in approved U.S. applications.
When manufacturers submit the
approved application number instead of
listing inactive ingredients under
proposed § 207.33(c)(2)(ii), they
similarly would need to identify any
inactive ingredients they considered to
be trade secret. Proposed
§§ 207.33(c)(2)(ii), 207.81(a), and
207.81(c) would strike a balance
between manufacturers’ commercial
interests and the fact that it would
generally be inconsistent with
protection of the public health to
withhold inactive ingredient
information. We expect that
manufacturers would only avail
themselves of the opportunity to claim
trade secret protection in extremely
limited circumstances. We note that
information in a drug’s labeling,
including the names of inactive
ingredients, is not trade secret
information.
The proposal to add information
about inactive ingredients to the list of
categories considered to be public
information is also consistent with

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section 510(f) of the act. Section 510(f)
of the act generally provides that listing
information shall be exempt from
inspection unless the Secretary finds
that such an exemption would be
inconsistent with protection of the
public health. We find that exempting,
among other things, a list of inactive
ingredients from public disclosure
would be inconsistent with the
protection of the public health. It is
important for consumers to know the
inactive ingredients of the drugs they
might be taking because such
information can be important in certain
situations. For example, some inactive
ingredients can trigger allergic reactions
in patients. If a particular inactive
ingredient appeared to trigger such
reactions in an individual, and the name
of the inactive ingredient was available
to the public, individuals and their
caregivers would be able to access such
information to prevent potentially
serious reactions. Additionally, some
inactive ingredients may be particularly
toxic to individuals with certain
medical conditions and some may
exacerbate a person’s medical condition.
If inactive ingredient information is
available for drugs, individuals and
their caregivers could get this
information and avoid adverse
reactions. We could also use inactive
ingredients information to help us
investigate possible drug contamination,
counterfeiting, or adulteration. For
example, if a drug appeared to be linked
to an unexpected number of adverse
drug events or seemed less effective
than expected, an analysis of the drug
showing the presence of unidentified
(i.e., not previously listed) inactive
ingredients in that drug could suggest
that the drug was adulterated or
counterfeit, or that the unidentified
inactive ingredient may interfere with
the drug’s mode of action. Additionally,
the presence of an unidentified inactive
ingredient in a drug product may
suggest contamination or that the drug
was not manufactured by the legitimate
manufacturer. Generally, we believe that
knowing about a drug’s inactive
ingredients and having such
information readily available in an
electronic database is consistent with
protection of the public health.
We recognize that because we may
make a large amount of registration and
listing information publicly available
under proposed § 207.81, there may be
instances where some of the information
authorized by this proposed rule for
public disclosure could identify
business relationships. We believe that
many of these business relationships
could be identified currently, but that

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51321

the electronic registration and listing
system may make it somewhat easier to
do so. For example, a contractual
relationship that might not otherwise be
publicly disclosed may be revealed
when a manufacturer of a sole source
material provides the drug’s established
name under proposed § 207.33(c)(1)(ii)
or when a manufacturer provides
registration numbers of each
establishment where manufacturing is
performed under proposed § 207.49(d).
Also, for example, business
relationships between private label
distributors and manufacturers,
repackers, relabelers may be revealed
when providing information under
§ 207.33(c) or (d)(2). However, we
believe this would be a rare event and
that exemption of the information
required by these regulatory provisions
from public disclosure would be
inconsistent with protection of the
public health. For example, we believe
that we should not exempt from public
disclosure the names of inactive
ingredients that would be submitted
under proposed § 207.33(c)(2)(ii)
because of the remote possibility that
the names, along with other information
that may be disclosed under this
proposal, could reveal a business
relationship. We believe that the
potential public health benefits of
releasing the names of the inactive
ingredients justify our decision not to
exempt them from public disclosure
because they outweigh the remote
possibility that a business relationship
could be revealed. Therefore we have
concluded that the public interest in
disclosure of most registration and
listing information supports the
proposals in the rulemaking.
We also note that, for foreign
manufacturers, foreign repackers,
foreign relabelers, and foreign drug
product salvagers, the name of each
importer and the names of persons who
import a drug or offer a drug for import
would be required for registration and
we are proposing that this information
would be available for public
disclosure. Disclosure of this
information would be consistent with
section 510(f) of the act, which requires
that any registration filed be made
available for inspection.
We invite comments on which
specific registration and listing
information should be available for
public disclosure. We request that you
identify the specific registration and
listing information on which you are
commenting and explain why you
believe the information should or
should not be publicly disclosed.
Proposed § 207.81(b) would make one
other conforming change to the current

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disclosure provision. Current
§ 207.37(a)(2) sets forth three categories
of information that will not be available
for public disclosure (except that any of
the information will be available for
public disclosure if it has become a
matter of public knowledge or if we find
that confidentiality would be
inconsistent with protection of the
public health). Proposed § 207.81(b)
would retain the category treating as
nondisclosable any information
submitted as the basis upon which it
has been determined that a particular
drug product is not subject to section
505 or 512 of the act. As explained
previously in this document, we are
moving two previously nondisclosable
categories (now disclosable) regarding
information on inactive ingredients to
proposed § 207.81(a) that relate to
information generally regarded as
publicly available. Those categories, in
current § 207.37(a)(2)(ii) and (a)(2)(iii),
would be disclosable under proposed
§ 207.81(a). Proposed § 207.81(c) would
allow FDA to determine, in limited
circumstances and on a case-by-case
basis, that it would be consistent with
protection of the public health and the
Freedom of Information Act to exempt
from public disclosure specific
information in paragraph (a) of this
section. As explained previously in this
document, we are proposing, under
§ 207.33(c)(2)(ii), to give manufacturers
the opportunity at the time of listing to
identify inactive ingredients that they
consider trade secret and therefore,
prohibited from disclosure under
§ 20.61. There may be other appropriate
reasons for exempting certain drug
listing and registration information from
public disclosure. For example, FDA
may decide for security reasons, and
consistent with the Freedom of
Information Act, not to publicly disclose
the manufacturing site location for
certain drugs.

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G. Conforming Actions
1. Withdrawal from Sale of Drugs with
Approved Marketing Applications
We are proposing to revise our human
drug regulations on applications for
approval to market a new drug to make
them consistent with proposed part 207.
Under current § 314.81(b)(3)(iii)(a),
holders of new drug applications must
report to us the withdrawal from sale of
a drug product. Under this provision,
the information must be submitted on
Form FDA 2657 within 15 working days
of the drug product’s withdrawal from
sale. The following information must be
submitted: The NDC number; the
identity of the drug by established name
and by proprietary name; the new drug

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application number or abbreviated
application number; and the date of
withdrawal from sale. The reason for
withdrawal of the drug from sale is
requested but not required to be
submitted. Section 314.81(b)(3)(iii)(b)
provides the address for submitting the
completed form, and
§ 314.81(b)(3)(iii)(c) states that reporting
under § 314.81(b)(3)(iii) constitutes
compliance with the requirements
under current § 207.30(a) to report ‘‘at
the discretion of the registrant when the
change occurs.’’
We are proposing to revise this
requirement to be consistent with the
requirements in proposed §§ 207.57 and
207.61. Proposed § 314.81(b)(3)(iii)(a)
would provide that within 30 calendar
days of the withdrawal of an approved
drug from sale, applicants who are
manufacturers, repackers, or relabelers
subject to proposed part 207 would be
required to submit certain information
about the withdrawn drug in electronic
format, in accordance with the
applicable requirements described in
§ 207.61(a).
Under proposed § 314.81(b)(3)(iii)(b),
applicants who are not subject to
proposed part 207 would submit the
information specified under proposed
§ 314.81(b)(3)(iii)(a) on the appropriate
form, which would be submitted to the
Drug Listing Branch, Food and Drug
Administration, CDER Central
Document Room, 5901B Ammendale
Rd., Beltsville, MD 20705–1266. We are
proposing to require applicants who are
subject to proposed part 207 to submit
the information specified under
proposed § 314.81(b)(3)(iii)(a) in
electronic format, in accordance with
the applicable requirements described
in proposed § 207.61(a). Consistent with
the proposed requirements in § 207.61,
and discussed in section IV.E.3 of this
document, these applicants would be
required to obtain an account number,
user name, and password to sign onto
the electronic drug registration and
listing system. We are considering this
requirement because we believe the
electronic submission of this
information would be more efficient for
applicants than the preparation and
mailing of paper forms. Electronic
submission would also make our review
and processing of this information more
efficient. We request comments on
requiring applicants who are not subject
to proposed part 207 to submit
electronically the information specified
in proposed § 314.81(b)(3)(iii)(a).
Currently, we do not have a provision
in our regulations for reporting
withdrawals from sale of biological
products. We are proposing to revise our
regulations to include such a provision.

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Under proposed § 601.2(f), holders of
BLAs must report to us, electronically in
accordance with part 207, the
withdrawal from sale of licensed
biological products. The information
must be submitted to us within 30
working days of the biological product’s
withdrawal from sale. The following
information would be submitted: The
holder’s name; product name; BLA
number; the NDC number, if applicable;
and the date of withdrawal from sale.
The reason for the withdrawal of the
biological product would be requested
but not required.
2. Proposed Revisions to Other
Regulations
In addition to the revisions of
regulations discussed previously in this
document, we are also proposing
revisions to other FDA regulations as a
result of this proposed rule. The
proposed revisions are as follows:
• Section 20.100(c)(9): The reference
to § 207.37 would be changed to
§ 207.81 to correspond to the proposed
provision on disclosure of registration
and listing information.
• Section 20.116: The reference to
§ 207.37 would be changed to § 207.81
to correspond to the proposed provision
on disclosure of registration and listing
information.
• Section 201.1(f): The reference to
§ 207.3(b) would be changed to § 207.1
to correspond to the proposed
definitions section.
• Section 330.1(b): As explained in
section IV.C.5 of this document, the
NDC number would be required to
appear on OTC drug labels.
• Section 514.111(a)(12): As
explained in section IV.B.2 of this
document, we would refuse to approve
an NADA if the drug is manufactured in
an establishment that is not registered.
• Section 515.10(b)(8): The reference
to ‘‘§§ 207.20 and 207.21’’ would be
changed to ‘‘part 207’’ as a result of the
proposed reorganization and revision of
part 207.
• Section 607.3(b): Current § 607.3(b)
defines ‘‘blood and blood product’’ to
mean a drug which consists of human
whole blood, plasma, or serum or any
product derived from human whole
blood, plasma, or serum, hereinafter
referred to as ‘‘blood product.’’ The
current definition also states that ‘‘blood
and blood product’’ also means those
products that meet the definition of a
device under the act and that are
licensed under section 351 of the PHS
Act. We are proposing to amend this
definition to add the phrase ‘‘as well as
licensed biologic components used in
the manufacture of a licensed device.’’
This proposed revision is intended to

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clarify that licensed biologic
components used in the manufacture of
a licensed device are covered under the
definition of ‘‘blood and blood product’’
and that manufacturers of licensed
biologic components used in the
manufacture of a licensed device are
required to register and list under part
607. It is important that manufacturers
of licensed biologic components used in
the manufacture of a licensed device
register and list because licensed
devices are used to ensure the safety of
blood and blood products.
• Section 607.3(k): We are proposing
to define ‘‘importer’’ as a company or
individual in the United States that is
the owner, consignee, or recipient of the
foreign establishment’s blood product
that is imported into the United States.
• Section 607.7: Current § 607.7(a)
states that all owners or operators of
establishments that engage in the
manufacturing of blood and blood
products are required to register, and
that registration and listing of blood and
blood products must comply with part
607. Current § 607.7(a) also states that
registration does not permit blood banks
or similar establishments to ship blood
products in interstate commerce.
Current § 607.7(b) and (c) explain how
the registration form for these
establishments may be obtained from
CBER and where the completed form
should be mailed to.
We are proposing to delete current
§ 607.7(b) and (c) and explain where to
obtain establishment registration forms
and where to send completed forms in
proposed § 607.22(b) (discussed below
in this document). We are deleting these
provisions from current § 607.7 to
eliminate redundancy in part 607. We
are proposing to redesignate paragraph
(a) in § 607.7 as the introductory
paragraph.
• Section 607.22: For clarity, we are
proposing to revise the title of current
§ 607.22—‘‘How and where to register
establishments and list blood
products’’—to read ‘‘How to register
blood product establishments and list
blood products.’’
Current § 607.22(a) requires the first
registration of an establishment to be on
Form FDA 2830 (Blood Establishment
Registration and Product Listing),
provides the mailing address where the
Form FDA 2830 may be obtained and
submitted, states that FDA will furnish
a Form FDA 2830 before November 15
of each year to establishments whose
registration for that year was validated
under § 607.35, and states that the
completed form must be mailed to us
before December 31 of that year. Current
§ 607.22(b) states that the first and

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subsequent blood product listing
updates shall be on Form FDA 2830.
We are proposing to reorganize and
update current § 607.22 as follows:
Initial and subsequent registrations and
product listings by a blood product
establishment for blood products would
be on Form FDA 2830 (Blood
Establishment Registration and Product
Listing). Manufacturers may obtain,
complete, and submit the form in the
following ways:
• Complete the form online and
submit electronically at http://
www.fda.gov/cber/blood/bldreg.htm;
this information must be submitted in
accordance with part 11 of this chapter,
except for the requirements in
§ 11.10(b), (c), and (e) and the
corresponding requirements in § 11.30
(as discussed in section IV.E.7 of this
document); or
• Download the form from the
Internet at http://www.fda.gov/cber/
blood/bldreg.htm, and mail the
completed form to the address in
§ 607.22(e); or
• Request the form by mail using the
address in § 607.22(e), or by e-mail at
[email protected], and mail the
completed form to the address in
§ 607.22(e).
• For subsequent annual registration
renewals, we will furnish the
establishment’s most recent Form FDA
2830 before November 15 of each year.
The updated Form FDA 2830 would be
submitted to us before December 31 of
that year.
• Forms may be requested from and
mailed to: Center for Biologics
Evaluation and Research (HFM–370),
1401 Rockville Pike, suite 200N,
Rockville, MD 20852–1448.
We are proposing these revisions to
current § 607.22 to make the registration
and blood product listing process for
blood product establishments more
efficient by utilizing the latest
technology for completing and
submitting registration and listing
forms.
• Section 607.25(b)(1): Current
§ 607.25(b) lists the information
required for blood product listing.
Currently, blood establishments that
manufacture bulk product substances
and finished dosage forms must list
their products under part 607 and also
under part 207 to receive a NDC
number. We are proposing to revise
current § 607.25(b)(1) to delete the
phrase ‘‘including bulk product
substances as well as finished dosage
forms’’ because we are proposing to
require these manufacturers to list only
under part 207 to reduce their reporting
burden. In addition, we are proposing to
add the phrase ‘‘if any’’ after ‘‘by

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proprietary name’’ because not all of
these products have a proprietary name.
We are also proposing to delete the
reference to Form FDA 2250 (National
Drug Code Directory Input) because this
form is no longer being used by CDER
or CBER.
• Section 607.35: For clarity, we are
proposing to revise the title of current
§ 607.35—‘‘Notification of registrant;
blood product establishment registration
number and NDC Labeler Code’’—to
read ‘‘Blood product establishment
registration number.’’
Current § 607.35(a) states that FDA
will send a validated copy of Form FDA
2830 as evidence of registration to the
registering establishment, and that FDA
will assign a permanent registration
number to each establishment. We are
proposing to revoke the provision that
we will send a validated copy of Form
FDA 2830 to blood establishments. All
registration information will be
available to registered blood
establishments on the Internet;
therefore, to increase efficiency we will
discontinue sending the validated copy
of Form FDA 2830. Proposed § 607.35
would state only that we will assign a
permanent registration number to each
blood product establishment registered
in accordance with part 607.
Current § 607.35(b) states that if a
registered blood product establishment
has not previously participated in the
NDC system or in the National Health
Related Items Code system, the NDC
numbering system must be used. We are
proposing to revoke this section because
blood product manufacturers that obtain
a NDC number for their products will
register under proposed part 207 and
not under part 607. We are also
proposing to delete reference to the
National Health Related Items Code
system because it is a voluntary system
for medical device manufacturers that is
managed by CDRH.
Current § 607.35(c) states that
although establishment registration and
blood product listing are required,
validation of registration and the
assignment of a NDC Labeler Code do
not, in themselves, establish that the
holder of the registration is legally
qualified to deal in such products. We
are proposing to incorporate into
proposed § 607.39 the provision that
validation of registration does not
establish that the holder of the
registration is legally qualified to deal in
such products. We are proposing to
revoke the provision concerning the
assignment of a Labeler Code because
the NDC number requirements would be
covered under proposed part 207 and
not proposed part 607.

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• Section 607.37(a): Current
§ 607.37(a) states that a copy of Form
FDA 2830 will be available for
inspection under section 510(f) of the
act at FDA headquarters and at each of
the FDA district offices. In addition,
current § 607.37(a) states that FDA will
provide by mail verification of
registration number and location of a
registered establishment. Current
§ 607.37(a) also gives examples of the
blood product listing information that
will be available for public disclosure.
Under proposed § 607.37(a),
information submitted on Form FDA
2830 would be available for inspection
at http://www.fda.gov/cber/blood/
bldregdata.htm and at the Department
of Health and Human Services, Food
and Drug Administration, Office of
Communication, Training, and
Manufacturers Assistance (HFM–40),
Center for Biologics Evaluation and
Research, 1401 Rockville Pike, suite
200N, Rockville, MD 20852–1448.
• Section 607.39: Current § 607.39
states that registration of an
establishment or assignment of a
registration number or assignment of a
NDC number does not in any way
denote approval of the firm or its
products, and that any representation
that creates an impression of official
approval because of registration is
misleading and constitutes misbranding.
We are proposing to revise current
§ 607.39 to delete the reference to the
NDC number, to incorporate the
provision from current § 607.35(c) that
validation of registration does not
establish that the holder of registration
is legally qualified to deal in blood
products, and to revise the title
accordingly. Manufacturers of blood
products that obtain a NDC number
would not register under proposed part
607; therefore, it is not necessary to
reference NDC numbers under this part.
Proposed § 607.39 would state that
registration of an establishment,
validating registration, or obtaining a
registration number does not in any way
denote approval of the firm or its
products nor does it establish legal
authority for the holder of the
registration number to market such
products.
• Section 607.40: As discussed in
section IV.A.2 of this document, we are
proposing to revoke current § 207.40,
establishment registration and drug
listing requirements for foreign
establishments, and revise and move the
requirements elsewhere in proposed
part 207. Consistent with the revisions
to proposed part 207, we are proposing
to revoke certain provisions of current
§ 607.40(a) and (b). We are proposing to
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§ 607.40(a) relating to foreign
establishments whose blood products
enter a foreign trade zone and are
reexported from that foreign trade zone
without having entered United States
commerce. We are also proposing to
revoke, in part, current § 607.40(b),
which allows for blood, blood
components, Source Plasma, or Source
Leukocytes, or a component or part,
under section 801(d)(4) of the act, to be
imported or offered for import into the
United States even if the product is not
listed and manufactured, prepared,
propagated, compounded, or processed
at a registered foreign establishment. We
are proposing to eliminate these two
exemptions because of certain statutory
changes that have occurred since the
publication of the final rule on foreign
establishment registration and listing.
Those changes include, as discussed in
section IV.A.2 of this document,
enactment of the Bioterrorism Act,
which reflects Congress’ desire to
increase the Nation’s ability to prepare
for and respond effectively to
bioterrorism and other public health
emergencies. Consistent with the
provisions of the Bioterrorism Act, we
are proposing to amend § 607.40(c) to
require each foreign establishment to
submit the name of each importer of the
foreign establishment’s blood products
that is known to the establishment, and
the name of each person who imports or
offers for import such blood products to
the United States.
We are also proposing to amend
§§ 607.40(d) and (d)(3) to require each
foreign establishment to submit the
telephone and fax numbers and e-mail
address of its United States agent. The
name, address, and phone number of
the United States agent is required
under current § 607.40(d). We are
proposing to require the submission of
the information on importers and
persons who import because the
Bioterrorism Act requires foreign
establishments to submit, among other
things, the name of each importer of
such blood product that is known to the
establishment, and the name of each
person who imports or offers for import
such blood product to the United States
for purposes of importation. In addition
to the name, the proposal would require
that the address, telephone and fax
numbers, and e-mail address of each
importer and of each person who
imports or offers for import be provided
to enable us to contact these persons.
Proposed § 607.40(d)(3) would also
require the foreign establishment to
report changes in the United States
agent’s name, address, telephone and
fax numbers, and e-mail address to FDA

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within 30 calendar days of the change.
Currently, § 607.40(d)(3) requires
notification to FDA within 10-business
days.
Proposed § 607.40(e) would make
electronic registration and listing
mandatory for foreign establishments,
consistent with proposed § 607.22(a).
For those foreign establishments that are
unable to register and list blood
products using the electronic
registration and listing system, we are
proposing waiver provisions in
§ 607.40(f)(1). We may grant a request
for a waiver from a foreign
establishment if the foreign
establishment does not have an e-mail
address and access to a computer and an
Internet service provider that can access
the electronic registration and listing
system. We are also proposing in
§ 607.40(f)(2) to require that waiver
requests include a telephone number
and/or mailing address where the
agency can contact the foreign
establishment. In addition, we are
proposing to add § 607.40(f)(3) which
states that if the agency grants the
waiver request, the foreign
establishment must register and list
blood products in accordance with
§ 607.22(b) or (c).
• Section 607.65: Proposed § 607.65
would be amended by redesignating
paragraph (f) as paragraph (g) and by
adding new paragraph (f). Proposed
§ 607.65(f) would exempt certain blood
product manufacturers from registration
and product listing under part 607
because FDA is proposing that
manufacturers of these products register
and list only under part 207. Because
these products routinely bear NDC
numbers, FDA believes it is more
efficient to have manufacturers of these
products register and list under part
207. The products that would be
included under proposed § 607.65(f) are
all plasma derivatives such as albumin,
Immune Globulin, Factor VIII, and
Factor IX, bulk product substances such
as fractionation intermediates or pastes,
recombinant versions of plasma
derivatives or animal derived plasma
derivatives. Under current § 607.20,
manufacturers of plasma derivatives
such as albumin, Immune Globulin,
Factor VIII, and Factor IX are required
to register and list under part 607 and
under part 207 to obtain an NDC
number.
• Sections 1271.1(a), 1271.1(b)(2),
and 1271.20: We are proposing to
amend §§ 1271.1(a), 1271.1(b)(2), and
1271.20 by removing ‘‘207.20(f)’’ and by
adding in its place ‘‘207.9(c)(2)’’.
• Section 1271.3: For consistency
with parts 207 and 607, we are
proposing to define ‘‘importer’’ at

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proposed § 1271.3(mm) to mean a
company or individual in the United
States that is the owner or consignee or
recipient of the foreign establishment’s
HCT/P that is imported into the United
States. For consistency with part 607,
we are proposing to define ‘‘United
States agent’’ at proposed § 1271.3(nn)
to mean a person residing or
maintaining a place of business in the
United States whom a foreign
establishment designates as its agent.
The definition of ‘‘United States agent’’
would exclude mailboxes, answering
machines or services, or other places
where an individual acting as the
foreign establishment’s agent is not
physically present. The United States
agent would be responsible for helping
FDA communicate with you,
responding to questions concerning
your HCT/Ps that are imported or
offered for import to the United States,
and helping FDA schedule inspections.
• Section 1271.22: We are proposing
to make electronic registration and
listing mandatory for HCT/P
establishments. As a result, we are
proposing to revise current § 1271.22 as
follows:
Replace ‘‘Form FDA 3356’’ in current
§ 1271.22(a) with ‘‘the electronic
registration and listing system at http://
www.fda.gov/cber/tissue/tisreg.htm’’;
Revise current § 1271.22(b) and (c) to
implement the electronic registration
and listing system at http://
www.fda.gov/cber/tissue/tisreg.htm and
remove references such as ‘‘Form FDA
3356,’’ mailing addresses, and telephone
numbers.
In the Federal Register of January 19,
2001 (‘‘Human Cells, Tissues, and
Cellular and Tissue-Based Products;
Establishment Registration and Listing,’’
(66 FR 5447)), FDA announced its
intention to develop an electronic
submission process for HCT/P
registration and listing. The agency has
developed such a system and it is
currently in use on a voluntary basis.
Consistent with proposed
§ 207.61(a)(4), proposed § 1271.22(b)
states that FDA will periodically issue
guidance on how to provide registration
and listing information in electronic
format (for example, method of
transmission, media, file formats,
preparation, and organization of files)
for HCT/Ps.
Consistent with proposed
§ 207.61(a)(1), proposed § 1271.22(c)
states that HCT/P manufacturers must
provide the information under
§ 1271.22(a) in accordance with part 11,
except for the requirements in
§ 11.10(b), (c), and (e) and the
corresponding requirements in § 11.30.

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• Section 1271.23: Proposed
§ 1271.23 would permit HCT/P
establishments that do not have an email address and access to a computer
and an Internet service provider that can
access the Web-based FDA registration
and listing database to request a waiver
from electronic registration and listing.
This is consistent with proposed
§ 207.65 and the Bioterrorism Act.
• Section 1271.25: We are proposing
to amend § 1271.25, ‘‘What information
is required for establishment registration
and HCT/P listing,’’ as follows:
Delete the reference to ‘‘Form FDA
3356’’ in current § 1271.25;
Amend current § 1271.25(a)(2) and
(a)(3) to require the submission of the
telephone and fax numbers and an email address;
Add § 1271.25(a)(5) to require each
foreign establishment to also submit the
name, the address, telephone and fax
numbers, and e-mail address of each
importer that is known to the
establishment and the name of each
person who imports or offers for import
such HCT/P to the United States for
purposes of importation;
Add proposed § 1271.25(a)(6) to
require each foreign establishment to
also submit, the name, address,
telephone and fax numbers, and e-mail
address of its United States agent. Under
proposed § 1271.25(a)(6), each foreign
establishment would have only one
United States agent, and that United
States agent must reside or maintain a
place of business in the United States.
Upon request from FDA, the United
States agent must assist us in
communications with the foreign
establishment, respond to questions
concerning the foreign establishment’s
products that are imported or offered for
import into the United States, and assist
us in scheduling inspections of the
foreign establishment. If we are unable
to contact the foreign establishment
directly or expeditiously, we may
provide information or documents to
the United States agent. The foreign
establishment would report to FDA
changes in the United States agent’s
name, address, telephone and fax
numbers, and e-mail address within 30
calendar days of the change.
Add proposed § 1271.25(d) to clarify
that if your HCT/P is regulated as a
drug, device, and/or biological product
under current § 1271.20, you must
submit the information required under
part 207 using the procedures under
part 1271.
• Section 1271.26: For consistency
with proposed § 207.29(a), we are
proposing to amend current § 1271.26 to
include a change in the United States
agent’s name, address, telephone and

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51325

fax numbers, and e-mail address. All
changes in proposed § 1271.26 would be
reported within 30 calendar days
instead of the current requirement to
report the change within 5 days.
• Section 1271.37 would be revised to
delete the reference to ‘‘Form FDA
3356’’.
3. Compliance Verification Reports
On November 26, 2004 (69 FR 68831),
FDA withdrew its September 2, 1993,
proposal (58 FR 46587; Docket Number
92N–0291) to amend part 207 to require
the completion of ‘‘compliance
verification reports.’’ These reports are
printouts of information as reported to
FDA on Form FDA 2657 or Form FDA
2658. FDA had periodically mailed to
domestic establishments the compliance
verification report for listed prescription
drugs and requested that the
establishments verify or correct the
information and return it to the agency
within 30 calendar days. The
completion of the report served to
satisfy, in most cases, the drug listing
updates required under current
§ 207.30(a). FDA provided this service
to increase the accuracy of its
computerized drug listing files. Because
FDA is now proposing to require the
electronic submission of all registration
and most listing information, FDA in
anticipation of this proposal has already
withdrawn the September 2, 1993,
proposal and has discontinued the use
of the compliance verification reports.
Electronic submission of registration
and most listing information would
make it easier for establishments to
register and list. In addition, FDA’s
electronic registration and listing
database would save registration and
listing information that was submitted,
thereby making it easier for
establishments to access, review, and
update information.
V. Legal Authority
We have the legal authority to amend
our regulations on foreign and domestic
establishment registration and listing for
human drugs, including drugs that are
regulated under a BLA, and animal
drugs. The statutory basis for our
authority includes sections 201, 301,
501, 502, 503, 505, 506, 506A, 506B,
506C, 510, 512, 513–516, 518–520, 701,
704, 721, 801, and 903 of the act (21
U.S.C. 321, 331, 351, 352, 353, 355, 356,
356a, 356b, 356c, 360, 360b, 360c–360f,
360h–360j, 371, 374, 379e, 381, and
393); 15 U.S.C. 1451–1561; the PHS Act;
and section 122, Public Law 105–115,
111 Stat. 2322 (21 U.S.C. 355 note).
Section 510(c) of the act requires
every person upon first engaging in the
manufacture, preparation, propagation,

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compounding, or processing of a drug to
immediately register with the Secretary
his name, place of business, and the
establishment. The provisions in section
510(b) and (d) of the act require annual
registration and registration of
additional establishments, respectively.
Section 510(i) of the act requires any
establishment within any foreign
country engaged in the manufacture,
preparation, propagation, compounding,
or processing of a drug that is imported
or offered for import into the United
States to register with the Secretary by
providing certain information. These
provisions, together with section 701(a)
of the act (among others), authorize us
to require the submission of the
registration information specified in the
proposal. The information specified in
this proposal would help us identify
who is manufacturing, repacking,
relabeling, or salvaging drugs and where
those operations are being performed. In
addition, some information (e.g., official
contact information) would help us
communicate with establishments more
effectively and schedule inspections
more efficiently.
Section 510(j)(1) of the act requires
every person who registers to file with
the Secretary, at the time of registration,
a list of all drugs that are being
manufactured, prepared, propagated,
compounded, or processed by the
registrant for commercial distribution.
That list must be prepared in the form
and manner prescribed by the Secretary
and must be accompanied by a copy of
labeling (or the label and package insert)
and, in some cases, advertising. Section
510(j)(2) of the act requires listing
information updates every June and
December. This listing information gives
us a current inventory of marketed
drugs. These provisions of the act and
others, together with section 701(a) of
the act, provide authority for requiring
the submission of listing information set
forth in this proposal. The drug listing
information specified in this proposal
would help us: (1) Develop a more
current, robust inventory of drugs as a
counter-terrorism measure; (2) more
effectively administer our postmarketing
surveillance programs; (3) facilitate
recalls of products; (4) identify drugs or
ingredients in short supply in the event
of a national emergency; and (5) identify
drugs marketed in violation of the law.
Sections 510(j)(1), (i), and (p), and
701(a) of the act also give us the
discretion to require that registration
and listing information be submitted in
electronic format. Electronic receipt of
registration and listing information
would enable us to shift resources from
more ministerial tasks, such as data
entry, to the important public health

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objectives described previously in this
document. Additional authority for
requiring that content of labeling be
submitted in electronic form stems
from, among others, sections 201(n) and
(p), 501, 502, 503, 505, 510(j)(1)(A) and
(j)(1)(B), and 512 of the act. The
certification requirement would help us
with the efficient enforcement of the act
because we would be able to distinguish
between situations where there has been
noncompliance with registration and
listing requirements from situations
where there have been no changes in
information. The failure to register or
list is a prohibited act under section
301(p) of the act and the failure to do
either renders a drug misbranded under
section 502(o) of the act.
We also have the authority to require
the appropriate NDC number (in
human-readable form) on certain drug
labels for the efficient enforcement of
various sections of the act. The
appropriate NDC number in human
readable form would, among other
things, serve as a backup for the
appropriate NDC number encoded in
the bar code. That is, the human
readable form of the NDC number could
be manually keyed into a computer
system by a health care provider if the
bar code is damaged, cannot be read, or
is otherwise illegible. Our legal
authority to impose the human readable
NDC number requirement, at least in
part, is similar to that for requiring bar
codes on labels (69 FR 9120, 9147–
9149). These sections include sections
201(n) and (p), 501, 502, 503, 505, and
701(a) of the act, and sections 351 and
361 of the PHS Act.
Other sections of the act also provide
authority for the human-readable NDC
number requirement. The failure to
register and list are prohibited acts and
render drugs misbranded under sections
301(p) and 502(o) of the act. It would be
possible for FDA investigators to read
the NDC number on the drug’s label and
review information in our database to
ascertain compliance with registration
and listing requirements. Where a drug
does not bear the appropriate NDC
number, investigators can conduct
further followup to discern, for
example, whether there has been a
failure to comply with registration and
listing requirements (including those for
NDC numbers). Accordingly, sections
201, 301(p), 502(o), 510, and 701(a) of
the act provide additional authority for
requiring the appropriate NDC number
in human readable form on certain drug
labels.
There is also additional legal
authority for the rule’s requirements as
to biological products regulated under
the PHS Act. Section 351(a) of the PHS

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Act provides for the approval, as well as
the suspension and revocation, of
biologics license applications. The
human-readable NDC requirement for
biological drugs and blood and blood
components is designed to ensure the
continued safe and effective use of
licensed biological products.
Additionally, section 361 of the PHS
Act authorizes regulations necessary to
prevent the introduction, transmission,
or spread of communicable diseases.
With specific regard to blood and blood
components, the human- readable NDC
number requirement will aid in the
control of units that are at risk of
spreading communicable diseases.
VI. Analysis of Economic Impacts
A. Introduction
We have examined the proposed rule
under Executive Order 12866 and the
Regulatory Flexibility Act (5 U.S.C.
601–612), and the Unfunded Mandates
Reform Act of 1995 (Public Law 104–4),
and the Congressional Review Act.
Executive Order 12866 directs
regulatory agencies to assess all costs
and benefits of available regulatory
alternatives and, when regulation is
necessary, to select regulatory
approaches that maximize net benefits
(including potential economic,
environmental, public health and safety,
and other advantages; distributive
impacts; and equity). This proposed rule
is not considered economically
significant under Executive Order
12866.
Under the Regulatory Flexibility Act
(as amended by the Small Business
Regulatory Enforcement Fairness Act), if
a regulation has a significant economic
impact on a substantial number of small
entities, we must analyze regulatory
options that would minimize the impact
on small entities. We have conducted a
preliminary regulatory flexibility
analysis for the proposed rule, and we
believe it will not have a significant
impact on a substantial number of small
entities.
Section 202(a) of the Unfunded
Mandates Reform Act of 1995 (UMRA)
requires that agencies prepare a written
statement of anticipated costs and
benefits before proposing any rule that
may result in expenditures by State,
local, and tribal governments, in the
aggregate, or by the private sector of
$100 million (adjusted annually for
inflation) in any one year. Currently,
such a statement is required if costs
exceed about $115 million for any one
year. UMRA does not require us to
prepare a statement of costs and benefits
for the proposed rule because the
proposed rule is not expected to result

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Federal Register / Vol. 71, No. 167 / Tuesday, August 29, 2006 / Proposed Rules
in any 1-year expenditure that would
exceed $115 million.
The Congressional Review Act
requires that regulations determined to
be major must be submitted to Congress
before taking effect.

We contracted with the Eastern
Research Group, Inc. (ERG), to collect
data, interview industry experts, and
estimate the costs and benefits of the
proposed rule. The analysis and
references in support of the effects of
the proposed rule are summarized in

51327

table 2 and are included in the docket
as Reference 3. Although we were
unable to quantify specific benefits
attributable to the proposed rule, we
believe the ultimate use of electronic
registration and listing data justify
taking this action.

TABLE 2.—SUMMARY OF ANNUAL COSTS AND BENEFITS OF THE PROPOSED RULE1
Average Annual
Costs (in Millions)

Annual Discount Rate

Average Annual Net
Benefits

Average Annual Benefits

3%

$5.6

Unquantified. Benefits accrue by having accurate and unique identification of drugs that would allow greater use of technology.

N/A

7%

$5.8

Unquantified. Benefits accrue by having accurate and unique identification of drugs that would allow greater use of technology.

N/A

1Based

on 10-year evaluation period.

B. Objective
The objective of the proposed
regulation is to update our process for
registering drug establishments and
listing drugs. The current system does
not allow for timely updates of
important information and the current
system for NDC numbers has introduced
the potential for the misidentification
and mistaken administration of drugs.
We believe that electronic submission of
registration and listing information, as
well as our assignment of specific
identifiers (i.e., the NDC number),
would improve the quality and
timeliness of information available to
health care professionals and
consumers. We further believe that
these quality improvements would
result in safer and more effective use of
drugs by providing up-to-date and easily
accessible relevant information. We also
believe that we should develop and
maintain a high quality database of
drugs available on the market to
enhance future uses of technology in the
delivery of health care.
C. Baseline Conditions and Scope
As discussed elsewhere in this
preamble, we currently maintain
databases that contain establishment
registration and drug listing
information. However, these databases
rely on paper forms that manufacturers,
repackers, relabelers, drug product
salvagers, and private label distributors
of drugs (both human and animal) must

submit to us. The completed forms are
then entered into our databases. These
databases are intended to include
identification of establishments
involved in the manufacturing,
preparation, propagation, compounding
or processing of drugs, including the
repacking, relabeling, and salvaging of
drugs (human and animal prescription
and OTC drugs, as well as active
pharmaceutical ingredients), the
procedures that take place at each
establishment (e.g., repacking, or
relabeling), and a list of each drug being
manufactured, prepared, propagated,
compounded, or processed for
commercial distribution at each site. We
rely on these databases to identify
manufacturers, repackers, relabelers,
drug product salvagers, and private
label distributors, of human and animal
drugs, specific drugs or ingredients, to
facilitate recalls or information alerts in
the case of potential safety concerns,
and to otherwise exercise competent
oversight of this important industry.
The quality and completeness of these
databases depends on prompt
submission of updated information from
manufacturers, repackers, relabelers,
drug product salvagers, and (currently)
private label distributors, as well as our
immediate inclusion of the data into our
system. We are currently unable to
verify the accuracy of the information
submitted, and some manufacturers,
repackers, relabelers, drug product
salvagers, and private label distributors

are not prompt in informing us of
changes. For example, some changes in
processing or packaging might be
submitted periodically rather than when
such changes actually occur. In
addition, forms may be mishandled, or
even lost, which further reduces
confidence in the databases.
Using a 5-digit labeler code, we
estimate that we have the capacity for
NDC numbers for up to 100,000
registered establishments, each having a
capacity for up to 100,000 product/
package size combinations (using the 5
remaining digits). If a registered
establishment requires more than
100,000 product/package size codes, we
could issue that establishment an
additional labeler code. We currently
have about 25,000 active establishments
in our registration database, utilizing
less than half of the 5-digit labeler code
capacity. We currently issue about 1,000
new labeler codes annually. If we reach
NDC number capacity (possibly in 30 to
50 years), we could propose to either
add alphanumeric capability or expand
the number of numeric digits to 11 or
12 (current § 207.35(b)(2)(i) states that
FDA will go from a 5- to 6-digit labeler
code if needed). This change in NDC
numbers will necessitate advances in
current UPC technology (due to the
need for bar code reading), which we
anticipate will likely occur prior to our
reaching the 10-digit NDC numeric
capacity.

TABLE 2A.—COUNT OF POTENTIALLY AFFECTED HEALTHCARE ENTITIES
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Type of Entity

Establishments

Pharmaceutical manufacturers
(human)

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Source

Additional Comment

Orange Book,
2003

Includes only those pharmaceutical firms that have at least one
currently marketed product in the United States. Might be an
overestimate due to the possibility of applicant name duplication
in the database. Does not include firms that only manufacture
unapproved drug products.

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TABLE 2A.—COUNT OF POTENTIALLY AFFECTED HEALTHCARE ENTITIES—Continued
Type of Entity

Establishments

Source

Additional Comment

Census, 2004

Includes firms that own establishments that manufacture animal
drugs. Includes some firms that manufacture both human and
animal drugs, so overstates the number that manufacture animal
drugs exclusively. Does not include firms that only manufacture
unapproved drug products.

67,434

Listed below

25

NWDA, 2000

Sum of pharmacy categories (chain store headquarters offices are
not counted in this total)
Covers headquarters for firms ranging from CVS (4,100 stores) to
companies operating over approximately 35 stores.
National Association of Chain Drug Stores Web site (http://
www.nacds.org)
National Community Pharmacists Association Web site (http://
www.ncpanet.org)
National Association of Chain Drug Stores Web site (http://
www.nacds.org)
National Association of Chain Drug Stores Web site (http://
www.nacds.org)
Profile of the Pharmaceutical Compounding Industry: Draft Final
Report. Submitted to FDA, Office of Policy, Planning, and Legislation, Office of the Commissioner, August 27, 2001.
Based on discussions with Winkelman (2004)

Pharmaceutical manufacturers
(animal)

80

Pharmacies
Chain store (headquarters office)
Chain

20,493

NACDS, 2001

Independent

24,500

NCPA, 2002

Mass merchant

5,910

NACDS, 2001

Supermarket

8,531

NACDS, 2001

Institutional

7,950

ERG, 2001

50

ERG, 2001

76

ERG, 2001

Profile of the Prescription Drug Wholesaling Industry: Final Report,
February 12, 2001. Submitted to Office of Policy, Planning, and
Legislation, Office of the Commissioner, FDA. The figure is reported by SMG Marketing Group, Inc.

6,116

AHA, 2002

American Hospital Association Web site (http://www.ahadata.org)

5

ERG, 2004

Estimate based on discussions with Winkelman (2004)

6,500

ERG, 2001

Profile of the Prescription Drug Wholesaling Industry: Final Report,
February 12, 2001. Submitted to Office of Policy, Planning, and
Legislation, Office of the Commissioner, FDA. The report notes
that this is probably an underestimate.

701

ERG, 2001

See note in previous row.

50

ERG, 2003

Allocated one per State.

Mail order
Pharmacy benefit management
companies (PBMs)

Hospitals
Compendium companies
Wholesalers/distributors

Group purchasing organizations
State Medicare agencies
Physician offices

195,655

Census, 2000

NAICS 62111 from County Business Patterns 2000, U.S. Census
Bureau.

Dentist offices

116,494

Census, 2000

NAICS 62121 from County Business Patterns 2000, U.S. Census
Bureau.

jlentini on PROD1PC65 with PROPOSAL2

Note: ERG did not include various health care facilities, such as nursing homes and rehabilitative care facilities, that generally do not have onsite pharmacies.

The pharmaceutical and biological
products industries (as defined by the
North American Industrial
Classification System (NAICS)) consist
of 1,218 establishments (NAICS 325412
and NAICS 325414). ERG examined the
2003 ‘‘Approved Drug Products With
Therapeutic Equivalence Evaluations’’
(the ‘‘Orange Book’’) to estimate the
number of companies currently
operating establishments that are
marketing drugs. While the Orange Book
covers only products approved under
section 505 of the act, there is sufficient
overlap between manufacturers of
products listed in the Orange Book and
manufacturers of other types of products
(e.g., manufacturers of OTC monograph
products and animal drugs) to provide

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a basis for estimating the industry sector
affected by the proposed rule. ERG
estimates that a total of 666 companies
own and operate manufacturing
establishments. In addition, according
to U.S. Census data, there are an
estimated 80 companies that
manufacture animal drugs in the United
States. (There is likely overlap between
human and animal drug companies.)
Finally, the packaging and labeling
services industry (NAICS 561910)
consists of 229 companies. Each of these
establishments would be affected by the
proposed rule.
Several provisions of the proposed
rule affect establishments rather than
companies. We used FDA’s drug

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registration system to estimate that there
are approximately 9,700 domestic sites.
There are approximately 200,000
distinct packaged products of human
and animal (both prescription and OTC)
drugs. The information generated by the
drug listing process is used by many
organizations for many purposes. Each
specific drug is entered into our listing
database. If the drug is later withdrawn
from the market, for example, this is
also noted. The pharmaceutical industry
is undergoing corporate changes
through mergers, acquisitions, and
closings. These activities result in
additional reporting requirements (via
the current paper system) to keep our
databases up-to-date. However, the
magnitude of information required to

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keep the system current and the number
of activities that would generate changes
in the data have weakened our ability to
rely on the current database.
In addition, the current drug listing
system includes the use of the NDC
system. Using this system,
manufacturers, repackers, and relabelers
of drugs (including human prescription,
human OTC, certain biologics, and
animal drugs) assign unique NDC
numbers to each drug. An NDC number
consists of 10 characters, including a 4or 5- character labeler code, a 4- or 3character product code, and a 1- or 2character package code, and is
presented in one of three formats (4–4–
2, 5–3–2, or 5–4–1). Manufacturers,
repackers, and relabelers notify us of the
assigned NDC number at the time of
drug listing, and the numbers may be
printed on the label and labeling of each
drug.
As discussed earlier in this document,
we currently assign the labeler code to
registered manufacturers, repackers, and
relabelers of drugs. The manufacturer,
repacker, or relabeler assigns the
product code and package code to its
drugs and must report the NDC number
to us. Currently, when a manufacturer,
repacker, or relabeler withdraws a drug
from the distribution chain, NDC
numbers for the discontinued drugs may
be reused after 5 years.
This process and format for NDC
numbers was introduced over 20 years
ago as a means of identifying individual
drugs by distinguishing, among other
things, between specific strengths and
package sizes for reimbursement
purposes. Since the NDC system was
created in 1969, a variety of uses for the
NDC number have developed within the
healthcare industry.
We have used the NDC number to
facilitate recalls of drugs for a number
of years. The identification system
allows for notification throughout the
distribution chain in the event of a
recall or other warning about specific
drugs.
The development of computerized
systems and the ability to electronically
transmit information have had a major
effect on the ways NDC numbers are
used. Because the NDC numbers are
designed to be unique identifiers, many
sectors of the industry have built
systems to maximize the usefulness of
this information. Compendium service
companies assemble and distribute
information to retail stores, hospitals,
prescription benefit managers (PBMs),
insurance companies, and electronic
medical record companies among other
users. These users rely on NDC numbers
to identify drugs within their tracking or
processing systems. The NDC numbers

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are incorporated into their internal
software to facilitate scanning (such as
by cashiers or hospital personnel) or for
the operation of data processing systems
for reimbursement (both private and
public) or inventory management. In
addition, these compendium databases
often include drug price information
directly associated with the NDC
numbers.
In some cases, the designers of the
information systems that use NDC
numbers convert the NDC number for
use in industry databases. They add a
zero to result in a consistent 11-digit
format (5–4–2). Also, while visual use of
NDC numbers uses hyphens to
differentiate between the labelerproduct-package codes, these hyphens
are not read when scanned (as a bar
code, for example). Because three
formats are used within the current NDC
system, removing hyphens introduces
potential duplicates.
Other government entities, such as the
Center for Medicare and Medicaid
Services (CMS) and the Drug
Enforcement Administration (DEA) use
the NDC numbers to meet their mission
requirements. The numbers are used to
provide data for negotiated rebates or
notification of distribution of controlled
substances.
Companies are continually updating
their drug information and price data.
Generic relabeling companies and OTC
manufacturers often repackage or
remarket their products. These fairly
constant revisions present a challenge to
both compendium companies and us
because maintaining the accuracy of the
NDC database relies on prompt
notification of any changes, but
notification is not always prompt or
consistent.
The NDC components (labeler,
product, and package codes) have
presented issues that may compromise
the current database. For example, we
assign only one labeler code to each
manufacturer, repacker, or relabeler, but
many companies have multiple labeler
codes due to mergers and acquisitions
and may use them to distinguish
between different divisions within the
new company. Pharmaceutical
companies have taken different
approaches to handling product codes.
For example, some firms assign product
codes sequentially while others use
predefined blocks of numbers for each
operating division. Similarly, the
methods used to assign package codes
are not uniform.
Many repackers currently use the
manufacturer’s NDC number instead of
their own when repacking drugs into
smaller packages for pharmacies.
Among the reasons such repackers do

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51329

this is because Medicaid and other
third-party payers use the NDC number
presented on the drug to file rebate
claims with the manufacturers. Such
repackers sometimes present the
manufacturer’s NDC number in an effort
to fall under the manufacturer’s
agreement with payers.
D. The Proposed Regulation
This proposed regulation would
require the electronic submission of
registration and listing information. The
proposed rule would require, for
example, drug product salvagers to list
drugs and would not permit private
label distributors to register
establishments or list drugs, and would
specifically define the responsibilities
associated with each type of
establishment covered by the proposal.
The proposed rule would not permit
manufacturers, repackers, and relabelers
to assign the product code and package
code for newly listed drugs. We would
assign the entire NDC number for drugs.
Under the proposed rule, the
electronic establishment registration
and drug listing system must be used to
enter and update all registration, listing,
and NDC number information no later
than 9 months after the effective date of
a final rule. (We are proposing that any
final rule based on the proposal become
effective 90 days after publication in the
Federal Register.) Manufacturers,
repackers, and relabelers would have
until 9 months after the effective date of
a final rule to review and update the
NDC number information in our
databases for each of their drugs to
ensure that it complies with the
proposal. In addition, manufacturers,
repackers, and relabelers would have,
for prescription drugs, 3 years after the
effective date of a final rule and, for
OTC drugs, 7 years after the effective
date of a final rule, to ensure that the
appropriate NDC number correctly
appears on the label of each of their
listed drugs, in accordance with the
proposal. These costs have been
accounted elsewhere in this analysis.
By requiring electronic drug
registration and listing, this proposed
rule would enhance the use of
technology and provide the basis for
efficiencies in the proper use of drugs.
For example, the use of bar coded
information to avoid adverse events
associated with medication errors
requires consistent information on the
drug label. Other initiatives, such as
electronic prescribing, may require the
electronic accessibility of this
information. This proposed rule would
be an important step for the timely and
useful availability of information that
would benefit patients.

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E. Costs

common practice among manufacturers
is to group reimbursement data by
product code in order to analyze
payment history and resolve disputes
with insurance carriers.
Because new product codes may be
assigned without sequencing under the
proposed rule, this may require
manufacturers to devote more staff-time
to manually group products for rebate
processing. Additional data entry work
would be required if, for example, an
additional data field were added to
reports in order to retain the ability to
sort products on the basis of product
codes.
Market research departments within
the pharmaceutical industry also use the
current configuration of NDC numbers
when conducting analyses that affect
product pricing and packaging. The
ability to sort by product code allows for
efficient use of data records, and
randomization of product codes would
result in additional staff-time to conduct
rebate processing.
Initially, the loss of the ability to
group products based on sequential
product codes could require staff to
either manually sort products or map
the new randomized NDC number into
another, internal sorting system. Over
time, as new NDC numbers are assigned
with new product codes and package
codes, we expect that all manufacturers,
repackers, and relabelers would
eventually use automated mapping
systems to track product codes. ERG has
determined through interviews with
industry information technology staff
that it would take approximately 80
hours of programming to devise,
validate, and introduce an automated
mapping system for each affected
company. In addition, ERG interviews
determined that approximately 100 new
packaged products are marketed per
year for each manufacturer, and it
would take approximately 0.083 hours
(5 minutes) per product to map and
validate the assigned NDC number to a
new internal number for each internal
database. ERG further determined that
an average manufacturer is likely to
have three internal databases that would
utilize the new NDC numbers. Each
manufacturer would require about 25
hours of programmer time per year in
maintenance of these systems. The 2003
Bureau of Labor Statistics (BLS) has
published hourly pay and benefit rates
of $64 for senior computer
programmers. Thus, each manufacturer
would incur first-year costs of about
$5,100 (80 hours x $64 per hour) and
annual costs of about $1,600 (100
product packages x 0.083 hours x 3
databases x $64 per hour). During 2003,
according to estimates based on FDA’s

The major potential cost of the
proposed rule is the assignment of NDC
numbers by FDA. Although the
proposed rule includes a selected
alternative to minimize this cost, the
potential impact could be very large,
and is discussed in the Alternatives
section of this document. Other costs
associated with electronically
submitting registration and listing
information are discussed later. Costs
have been analyzed and discounted
using the methodology suggested by
OMB’s Circular A–4 (September 2003).

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1. Costs of a Single Method of Assigning
NDC Numbers
Currently, each manufacturer,
repacker, and relabeler has its own
method for assigning the product code
and package code to its drugs. Under the
proposed rule, we would assign the
product code and package code.
Existing NDC numbers would not be
affected, as long as they meet the
proposed requirement for NDC
numbers.
Because, the proposed changes to the
NDC numbering system would affect
product codes and package codes, and
because NDC numbers are used by some
sectors of the health care industry for
reimbursement or inventory purposes,
we expect that the proposed changes
would have some effect on the data
processing infrastructure. The primary
area of impact would be in PBM tasks
such as generation and maintenance of
drug formularies for insurance coverage
purposes. Other areas that would be
affected include data analyses
conducted by manufacturers, repackers,
and relabelers, especially with respect
to rebate predictions and market
forecasts.
a. Pharmaceutical manufacturers.
Changes to the NDC number would
likely affect rebate processing by
manufacturers as well as the ability of
pharmaceutical firms to conduct market
research analyses.
Common practice in the prescription
pharmaceutical industry includes
agreements that provide rebates from
manufacturers to large insurance payers
for use of a manufacturer’s drugs by the
insurer’s enrollees. Medicaid and other
large programs have negotiated these
rebates with individual manufacturers.
Each firm’s staff reviews invoices,
makes corrections, resolves disputes,
and remits rebate payments to insurers
based on reported volumes of sales to
patients enrolled in the insurance plans.
Most manufacturers use the current
NDC numbers to identify the dispensed
products during this process. A

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Orange Book and the Census of
Manufacturers, 746 manufacturing
companies marketed at least one
prescription, OTC, or animal drug
product in the United States (666
domestic human drug manufacturers
and 80 domestic animal drug
manufacturers). These manufacturers
would incur first-year costs of $3.8
million ($5,100 x 746 companies) and
annual costs of $1.2 million ($1,600 x
746 companies) because of newly
assigned product codes and package
codes.
Although not included as a cost of the
proposed regulation, we estimate that
foreign manufacturers of drug and
biological products would incur firstyear and annual costs due to the
proposed rule. The magnitude of any
costs would depend on the specific
prevailing wage rate for computer
programmers in the respective
countries. We note that foreign
establishments would also experience
some increase in costs because of the
proposed rule. OMB Circular A–4
allows for the consideration of
regulatory costs to foreign
establishments, and requires such an
analysis if the costs are significant.
However, the relatively small marginal
costs of the proposed rule and the
undertainty of the effect, if any, on
consumer prices convinced us to limit
the analysis on the costs to domestic
establishments and companies.
b. Pharmacies. We believe that retail
pharmacies (that would not be required
to register or list) would generally be
unaffected by the proposed rule because
most pharmacy processing systems do
not use the internal component of NDC
codes. In those cases where pharmacies
use the components, we believe
software vendors will make any
appropriate revisions.
However, ERG found that large
pharmacy chains were concerned about
possible changes in NDC numbers.
Some large chains use the current NDC
numbers for the adjudication of claims.
(‘‘Adjudication’’ refers to the process by
which pharmacists submit
reimbursement claims to customer
health plans.) Most formularies are built
and maintained by PBMs or individual
State Medicaid plans, but the chains
have noted an increase in smaller plans
that are maintained by individual retail
stores. In order to serve these small,
local insurance plans, data entry staff at
the participating stores enter NDC
numbers of the requested drugs using
‘‘wild card’’ symbols (such as asterisks)
to indicate that any number in the wild
card position is acceptable. For
example, the package code of an NDC
number may be entered as a wild card

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symbol to indicate that any package or
strength of the indicated product is
acceptable for reimbursement under that
specific insurance plan. This ability
allows data entry clerks to add groups
of products quickly.
The proposed assignment by us of
product codes and package codes could
affect this practice. Several executives
in the chain drug industry asserted to
ERG that this change would result in
possibly hiring as many as four
additional data entry clerks. Although
other respondents felt that this claim
overstated the expected increased effort,
they could not provide alternative
estimates. According to the BLS, the
annual salary for a data entry operator
in 2003 was $33,240 plus about 38
percent in benefits. We have used
approximately $50,000 per year as
typical annual compensation for this
industry. Therefore, using this estimate
of additional staff, each affected chain
would experience an increased annual
cost of $200,000 (4 additional clerks x
$50,000).
According to the National Wholesale
Drug Association, there are 25 large
chain headquarters offices of
corporations that operate at least 35
separate retail drug store outlets. ERG
expects that only 10 percent of these
corporations would potentially be
affected by the proposed rule because
relatively few chain stores use software
that enables the use of ‘‘wild card’’ data
entry for portions of the NDC numbers.
This results in total industry annual
operating costs of $500,000 (25 large
chain operations x 0.10 x $200,000).
c. Pharmaceutical benefit managers.
PBMs are the entities that build
formularies and adjudication services
for insurance plans. The software used
for these services usually makes use of
the NDC number. For example, when a
PBM builds a formulary for an
insurance plan, the data entry staff may
enter the NDC numbers of the selected
drugs into processing software. As
discussed previously in the section on
the expected effect on retail pharmacy
chains, wild card symbols may be used
to indicate that any number in the
position of the wild card symbol is
acceptable to the formulary and, thus,
reimbursable. This practice works in
cases where the product code of the
NDC number is in sequence. In some
cases, only the labeler code may be
entered and wild card symbols are used
for the rest of the NDC number to signify
that any product from that company
(i.e., manufacturer, repacker, relabeler,
or private label distributor) is
acceptable. This use of wild card
symbols allows data entry clerks to
quickly add groups of products, and

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according to respondents of ERG
interviews, saves substantial time.
Several managers of PBMs suggested
that manual entry of all NDC numbers
would be similar to those of pharmacy
chain operators and could result in
hiring as many as four additional
employees (FTEs) per year. Using the
BLS data, the annual salary of $33,240
and industry benefits of approximately
38 percent of salary results in typical
compensation of around $50,000 per
FTE. If so, then increased costs to PBMs
would be approximately $200,000 per
year per affected PBM (4 additional
clerks x $50,000).
However, not all PBMs would be
affected by this change in NDC
numbers. In discussions with ERG, only
one supplier of adjudication software
was identified as providing the ‘‘wild
card’’ feature. This provider estimated
that his clients constituted about 10
percent of the industry, so we have
assumed that about 10 percent of the
PBMs use this feature. Therefore, ERG
has estimated that only 10 percent of
PBMs would likely experience
increased costs because of the proposed
rule. ERG identified 76 PBMs for a 2001
profile of the prescription drug
wholesaling industry (Ref. 4). Using this
estimate, annual costs of the proposed
rule for this industry segment are
estimated to be $1.5 million (76 PBMs
x 0.10 affected by the proposed rule x
$200,000).
d. Other entities. ERG examined the
potential effect of the proposed
revisions to the NDC number on
hospitals, compendium companies,
wholesalers/distributors, group
purchasers, State Medicaid agencies,
physician offices, and dental offices.
None of these sectors were identified as
being significantly affected by the
proposed rule. These sectors maintained
that as long as the NDC number
maintained its format, any adjustments
would be minimal. In particular,
respondents asserted that preservation
of the labeler code in the NDC number
would be sufficient for many of these
users of NDC numbers. Other users of
the NDC numbers (such as hospitals) are
expected to be able to accommodate any
changes without major modifications to
their data systems.
e. Total costs of NDC number revision.
Overall, we expect that revising the
process by which NDC numbers are
assigned will have a one-time cost
during the first year of $3.8 million and
annual, recurring costs of $3.2 million.
2. Other Costs of the Proposed Rule
Potential costs of the proposed rule
also include: (1) The costs and cost
savings for obtaining NDC numbers and

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recurring electronic registration and
listing submissions; (2) the costs of label
revisions for some drugs to include NDC
numbers; (3) the costs of setting up
electronic submissions of registration
information, listing information, and
content of labeling; and (4) the costs of
continuing the submission of content of
labeling. In addition, discussions with
industry revealed two areas of potential
concern that are not specific costs of the
proposed rule. The first area of concern
is potential delay in the assignment of
NDC numbers, and the second area of
concern is the use of repacker or
relabeler NDC numbers on drug labels
(rather than the manufacturer’s NDC
number) and the effect on negotiated
reimbursements with third-party payers,
including CMS.
a. Costs and cost savings for obtaining
NDC numbers and recurring electronic
registration and listing submissions.
This category consists of eight types of
identified costs or cost savings:
• Costs for prospectively obtaining
NDC numbers for human prescription
drug products, human OTC drug
products, animal prescription drug
products, animal OTC drug products,
and active pharmaceutical ingredients.
• Costs for electronic submission of
new drug listings.
• Costs for electronic submission of
changes to drug listings.
• Costs to certify no drug listing
changes.
• Costs for drug product salvagers to
list.
• Costs to register new establishments
electronically.
• Costs to review and update
establishment registration
electronically, including certifying no
changes.
• Costs to obtain user accounts from
FDA.
Currently, manufacturers, repackers,
relabelers, and drug product salvagers
register establishments and (except for
salvagers) list their drugs. This can be a
time-consuming procedure involving
different forms that collect data for later
computer entry. Forms must be
completed by hand and changes to
information to be submitted to us
require that the entire form be redone.
With electronic submission of this
information under the proposed rule,
information may be keyed in and any
changes may be made to the information
submitted. Information would not have
to be resubmitted each time. We expect
the proposed rule will result in
substantial time and cost savings in the
use of electronic submissions.
New NDC numbers for drugs: ERG
used FDA drug listing data to determine
that over 11,000 new domestic drug

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listings occur each year (foreign drug
listings are not counted in this analysis).
The time required to submit information
and coordinate with FDA for an NDC
number is estimated to be 0.5 hours per
drug (incremental to the time required
for a firm to assign NDC numbers to
themselves.) The BLS reports that the
compensation (including benefits) for a
mid-level manager within this industry
is $51.73. We expect the annual cost to
obtain NDC numbers for new drugs to
equal about $0.3 million (11,000 new
drug listings x 0.5 hours x $51.73 per
hour.)
Electronic submission of new drug
listings: Currently, it takes
approximately 2.5 hours to compile,
copy, and mail drug listings to FDA.
The annual cost for this activity is
currently $1.4 million (11,000 drug
listings x 2.5 hours x $51.73 per hour.)
We expect that this activity will only
require approximately 1 hour per drug
listing if submitted electronically under
the proposed rule. The annual cost
would then be $0.6 million (11,000 new
drug listings x 1 hour x $51.73 per
hour.) Electronic submission of drug
listings would result in annual cost
savings of $0.8 million.
Electronic submission of changes to
drug listings: Currently, any changes to
drug listings entail that the entire form
be redone by hand. Therefore,
approximately 2.5 hours is currently
required to compile, copy, and mail any
change to FDA. FDA’s drug listing data
estimate that there are approximately
36,000 changes to domestic drug listings
each year. The current cost of this
activity is $4.7 million (36,000 annual
changes x 2.5 hours x $51.73 per hour.)
Electronic submission of changes is
expected to require only 0.5 hours per
submission. The expected annual cost of
using electronic submissions would be
$0.9 million (36,000 annual changes x
0.5 hours x $51.73 per hour). Electronic
submission of changes to drug listings
would result in annual cost savings of
$3.8 million.
Electronic certification of no drug
listing changes: As discussed earlier in
this document, there are 83,600
domestic drug listings that must be
reviewed twice a year to certify that
there are no changes to the listing. There
are approximately 36,000 annual
changes to domestic drug listings, so we
expect 131,200 annual certifications
((83,600 drug listings x 2 annual
reviews)—36,000 changes). The time
required to electronically certify that
there have been no changes is not
expected to be more than 0.25 hours (15
minutes.) The total cost of certification
of no drug listing changes is $1.7

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million (131,200 annual certifications x
0.25 hours x $51.73.)
Drug product salvagers: According to
industry experts, only about 5 percent of
all listed drugs may be salvaged during
any year. According to our listing data,
there are approximately 83,600
domestic drug listings (foreign listings
are not counted here), so approximately
4,200 domestic drugs are estimated to be
salvaged each year (83,600 x 0.05.)
Since the original manufacturer usually
acts as the salvager, under the proposed
rule, the original drug listing would be
available electronically and could be
easily copied to produce the drug listing
for the salvaged drug. We expect that
copying and submitting that drug listing
(or withdrawal) would take 0.167 hours
(10 minutes) and result in total annual
costs of only $36,000 (4,200 salvaged
drugs x 0.167 hours x $51.73 per hour.)
Electronic submission of new
establishment registrations: According
to our registration database, there are an
average of approximately 1,100 new
sites registered each year, of which
about 900 are domestic. The current
registration process for new
establishments takes 2.5 hours. The
annual cost to register new
establishments is about $0.1 million
(900 new domestic registrations x 2.5
hours x $51.73 per hour). The proposed
rule will require new registrations to be
done electronically and we expect this
will take approximately 1 hour per
registration. The cost of registering new
establishments with the proposed rule
would equal about $47,000 (900 new
domestic registrations x 1 hour x $51.73
per hour.) The use of electronic
submissions for new establishments
would result in cost savings of about
$0.1 million.
Electronic review and update of
establishment registration: There are
currently 9,700 domestic registered sites
that must reregister each year, including
certification of no changes to their
registration information, and there are
about 1,500 annual updates to domestic
registration forms. The current estimate
for this activity is 2.5 hours per
submission for a current cost of about
$1.4 million ((9,700 registered sites +
1,500 annual updates) x 2.5 hours x
$51.73 per hour). We expect each
annual registration will take 0.5 hours
and each amendment will be expedited
and take only 0.25 hours under the
proposed rule. Annual registration
would have a cost of about $0.3 million
(9,700 registered sites x 0.5 hours x
$51.73 per hour). FDA has estimated
that expedited updates of changes to
registration under the proposed rule
would require only 0.25 hours (15
minutes) per update. The cost of this

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activity under the proposed rule would
be only $20,000 (1,500 annual updates
x 0.25 hours x $51.73 per hour.) This
includes the costs to review and certify
that there are no changes to registration
information. The proposed rule is
expected to result in annual cost savings
of $1.1 million from electronic review
and update of establishment
registration.
FDA user accounts: Prior to
submitting electronic registration and
listing information, the proposed rule
requires manufacturers, repackers,
relabelers, and drug product salvagers to
obtain a user account from FDA. The
proposed rule has us contacting each
manufacturer, repacker, relabeler, and
drug product salvager to request
information to establish an account.
FDA data suggest that 8,300 such
requests would be made, based on
primary registrants, of which 6,700
would be domestic firms. We expect
each request to take about 0.25 hours
(15 minutes.) The total one-time cost of
this requirement is about $0.1 million
(6,700 companies x 0.25 hours x $51.73
per hour.)
Total cost savings of electronic
registration and listing: Overall, the
proposed rule is expected to result in
annual cost savings of approximately
$3.8 million due to electronic
submission of registration and listing
information. There is a one-time cost of
$0.1 million for obtaining FDA user
accounts.
Some manufacturers expressed
concerns about potential time lags due
to our assignment of product codes and
package codes, but the electronic
process should provide for prompt
responses to requests for NDC numbers
from FDA. Also, manufacturers
commented that if labeler codes must be
consolidated across subsidiaries or
divisions, additional costs would occur.
We do not anticipate that we will
receive requests for waiver of the
requirement to submit registration and
listing information electronically.
However, if we receive waiver requests,
we do not expect the costs to exceed
those that would be incurred by paper
submission of the information.
b. Costs of label revisions to include
NDC numbers. The proposed rule would
require that appropriate human-readable
NDC numbers appear on the labels of all
drugs that are required to be listed,
including biological products and active
pharmaceutical ingredients.
Prescription human drugs: Many
manufacturers, repackers, relabelers and
private label distributors, particularly
those subject to the regulation
addressing bar code label requirements
(‘‘Bar Code Label Requirements for

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Human Drug Products and Human
Biological Products’’; 69 FR 9120,
February 26, 2004), already voluntarily
include the NDC number in humanreadable form under the barcode
representation, as space permits. This
proposed rule would require the
appropriate human-readable NDC
number to appear on drug labels for
drugs subject to the listing
requirements. Some packaging lines for
prescription drugs have already been
retooled to accommodate the unit-of-use
requirement as set forth in the bar code
rule. The costs of retooling these
package lines have been analyzed in the
bar code rule. However, we still expect
as many as 60 percent of all prescription
separately packaged drug products12 to
be revised because of the proposed rule.
Currently, human-readable NDC
numbers appear with an ‘‘N’’ or ‘‘NDC’’
prefix. The proposed rule would require
use of only the ‘‘NDC’’ prefix. In
addition, there are classes of
prescription drugs that are exempt from
the bar code rule that would be subject
to the requirement in this proposed rule
(i.e., that the drug labels for drugs
subject to listing requirements bear the
appropriate NDC number in humanreadable form). There are some products
(e.g. allergenic extracts) that do not
currently print NDC numbers on labels
that would be obligated to do so under
the proposed rule.
We lack specific data on the
proportion of affected labels, but believe
that 50 percent would be revised to
include the ‘‘NDC’’ prefix and an
additional 10 percent may be accounted
in one of the other categories. (Although
the exact proportion of labels affected
by this provision is unknown, we expect
between 25 and 75 percent of all drug
labels to require revisions. We have
assumed that 50 percent of all labels
will be affected for analytic purposes.)
Therefore, ERG estimated that 46,800
separately packaged drug products
would need revised relabels under the
proposed rule.
Prescription drugs would be required
to have revised labels that include
appropriate human-readable NDC
numbers within 3 years of the effective
date of the final rule. Therefore,
incremental regulatory costs would
occur for any product label not revised
during routine label changes that may
occur during the 3-year period. (ERG
has assumed that no incremental cost
12 The number of separately packaged drug
products is the number of drugs times the number
of dosage forms times the number of concentrations
times the number of package sizes. There are
currently about 78,000 separate domestic
prescription separately packaged drug products
based on NDC number listings.

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occurs if required label changes occur
during other label revisions.) FDA has
examined a number of prescription drug
files and found that prescription
products are sometimes revised as
frequently as once a year. However,
some prescription products rarely have
label revisions in response to market
conditions. We have assumed that 25
percent of prescription drug labels
would not be revised during the 3-year
implementation period in the absence of
the proposed rule, or 11,700 separately
packaged drug products.
ERG has estimated weighted label
revisions as costing an average of about
$1,600 per separately packaged product
(Ref. 5.) The cost of revising
prescription human drug labels to
include NDC numbers is estimated to
total $18.7 million (11,700 separately
packaged drug products x $1,600 per
label revision.) However, these costs are
not expected until 3 years after the
implementation of the final rule because
companies would not know if there
would be market driven label changes
and therefore wait until the end of the
implementation period. The present
values of the cost of these label
revisions are $17.1 million (using a 3percent annual discount rate) and $15.3
million (using a 7-percent annual
discount rate.)
OTC human drugs: FDA has estimated
that only 30 percent of all human OTC
separately packaged products currently
have human-readable NDC numbers
printed on labels. However, the
proposed rule allows for a 7-year
implementation period for OTC drugs to
include NDC numbers on labels. Based
on previous studies of the OTC drug
industry (Ref. 5), ERG has estimated that
virtually all OTC drugs have label
revisions within 6-year periods. Label
changes over this period are mostly
motivated by marketing trends and
because ample space is usually available
on most OTC labels, the inclusion of
NDC numbers could be accommodated
during these revisions at minimal
additional cost.
However, ERG discussions with
industry contacts raised concerns about
the new label requirements as they
apply at the OTC unit-of-use level (e.g.,
blister packs). Most drugs marketed as
units-of-use, including those subject to
the bar code rule, would require label
changes, but not changes to packaging
or printing equipment, and are of
sufficient size to accommodate humanreadable NDC numbers. However, some
packaging lines for unit-of-use OTC
products not subject to the bar code rule
might need to be retooled to
accommodate human-readable NDC
numbers. These modifications are

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expected to be fairly challenging and the
costs of applying NDC numbers to
blister packs would be in addition to
normal label revisions. ERG discussed
the costs of these changes and found
that line retooling costs to be
approximately 150 percent of a normal
label revision, or $2,400 for each
affected drug. Industry consultants
estimated that as many as 5,000 unitsof-use packaged OTC human drugs
could be affected. The cost to label
units-of-use drugs is $12.0 million
(5,000 drugs x $2,400 per drug). Unlike
voluntary label revisions, manufacturers
are not expected to routinely retool
production lines during the
implementation period. Therefore,
affected companies are expected to
upgrade lines during the 7-year
implementation period with an industry
cost of $1.7 million each year. The
present values of this cost are equal to
$10.6 million (using a 3-percent annual
discount rate) and $9.2 million (using a
7-percent discount rate).
Prescription and OTC animal drugs:
ERG estimated that each of the 2,100
registered domestic animal drug sites
produce 4 separately packaged drug
products and that normal label revisions
occur at the same rate as for human
drugs. In addition, industry consultants
have estimated that approximately 40
percent of animal drugs currently have
readable NDC numbers on labels and
would not be affected by the proposed
rule. Thus, ERG expects that of the 60
percent of labels that would need
revisions, 75 percent would be revised
in the normal course of business during
the 3 years after implementation of the
final rule. Therefore, a total of
approximately 1,300 animal drugs
would require revised labels to include
human readable NDC numbers (both
prescription and OTC) (2,100 sites x 4
separately packaged products x 0.6
needing label revisions x 0.25). Using a
weighted cost per labeling revision of
$1,600, the cost during the third year to
the industry of applying NDC numbers
to labels due to the proposed rule would
be $ 2.1 million (2,100 separately
packaged products x $1,600 per label
change). The present value of this cost
is $1.9 million (using a 3-percent annual
discount rate) and $1.7 million (using a
7-percent discount rate). We do not
believe there will be costs associated
with retooling package lines for animal
drugs.
Active pharmaceutical ingredients.
Active pharmaceutical ingredients
would be required to bear appropriate
human-readable NDC numbers on drug
labels under the proposed rule.
Currently, many active pharmaceutical
ingredients are shipped with bills of

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lading that are prepared for each
shipment and an NDC number could be
easily added for a negligible incremental
cost. For the purposes of this analysis,
we have assumed that 50 percent of all
active pharmaceutical ingredients will
be required to add human-readable NDC
numbers as a result of this proposed
rule. According to FDA’s current
registration and listing data, there are
about 4,300 domestic bulk drug
substances so about 2,150 are expected
to require label changes because of the
proposed rule. The costs of providing
label changes for active pharmaceutical
ingredients are assumed to be equal to
the cost of label revisions for
prescription drug products, or $1,600
per revised label. The total cost of
revising active pharmaceutical
ingredient labels is $3.4 million (2,150
labels x $1,600 per label). We have no
data on voluntary label revisions for
active pharmaceutical ingredients and
have assumed that the revisions will
occur throughout the implementation
period (approximately $1.1 million per
year). The present values for this cost
are $3.2 million (using a 3-percent
annual discount rate) and $3.0 million
(using a 7-percent annual discount rate).
Total costs of label revisions. The
overall incremental costs of label
revisions under the proposed rule have
present values of $34.0 million (using a
3-percent annual discount rate) and
$30.3 million (using a 7-percent
discount rate).
c. Costs of setting up electronic
submission of registration, listing, and
content of labels. The proposed rule
would require manufacturers, repackers,
relabelers, and drug product salvagers of
drugs, including human and animal
drug products, active pharmaceutical
ingredients, and biological products to
register establishments, list drugs, and,
for manufacturers, to provide the
content of labeling electronically using
specific software. Most, but not all,
manufacturers of human prescription
drug and biological drug products are
already subject to requirements to
submit content of labeling in electronic
format, but manufacturers of OTC
monograph and animal drug products
not currently subject to these labeling
requirements would not necessarily
have this software. The current
requirement to submit content of
labeling in electronic form does not
extend to repackers and relabelers. In
addition, active pharmaceutical
manufacturers producing ingredients for
OTC drug products may not have the
correct software to submit registration
and listing information electronically.
According to discussions with
industry consultants, approximately 75

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percent of drug product manufacturers
market only OTC monograph products.
Using U.S. Census estimates of the
industry, we believe about 550 firms
would need to purchase needed
software for electronic submissions for
content of labeling. We note that this
estimate is based on the first level of
ownership and does not account for
multiple layers of corporate hierarchy.
We surveyed a range of prices for
software (such as Adobe Acrobat
Standard, for example) that would be
expected to be used in a professional
environment. The estimated price of
this software is approximately $250,
with some variance for the specific
desired features and sophistication. We
note that this cost represents the
marginal difference between any current
software and new software with the
capability to work with assigned NDC
numbers, and is an incremental cost of
the proposed rule. After discussing this
estimate with industry IT personnel, we
expect $250 to represent a reasonable
cost of software acquisition. In addition,
training for 2 employees is expected to
cost $150 per employee. Training is
expected to require 6 hours for each
employee at a cost of $51.73 per hour
(based on fully loaded BLS wage rates
for mid-level management within this
industry). The total cost per firm is
about $1,000 ($250 + (2 employees x
$150) + (2 employees x 6 hours x
$51.73) for a total cost to the OTC
monograph industry for software
acquisition and training to be $0.6
million to submit content of labeling
electronically.
We expect similar costs of $1,000
would accrue for all 350 companies that
are predominantly involved in
medicinal and botanical manufacturing
(Census, 2004), which includes active
pharmaceutical ingredient
manufacturers, in order for these
companies to electronically submit
registration and listing information.
According to Small Business
Administration data, as well as industry
consultants, there are approximately
250 repackers and relabelers that serve
the pharmaceutical industry. Each of
these entities would require software
and training in order to register and list.
Finally, there are 80 firms that,
according to U.S. Census data,
predominantly or secondarily
manufacture animal drugs that would
require software and training to
electronically submit content of
labeling. The total costs of software
acquisition and training for these
segments is an additional $0.7 million
((350 active pharmaceutical ingredient
manufacturers + 250 repackers and

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relabelers + 80 animal drug
manufacturers) x $1,000).
The overall cost of software
acquisition and training under the
proposed rule is $1.4 million.
d. Costs of continuing submissions of
content of labeling. Additional costs
might be incurred to submit the
incremental content of labeling for a
small proportion of drugs for which
there have been labeling changes. The
content of labeling, as described
elsewhere in this proposal, must be
submitted electronically. Makers of
active pharmaceutical ingredients are
not affected by this provision because
they would not be expected to submit
content of labeling electronically.
For affected OTC drugs, we have
assumed that two content of labeling
submissions per listed drug will occur
twice a year to account for the
possibility of multiple dosage forms and
concentrations in a product line.
Animal products are expected to have
an average of 1.5 content of labeling
submissions per product twice a year.
According to our drug listing system,
there are about 30,400 domestic OTC
drugs and about 4,200 domestic animal
drugs. Using the assumption that each
submission would entail 0.25 hours (15
minutes), and using the industry wage
rate of $51.73 per hour, the annual cost
of this provision is $1.7 million
((((30,400 domestic OTC drugs x 2
content of labeling submittals) + (4,200
domestic animal drugs x 1.5 content of
labeling submittals)) x 2 times per year)
x 0.25 hours per submission x $51.73
per hour).
e. Delays in NDC Assignment. We
understand from discussions with
manufacturers that many manufacturing
processes are dependent on timely
assignment of NDC numbers. According
to industry consultants, before drugs
can be mass-produced, manufacturers of
both prescription and OTC drug
products need to know the NDC number
for the production run. Currently,
manufacturers control the assignment of
NDC numbers once they have a labeler
code, so this is not a problem that could
affect the production process. There is
concern about delays in production
because new NDC numbers assigned by
us might not be timely from a
manufacturer’s viewpoint and could
result in major costs.
However, in discussions with several
manufacturers, comments to ERG
reflected that if the assignment of NDC
numbers by FDA was done
electronically and transmitted to the
companies electronically, there would
likely be a negligible impact on
operations. Since FDA intends to assign
and transmit NDC numbers

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electronically, we do not believe this
provision would result in additional
costs to industry.
f. Effect of the proposed rule on thirdparty reimbursement. Under the
proposal, repackers and relabelers
would not be allowed to use the
manufacturer’s human-readable NDC
numbers on their drug labels. Many
companies noted that reimbursement
arrangements are contracted between
drug manufacturers and third-party
payers (including Medicaid programs)
that provide for rebates for sales of a
manufacturer’s drug. Most
reimbursement plans use NDC numbers
as the appropriate billing code, and
repackers and relabelers note that they
are not part of the negotiated rebate
plans between manufacturers and thirdparty payers. Repackers and relabelers
further claim that profit margins for
their firms will not allow for such
reimbursements. Thus, the process of
negotiating these payments would be
affected by the proposed rule, but we
did not estimate the outcome of future
negotiations.
g. Other potential costs. The proposed
rule might have other impacts on
various industry sectors. For example,
the relationships between drug
manufacturers and private label
distributors may be altered because of
the proposed registration, listing, and

NDC requirements. Some industry
sources have asserted that the proposed
rule may make private label distributors
unprofitable and that manufacturers
would directly supply drugs to retailers.
We are unable to assess this impact, and
are unsure whether it would, in fact,
result in market inefficiencies, but note
that there would likely be changes in
the current relationships between these
sectors. We specifically request
comment on any economic impact the
proposal would have on this
relationship between drug
manufacturers and private label
distributors.
3. Costs to FDA for Implementing the
Proposed Rule
We do not expect a major increase in
the need for internal resources
associated with the proposed rule.
Activities related to the assignment of
NDC numbers are expected to be
equivalent to our current activity of
receiving notifications from industry
and manually inputting the information
into our databases. Similarly, we expect
any increased workloads caused by
increased submissions of registration or
listing information or content of labeling
to be approximately equivalent to the
internal reduction in workload from
electronically updating our databases.
The database of NDC numbers for
marketed drugs would require

maintenance and updating to ensure the
quality of the data, and we would make
this database available for other users,
but the costs associated with activity
have been accounted for in previous
rule-making (see Bar Code Label
Requirements for Human Drug Products
and Human Biological Products, 69 FR
9120 at 9156). The registration and
listing information will also be included
in the database and we do not expect
any additional costs to be associated
with maintenance of this information.
However, the requirement that
manufacturers, repackers, relabelers,
and drug product salvagers obtain a user
account from us would require
increased use of our resources. We have
estimated that 6,700 entities would be
contacted in order to provide them with
their user accounts, and that each
contact would require 0.25 hours (15
minutes). This would require about
1,600 hours of FDA resources, or about
0.8 FTEs. The current weighted cost per
FTE is approximately $120,000, so the
one-time cost to FDA for providing
access codes for the proposed rule
would be approximately $0.1 million.
4. Total Costs of the Proposed Rule
Table 3 shows the initial investment
costs and annual costs of the proposed
rule over a 10-year period by cost
category.

TABLE 3.—UNDISCOUNTED COSTS OF PROPOSED RULE BY CATEGORY (IN MILLIONS OF DOLLARS)
Initial Investment/One
Time

Cost Category
Single Method of Assigning NDC Numbers

$3.8

$3.2

Electronic Drug Registration and Listing

$0.2

(-$3.8)

$36.2

———

$1.3

———

———-

$1.7

Label Revisions
Software Acquisition and Training
Continued COL Submissions

Table 4 shows the expected
expenditures per year for the evaluation
period and includes total present values
based on 7 percent and 3 percent
discount rates. Recurring costs include
the retooling of OTC packaging systems
to provide NDC numbers for units-ofuse during the first 7 years of the
proposed regulation.
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Annual Costs/Recurring

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TABLE 4.—COSTS PER YEAR FOR THE
PROPOSED RULE (IN MILLIONS OF
DOLLARS)
Year

One-Time
Costs

TABLE 4.—COSTS PER YEAR FOR THE
PROPOSED RULE (IN MILLIONS OF
DOLLARS)—Continued

Recurring
Costs

One-Time
Costs

Year

Recurring
Costs

1

$8.1

$1.1

7

$1.8

$1.1

2

$2.8

$1.1

8

-

$1.1

3

$23.7

$1.1

9

-

$1.1

4

$1.7

$1.1

10

-

$1.1

5

$1.7

$1.1

Present Value

3% - $38.1

3% - $9.4

6

$1.7

$1.1

7% - $33.0

7% - $7.7

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Average annualized costs of the
proposed rule are estimated to be $5.6
million using a 3 percent annual
discount rate or $5.8 million using a 7
percent annual discount rate.
F. Benefits
Benefits of the proposed rule will
result because the improved processes
in the proposed regulation would
generate up-to-date, complete
medication information, including NDC
numbers, to support a growing number
of medical and health information
technology initiatives. The potential
benefits of these initiatives are
significant. For example, the final
regulation that required bar coded NDC
numbers on some human drugs and
biological products (69 FR 9120)
estimated benefits of approximately $5
billion per year for the avoidance of
over 500,000 adverse drug events
associated with medication errors.
These benefits are dependent on correct
and unique NDC numbers being read by
scanners at patient bedsides. The lack of
accurate NDC numbers may delay the
acceptance of this technology and
decrease the potential patient benefits.
We have estimated that if the lack of
reliable NDC numbers would delay the
rate of technological acceptance by 1
year, the potential benefits of the bar
code regulation would be reduced by
about $600 million per year and an
average of 25,000 additional adverse
drug events would occur.
We believe it is critical to other
patient safety initiatives, such as
DailyMed or electronic prescribing, that
a reliable and consistent NDC
numbering system be in place. The
potential benefits of these initiatives
could be similar to the benefits of the
bar code rule, and any delay in
implementing these programs because
of the lack of electronic access to
reliable identifying information could
seriously limit their impacts.
The proposed rule would allow
increased access to information in our
databases. Increased use of these
databases to efficiently treat patients
would rely on the availability of
information electronically. A key
element for encouraging the use of
technology to ensure public health will
be the assurance that NDC numbers are
unique and accurately identify drugs.
The proposed rule would accomplish
this by making assignment of NDC
numbers our responsibility, rather than
a responsibility diffused throughout the
industry. In addition, by ensuring that
these NDC numbers are available in
human-readable format, patients and
others would be able to access
important patient safety information

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from the DailyMed system, the NDC
Directory, or other drug information
electronic systems without the use of
bar code scanners. Human-readable
NDC numbers would allow patients to
report any adverse events easily and
ensure that our adverse event reporting
system is as accessible as possible. Also,
the human-readable NDC number would
enable us to trace the origin of each
product (a particularly important issue
when dealing with recalls or drug
quality issues) and more easily identify
drug products and their sources (this is
particularly important when dealing
with import and counterfeiting issues).
We specifically request comments on
quantitative benefits resulting from the
requirement that the NDC number be
included on the drug label.
The proposed rule would increase the
efficiency of the registration and listing
process by eliminating most paper
submissions. We would be able to
review the submitted information more
quickly and contact submitting firms
immediately if any additional
information were needed. The resulting
database of registered establishments
and listed drugs would provide the
basis for increased patient safety by
being complete and up-to-date. For
example, an electronic database of drugs
would allow for timely notification of
any recalls of unsafe drugs and
identification of affected manufacturers,
repackers, relabelers, or drug product
salvagers.
By changing the way that NDC
numbers are assigned, we would
increase the confidence that each drug
being manufactured, repacked, or
relabeled for commercial distribution
has a unique identifier that we have
assigned. After we have introduced
increased oversight for new product
codes and package codes, the likelihood
of unsafe counterfeit drug products
entering the supply chain would decline
because would-be counterfeiters would
be unsure of numerical sequences used
for NDC numbers. Our assignment of
NDC numbers would reduce the
possibility of duplicate numbers
appearing in various medical and
reimbursement databases. Currently,
firms have been reusing NDC numbers
at times without informing us, and this
practice has added uncertainty into
these systems. There has been reported
confusion about coverage of drugs for
reimbursement and our control of the
NDC system would ensure that only
qualified drugs are subject to
reimbursement.
In addition, the current NDC number
makeup (using dashes to distinguish
between the components) allows for
potential duplicate numbers when the

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dashes are not read by scanners reading
NDC numbers encoded in bar codes.
This happens because the components
used to indicate labeler codes, product
codes, and package codes are of
differing lengths, and are currently
separated by hyphens. If those NDC
numbers are barcoded, the differing
components may lead to duplicate
numbers since bar code scanners don’t
read hyphens. This would not happen
under the proposed rule.
Although we know that the proposed
rule will result in significant benefits,
we are not able to quantify these
benefits. We are confident that moving
to electronic registration and listing
processes, as well as assignment of NDC
numbers, would encourage
development of technology in the
delivery of health care. We know that
the successful development of medical
and health information technology
initiatives (such as the DailyMed, bar
code label, and the electronic
prescription drug program described
below) will depend in large part on an
accurate, reliable NDC number and that
this proposed rule would further that
development. Therefore, there are real
benefits associated with the proposed
changes to the NDC number and the
NDC number assignment process.
However, we are not able to quantify
those benefits because they rely in part
on further development of technology
initiatives. Similarly, there are
significant benefits associated with the
proposed changes to the collection of
registration and listing information. For
example, ready access to complete and
accurate registration and listing
information helps to ensure the success
of many of our programs, such as
postmarketing surveillance (including
FDA inspections), bioterrorism
initiatives, responses to drug shortages,
and user fee assessments. We know
there are benefits associated with the
efficiencies achieved by improved
access to more complete information,
but we are not able to quantify those
benefits.
We also note that continuation of a
paper registration and listing system is
likely to act as a deterrent to investment
in new initiatives. As discussed earlier
in this document, the recently issued
final regulation that requires NDC
numbers to be encoded in bar codes on
certain prescription drugs, certain OTC
products, and human blood products
helps to avoid adverse drug events due
to medication errors. The benefits for
that rule would be reduced by as much
as $600 million per year if unique NDC
numbers are not universally available
and this results in delays in the use of
this technology. Lack of universal

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identifiers would likely discourage
investment in machine-readable
technology and make access to
electronic information difficult.
The proposed rule would provide
necessary assurances to health
professionals and patients that they
have access to up-to-date labeling
information and that the safety of the
drug supply is assured. It would also
encourage investment in installed
scanners and readers at points of
administration such as hospitals or
physician clinics that rely on this
information. The existence of this
system may support the development of
electronic prescribing or other
efficiencies in health care that may save
money and reduce medication errors
that may cause adverse reactions in
patients. The electronic prescription
drug program (electronic prescribing)
established by the Medicare
Modernization Act promotes uniform
standards that permit (among other
things) electronic exchange of drug
labeling and drug listing information
maintained by us and by the National
Library of Medicine. The goal behind
the program is to reduce transcription
and dispensing errors (which, in turn,
lead to medication errors) and to
prevent adverse drug interactions. The
proposal to assign the NDC number,
resulting in an accurate and reliable
NDC number, would also facilitate
development of the DailyMed). The
DailyMed is an up-to-date,
computerized repository of medication
information, including drug product
labeling. The DailyMed, maintained by
the National Library of Medicine in
cooperation with FDA, is a new way to
distribute current and comprehensive
medication information in a
computerized format for use in health
care information systems. Health care
information suppliers will be able to use
the information from the DailyMed in
their computer systems, allowing
providers, patients, and the public
access to reliable, up-to-date
information on the medications they
use. The DailyMed would enable drug
product users and health care providers
to have electronic access to up-to-date
information about a drug.
Although the scope of the proposed
rule does not extend beyond registration
and listing, the high-quality, electronic
database that would result from the
proposed rule would enable future uses
of technology for the public benefit.
G. Small Business Analysis and
Discussion of Alternatives
We believe the proposed rule is
unlikely to have a significant impact on
a substantial number of small entities.

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Despite this, we have prepared an initial
regulatory flexibility analysis and invite
comment from affected entities.
1. Affected Sectors and Nature of
Impacts
The proposed rule would directly
affect manufacturers of pharmaceutical
and biological products (NAICS 325412
and NAICS 325414), packaging services
(NAICS 561910), retail pharmacy chains
(NAICS 446110; Pharmacies), and
prescription benefit managers (NAICS
524292; Insurance Plan Administrative
Services, Third Party). We assessed data
on these industries from the 2002
Economic Censuses and estimated
revenues per establishment. The
affected establishments are shown in
table 2a of this document. Although
other economic measures, such as
profitability, may provide preferable
alternatives to revenues as a basis for
estimating the significance of regulatory
impacts in some cases, use of any
reasonable estimate of profits would not
change the results of this analysis. As
discussed earlier in the Analysis of
Economic Impacts (see section VI.B of
this document), we are proposing this
rule in order to improve the quality and
timeliness of information available to
patients and health care professionals.
We believe this improvement would
result in improved outcomes by
providing better uses of medicines by
patients.
a. Pharmaceutical manufacturers
(NAICS 325412). The Small Business
Administration (SBA) has defined as
small any entity in this industry with
fewer than 750 employees. According to
census data, 94 percent of the industry
is considered small. The average annual
revenue for these small entities is $54.7
million per entity. Small entities would
be affected by the proposed rule. We
estimate the annualized compliance cost
for small entities in this industry to
average $30,200. This is about 0.1
percent of their annual revenue. We
believe this cost does not constitute a
significant impact on a substantial
number of small entities in this
industry.
b. Biological product manufacturers
(NAICS 325414). The SBA has defined
as small any entity in this industry with
fewer than 750 employees. According to
census data, 97 percent of the industry
is considered small. The average annual
revenue for these small entities is $15.5
million per entity. Small manufacturers
of biological products would be affected
by the proposed rule. We estimate the
annualized compliance cost for a small
entity in this industry to be $30,200.
This is about 0.2 percent of their annual
revenues. We believe this does not

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51337

constitute a significant impact on a
substantial number of small entities in
this industry.
c. Packaging services (NAICS 561910).
The SBA has defined as small any entity
in this industry that has less than $6.5
million in annual revenue. On this
basis, almost 94 percent of the industry
is considered small. The average annual
revenue for small entities is $1.4 million
per entity. We have not identified
specific regulatory costs of compliance
to this industry. We have no confident
data that the extent of electronic
registration and listing would increase
or decrease costs to these entities. At
this point, we tentatively believe the
proposed rule would not constitute a
significant impact on a substantial
number of small entities in this industry
and solicit comment in this area.
d. Retail pharmacy chains (NAICS
446110). The SBA has defined as small
any entity in this industry that has less
than $6.5 million in revenue. On this
basis, almost 100 percent of the industry
is considered small. The average annual
revenue for small entities is $3.8 million
per entity. We expect that some large
pharmacy chains with 35 or more
operations would experience increased
operating cost of $200,000 due to the
proposed rule. However, these large
chains do not meet the criteria for small
entities because their annual revenues
are at least $133 million ($3.8 million
times 35 outlets). We do not believe this
impact constitutes a significant impact
on a substantial number of small entities
in this industry.
We do not believe that independent
retail pharmacies will be adversely
affected by the proposed rule because
most pharmacy systems do not use the
internal component of NDC numbers.
We found no evidence of any impacts,
but specifically request comment on this
issue.
e. Prescription benefit managers
(NAICS 524292). The SBA has defined
as small any entity in this industry that
has less than $6.5 million in annual
revenues. On this basis, over 92 percent
of the industry is considered small. The
average annual revenue for small
entities is $1.6 million per entity. We
are unable to distinguish PBMs from
other insurance administrative services,
but have used aggregate industry data.
Some PBMs would be expected to
experience annual cost increases of
$200,000 due to the proposed rule. This
constitutes 12.5 percent of annual
revenues for the affected entities.
However, of the 11,584 small entities in
this industry (there are only 76 PBMs of
any size) we expect that between 7 and
8 entities would be affected. We do not
believe this constitutes a significant

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impact on a substantial number of small
entities in this industry.
2. Alternatives
We considered several alternatives to
the proposed rule. Each is discussed
below.
a. Completely reassign NDC numbers,
including existing numbers. We
considered removing the existing format
of the NDC number and reassigning
randomized numbers for all products.
We believe this would improve the
robustness of the NDC and allow more
numbers to be available for future drugs
as well as improve our industry
oversight responsibilities. However,
discussions with industry
representatives suggested that the firstyear cost of such an approach could
reach more than $900 million.

Pharmaceutical manufacturers would be
required to completely remap the newly
assigned NDC numbers so that existing
data processing, rebate, and market
analyses tasks could continue. While
individual retail pharmacies would not
likely be affected, chain stores and
PBMs would require large internal
reprogramming in order to manage
repayment options. Additional quality
control procedures would be required to
ensure proper reimbursement.
Wholesalers and distributors would also
require major internal reprogramming to
account for the loss of sequential NDC
numbers. For this alternative, each State
Medicaid program would require an
estimated $3 million to reprogram
reimbursement software so that each
prescription could be tracked. This

alternative is described in more detail in
Reference 3.
b. Implementation period. We
considered (and are still considering)
different implementation periods.
Under the proposal, manufacturers,
repackers, and relabelers of prescription
drugs would have 3 years to provide
NDC numbers on their labels, while
manufacturers, repackers, and relabelers
of OTC drugs would have 7 years. We
examined a total of 25 different
implementation plans. These plans
include prescription products having
between 1 year and 5 years to comply
and OTC products having between 5
years and 9 years to comply with the
proposed rule. Table 5 shows the
difference in average annualized costs
between the current implementation
plan and the other 24 combinations.

TABLE 5.—DIFFERENCES IN ANNUALIZED COSTS OF DIFFERING IMPLEMENTATION PERIODS (IN MILLIONS OF DOLLARS; 7
PERCENT DISCOUNT RATE)

jlentini on PROD1PC65 with PROPOSAL2

5 Year OTC

6 Year OTC

7 Year OTC

8 Year OTC

9 Year OTC

1 Year Prescription

+$2.1

+$2.0

+$1.9

+$1.9

+$1.9

2 Year Prescription

+$1.4

+$1.2

+$1.2

+$1.2

+$1.1

3 Year Prescription

+$0.2

0

——

-$0.1

-$0.1

4 Year Prescription

-$0.9

-$1.0

-$1.0

-$1.0

-$1.1

5 Year Prescription

-$1.4

-$1.5

-$1.5

-$1.6

-$1.6

There was relatively little difference
in changes to the OTC drug
implementation period because of the
ongoing normal revisions to labeling.
Only if a 5-year implementation period
is selected are there noticeable cost
increases. However, shorter
implementation periods for prescription
products increase costs by about 20
percent for a 2-year implementation
period and about 33 percent for a 1-year
period. Conversely, while longer
implementation periods would reduce
annualized costs by similar amounts,
the delay in ensuring that medical
information technologies would be able
to use efficiencies expected from the
proposed rule seemed high. Therefore,
we selected the proposed
implementation periods as a reasonable
balance. We solicit public comment on
the proposed implementation period
and the effect on expected costs and
benefits.
c. Exemption for small entities. We
considered exempting small entities, but
rejected the alternative due to the
relatively modest impact of this
initiative on small businesses and the
lack of label standardization that would
result. Any potential exemptions to this

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proposed rule would be on a product
basis, not an entity basis. In addition,
benefits of having a standardized
identification system would be reduced
by such blanket exemptions.
Outreach: We will specifically solicit
comment from affected small entities on
the proposed rule.
d. Conclusion. We have analyzed the
expected impacts of the proposed rule.
This proposal is expected to have
average annualized costs of $5.6 million
(using a 3 percent annual discount rate)
or $5.8 million (using a 7 percent
annual discount rate). The benefits
include assurance of correct NDC
numbers, which would also mean
correct bar-coded information, and
electronic access to important product
information for patients that will
improve public health. Despite the fact
that we are unable to specifically
quantify patient benefits directly
attributable to the proposed rule, we
believe the benefits would be greater
than the expected costs and the
proposed rule should be implemented.
VII. Paperwork Reduction Act of 1995
This proposed rule contains
collections of information that are
subject to review by the Office of

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Management and Budget (OMB) under
the Paperwork Reduction Act of 1995
(the PRA) (44 U.S.C. 3501 3520).
‘‘Collection of information’’ includes
any request or requirement that persons
obtain, maintain, retain, or report
information to the agency, or disclose
information to a third party or to the
public (44 U.S.C. 3502(3) and 5 CFR
1320.3(c)). The title, description, and
respondent description of the
information collection are shown under
this section with an estimate of the
annual reporting burden. Included in
the estimate is the time for reviewing
instructions, searching existing data
sources, gathering and maintaining the
data needed, and completing and
reviewing the collection of information.
We invite comments on these topics:
(1) Whether the collection of
information is necessary for 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

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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.
Title: Requirements for Foreign and
Domestic Establishment Registration
and Listing for Human Drugs, Including
Drugs that are Regulated Under a
Biologics License Application, and
Animal Drugs
Description: The proposed rule would
reorganize, consolidate, clarify, and
modify current regulations on
registering establishments and listing
human and animal drugs under part
207, blood and blood products under
part 607, and HCT/Ps under part 1271.
The proposal describes when and how
to register and list and what information
must be submitted for registration and
listing. The proposal makes certain
changes to the NDC system for drugs
and would require the appropriate NDC
number to appear on drug labels (for
drugs subject to the drug listing
requirements). The proposed regulations
would require the electronic submission
of all registration and most listing
information instead of the current use of
paper forms.13
FDA currently reviews completed
registration and listing forms and other
submissions required under current
parts 207, 607, and 1271. The
information collection for current part
207 is approved by OMB until
December 31, 2007, under OMB Control
Number 0910–0045. The information
collection for current part 607 and Form
FDA 2830 is approved by OMB until
March 31, 2009, under OMB Control
Number 0910–0052. The information
collection for current part 1271 and
Form FDA 3356 is approved by OMB
until July 31, 2007, under OMB Control
Number 0910–0469.
FDA has estimated, in Tables 6, 7, and
8 of this document, the burden to
comply with all of the information
collection requirements for proposed
parts 207, 607, and 1271. These
estimates are based on FDA’s experience
in reviewing registration and listing
submissions and on the number of
submissions currently received, the
number of respondents submitting this
information, and the number of
registered establishments and listed
drugs, blood products, and HCT/Ps
currently in FDA’s database. The
estimates discussed below are for each
section of proposed parts 207, 607, and
13 The electronic submission of registration and
listing information would remain voluntary for
blood products.

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1271 that contain a reporting burden
under the PRA.
A. Registration Information Under Part
207
1. Proposed Requirements
Under proposed § 207.17,
manufacturers, repackers, relabelers,
and drug product salvagers must register
establishments. This is consistent with
current registration requirements,
except that currently private label
distributors may submit information
(similar to registration information) to
obtain a labeler code from FDA. In
addition, the estimates include PET
drug producers who would not be
exempt from registration under the
proposal.
Under proposed § 207.21, domestic
manufacturers, domestic repackers,
domestic relabelers, and domestic drug
product salvagers must complete initial
registration of each establishment no
later than 5 calendar days after
beginning to manufacture, repack,
relabel, or salvage a drug. In addition,
foreign manufacturers, foreign
repackers, foreign relabelers, and foreign
drug product salvagers must register
each establishment before the drug is
imported or offered for import into the
United States. This is consistent with
current registration requirements,
except that the proposal would include
additional foreign establishments as a
result of the revocation of the exemption
for drugs that enter a foreign trade zone
and are re-exported from that foreign
trade zone without having entered U.S.
commerce, and for drugs imported
under section 801(d)(3) of the act.
The information that must be
provided to FDA for registration is
described under proposed § 207.25. The
information that would be required
under proposed § 207.25 differs from
the information currently required for
registration. The following currently
required information would not be
required under the proposal: The kind
of ownership or operation and the title
of each corporate officer and director.
New information required under the
proposal would be the type of
operations performed at each
establishment and contact information
about the official contact and the United
States agent, each importer of the drug
that is known to the establishment, and
each person who imports or offers for
import the drug to the United States.
Under proposed § 207.29,
manufacturers, repackers, relabelers,
and drug product salvagers must review
annually their registration information.
During the review, manufacturers,
repackers, relabelers, and drug product

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51339

salvagers must report all changes to
their registration information or certify
that no changes have occurred. In
addition to the annual review and
update, manufacturers, repackers,
relabelers, and drug product salvagers
must submit expedited reports of certain
changes within 30 calendar days of the
change. Currently, manufacturers,
repackers, relabelers, and drug product
salvagers must renew their registration
information annually and submit certain
amendments to registration within 5
days of a change. Proposed § 207.29
differs from the current requirement to
submit amendments to registration in
the following ways: The proposal would
lengthen the current time period for
reporting changes to registration
information from 5 days (10 business
days for a change in United States agent
information) to 30 calendar days. The
proposal would revoke the current
requirement to report a change in
individual ownership and corporate or
partnership structure, and the current
requirement to submit a signed
statement for a change in a registered
establishment’s firm name. New
requirements under the proposal would
be to certify that no changes have
occurred and to report as expedited
updates certain changes within 30
calendar days, such as the close or sale
of an establishment. Modified
requirements would be to submit within
30 calendar days a change in the name
or address of an establishment and a
change in contact information for the
official contact and United States agent.
2. Burden Estimates
Based on the number of new
establishments that currently register
each year by submitting Form FDA
2656, we estimate that approximately
987 manufacturers, repackers,
relabelers, and drug product salvagers
will provide electronically
approximately 1,128 new establishment
registrations annually. Based on the
number of registered establishments in
our database, we estimate that
approximately 8,343 manufacturers,
repackers, relabelers, and drug product
salvagers will provide approximately
12,137 annual reviews and updates of
registration information or reviews and
certifications that no changes have
occurred. Based on the number of
changes to registration information that
have been submitted annually on Form
FDA 2656e, we estimate that
approximately 775 manufacturers,
repackers, relabelers, and drug product
salvagers will provide approximately
1,921 expedited updates.
The estimates include the registration
of establishments for both domestic and

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foreign manufacturers, repackers,
relabelers, and drug product salvagers.
The estimates for the number of
manufacturers, repackers, relabelers,
and drug product salvagers excludes the
number of private label distributors
currently in the database that submit
information to receive a labeler code.
The estimates include an additional 80
PET drug producers who would not be
exempt from registration under the
proposal, and approximately 30
manufacturers of plasma derivatives. In
addition, the estimates include five
additional foreign establishments that
would be required to register as a result
of the revocation of the exemption for
drugs that enter a foreign trade zone and
are reexported from that foreign trade
zone without having entered U.S.
commerce, and for drugs imported
under section 801(d)(3) of the act.
We estimate that it will take
approximately 60 minutes to provide
electronically the initial registration
information for each new establishment.
This estimate is only until
manufacturers, repackers, relabelers,
and drug product salvagers become
familiar with using the electronic drug
registration and listing system. We
intend to lower this burden estimate to
approximately 30 minutes when we
submit to OMB the request to renew
approval of this information collection.
We also estimate that it will take
approximately 30 minutes for each
annual review and update of registration
information or each review and
certification that no changes have
occurred. This estimate is only until
manufacturers, repackers, relabelers,
and drug product salvagers become
familiar with using the electronic drug
registration and listing system. We
intend to lower this burden estimate to
approximately 15 minutes when we
submit to OMB the request to renew
approval of this information collection.
We also estimate that it will take
approximately 15 minutes to provide
each expedited update. This estimate is
only until manufacturers, repackers,
relabelers, and drug product salvagers
become familiar with using the
electronic drug registration and listing
system. We intend to lower this burden
estimate to approximately 5 minutes
when we submit to OMB the request to
renew approval of this information
collection.
The burden hour estimates above are
based on our familiarity with the
content of current registration forms and
submissions and the times required by
industry volunteers to input registration
information during our electronic drug
registration and listing system pilot
project (discussed in section IV.E.3 of

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this document). The estimates are an
average of the time it would take to
register a domestic or foreign
establishment and an average of the
time it would take to review registration
information and update several
registration items in the database or
review registration information and only
certify that no changes have occurred.
We note that these estimates for the
electronic submission of this
information would be a reduction in the
currently approved estimate of 2.50
hours (OMB Control Number 0910–
0045) for preparing and mailing to FDA
Form FDA 2656.
We intend to migrate into our new
database current registration
information that had been submitted
using paper forms. As a result, current
manufacturers, repackers, relabelers,
and drug product salvagers would
require additional time to review in the
new database all current registration
information and make any necessary
revisions. We assume that this one-time
initial review will be the first annual
review and update using the electronic
system, and we estimate it will take an
average of 30 minutes for each review
and update.
B. Listing Information Under Part 207
1. Proposed Requirements
Under proposed § 207.41,
manufacturers, repackers, relabelers,
and drug product salvagers must list
drugs they manufacture, repack, relabel,
or salvage for commercial distribution
(this includes drugs they manufacture,
repack, relabel, or salvage for a private
label distributor). This proposed
requirement is consistent with the
current listing requirements, except that
drug product salvagers are not currently
required to list under part 207 and
private label distributors may submit
listing information directly to FDA.
Under proposed § 207.45,
manufacturers, repackers, relabelers,
and drug product salvagers must list, at
the time of initial registration of an
establishment, any drug being
manufactured, repacked, relabeled, or
salvaged for commercial distribution at
that establishment. This is consistent
with the current listing requirements,
except that drug product salvagers are
not currently required to list under part
207.
Under the proposal, the humanreadable NDC number must appear on
the drug’s label (for drugs subject to the
listing requirements). The information
that must be provided electronically to
us by manufacturers, repackers, and
relabelers (including drug product
salvagers who repack and relabel) to

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receive an NDC number is described
under proposed § 207.33. Currently, the
human-readable NDC number is not
required to appear on the drug’s label,
but most prescription drugs and about
one-third of the OTC drug products
have the NDC number on the label. We
currently assign a labeler code to each
manufacturer, repacker, relabeler, and
private label distributor to be part of the
NDC number, and the manufacturer,
repacker, relabeler, and private label
distributor assigns the remainder of the
NDC number to each drug product.
Under the proposal, for drugs listed
after the effective date of the proposal,
the NDC number for a drug must be
obtained from us before (or at the time)
that drug is listed. Some of the
information currently required to list
the drug would be submitted under the
proposal to receive the NDC number.
The assigned NDC number would be
submitted as part of the listing
information and would serve as a link
to the information already submitted for
the drug to obtain the NDC number.
The information that must be
provided electronically to us by
manufacturers, repackers, and relabelers
to list a drug is described under
proposed §§ 207.49, 207.53, 207.54,
207.55, and 207.61. As mentioned
previously in this document, drug
product salvagers are not currently
required to list the drugs they salvage.
The listing information and the NDC
number information required under the
proposal is consistent with the
information currently submitted to FDA
on Forms FDA 2657 or 2658, except for
the following: (1) The proposal would
require identification information about
the name of each importer of the drug
that is known to the establishment and
each person who imports or offers for
import a drug to the United States
(importer information is currently
required under the Bioterrorism Act); (2)
the content of labeling would be
submitted electronically (for approved
human drugs, the information collection
burden for this requirement is
accounted for under current
§ 314.50(l)(1)(i), approved under OMB
Control Number 0910–0001); (3) the
quantity of the active pharmaceutical
ingredient would be required for all
drugs subject to the listing requirements
(unless the approved application
number is provided) (this requirement is
substantially the same as the current
requirement); (4) the name of the
inactive ingredients for certain drugs
would be required under the proposal
(unless the approved application
number is provided); (5) repackers and
relabelers would be required to submit

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the NDC number assigned to the drug
immediately before they received the
drug; (6) additional information to
identify the manufacturer, repacker,
relabeler, and drug product salvager
would be required (such as e-mail
address, fax number, and labeler code);
(7) the submission of a representative
sampling of labeling would include
advertisements under § 202.1(l)(1); (8)
certain listing information would not
have to be submitted if the approved
U.S. application number for the drug is
provided; (9) the DMF number would be
submitted by the manufacturer to obtain
an NDC number for an active
pharmaceutical ingredient; and (10)
drug product salvagers (who do not
repack or relabel) would submit the lot
number and expiration date and NDC
number assigned to the drug
immediately before the drug is received
by the drug product salvager.
Under proposed § 207.57,
manufacturers, repackers, relabelers,
and drug product salvagers must review
each June and December all drug listing
information that has been provided to
us and must report all material changes
or certify that no changes have occurred.
Manufacturers, repackers, and relabelers
must also notify us at this time if any
listed drug has been discontinued from
marketing or if any discontinued drug
has resumed marketing and provide
listing information for any drug not yet
listed. Under the proposal, all
manufacturers, repackers, relabelers,
and drug product salvagers must review
the listing information for each drug
listed and report any material changes.
Current regulations do not specify that
the information for each listed drug
needs to be reviewed, nor is a
certification required if there are no
changes. Only material changes to
listing information must be reported.
Under the proposal and consistent with
section 510 of the act, manufacturers,
repackers, relabelers, and drug product
salvagers must also update their listing
information for drug products that have
not been previously listed at the time
registration information for each
establishment is updated.
Under proposed § 207.33(f),
manufacturers, repackers, and relabelers
must notify us of a change in any of the
drug characteristics (except certain
identifying information) for an NDC
number in § 207.33, and we would
assign a new NDC number for that drug.
Under proposed § 314.81(b)(3)(iii),
applicants under part 314 must report
electronically within 30 calendar days
the withdrawal of an approved drug
product from sale (the current
requirement is to report within 15 days).

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2. Burden Estimates
Based on the current receipts of
Forms FDA 2657 and 2658 for new
listings, we estimate that approximately
1,812 manufacturers, repackers,
relabelers, and drug product salvagers
will provide electronically
approximately 13,821 new listings
annually.
Based on the number of drugs in our
listing database and the current receipts
of Forms FDA 2657 and 2658 for
changes to listing information (and,
until recently, the number of receipts of
compliance verification reports), we
estimate that approximately 2,278
manufacturers, repackers, relabelers,
and drug product salvagers will provide
approximately 22,568 June and 22,568
December reviews and updates of listing
information (a total of 45,136
submissions annually), and that
approximately 5,594 manufacturers,
repackers, relabelers, and drug product
salvagers will provide approximately
81,980 June and 81,980 December
reviews and certifications that no
changes have occurred (a total of
163,960 submissions annually).
The estimates for the number of drug
listings submitted by manufacturers,
repackers, relabelers, and drug product
salvagers include both domestic and
foreign listings and the listings that
would be submitted by manufacturers,
repackers, relabelers, and drug product
salvagers for private label distributors.
The estimates also include the time for
submitting information for an NDC
number under proposed § 207.33. The
drugs that would be listed include PET
drugs, an additional 57 drugs listed by
approximately 5 foreign establishments
as a result of the revocation of the
exemptions for foreign establishments,
and approximately 30 plasma
derivatives. The estimates for the
number of June and December reviews
and updates of listing information or
reviews and certifications that no
changes have occurred would include
the number of changes to drug
characteristics submitted to obtain a
new NDC number under proposed
§ 207.33(f) and the reports of the
withdrawal of an approved drug from
sale under § 314.81(b)(3)(iii) and, for
biological products, under § 601.2(f).
Based on our familiarity with the
content of current listing forms and
submissions and the time required to
input listing information during our
electronic drug registration and listing
system pilot project, we estimate that it
will take manufacturers, repackers,
relabelers, and drug product salvagers
approximately 1 hour and 30 minutes to
provide electronically information for

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51341

each drug they list for the first time (for
both foreign and domestic listings). This
estimate is an average of the time it will
take manufacturers, repackers,
relabelers, and drug product salvagers,
with drug product salvagers taking
considerably less time than
manufacturers. This estimate includes
the time for submitting the content of
labeling in electronic format under
proposed § 207.61(a)(2) and for
submitting other labeling and
advertisements in paper or electronic
format under proposed §§ 207.49(g) and
(h) and 207.53(d) and (e). This estimate
is only until manufacturers, repackers,
relabelers, and drug product salvagers
become familiar with using the
electronic drug registration and listing
system. We intend to lower this burden
estimate to approximately 45 minutes
when we submit to OMB the request to
renew approval of this information
collection.
We also estimate that it will take
approximately 30 minutes for each June
and December review and update of
listing information, and approximately
15 minutes for each review and
certification that no changes have
occurred. These estimates include the
time for submitting any labeling and
advertisements for each drug, changes to
the drug’s characteristics submitted for
a new NDC number under proposed
§ 207.33(f), and reports of the
withdrawal of an approved drug from
sale under § 314.81(b)(3)(iii). This
estimate is only until manufacturers,
repackers, relabelers, and drug product
salvagers become familiar with using
the electronic drug registration and
listing system. We intend to lower this
burden estimate to approximately 15
minutes for each review and update and
approximately 5 minutes for each
review and certification when we
submit to OMB the request to renew
approval of this information collection.
We note that these estimates for the
electronic submission of this
information would be a reduction in the
currently approved estimate of 2.50
hours (OMB Control Number 0910–
0045) for preparing and mailing to FDA
Form FDA 2657 and FDA Form FDA
2658.
We intend to migrate into our new
electronic drug registration and listing
system current listing information that
had been submitted using paper forms.
As a result, current manufacturers,
repackers, relabelers, and drug product
salvagers will need additional time to
review all current listing information in
the new database and make any
necessary revisions. We estimate that it
will take on average 45 minutes to
review and update each drug’s listing

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information (the listing information
includes information submitted for an
NDC number).

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C. Registration and Listing Information
Under Part 607
1. Proposed Requirements
Under proposed § 607.22,
manufacturers may electronically
obtain, complete, and submit to FDA
Form FDA 2830 (Blood Establishment
Registration and Product Listing) or may
request a copy of the form by e-mail.
Currently, under § 607.22,
manufacturers must register
establishments and list blood products
on Form FDA 2830. The proposal is
consistent with the current requirement
to register establishments and list
products approved under OMB Control
Number 0910–0052.
Under proposed § 607.25(b)(1), blood
establishments are required to list blood
products by the established and
proprietary name. This proposal is
consistent with the current listing
requirement approved under OMB
Control Number 0910–0052. Currently,
blood establishments list bulk product
substances as well as finished dosage
forms under both parts 607 and 207 to
obtain an NDC number. The proposal
would reduce reporting burden by
requiring blood establishments to list
only under part 607. To be consistent
with part 207, we are also proposing to
delete the reference in part 607 to Form
FDA 2250 (National Drug Code
Directory Input) because this form is no
longer being used by CDER or CBER.
Under proposed § 607.40, foreign
establishments must register each
establishment before their blood
product enters a foreign trade zone and
are reexported from that foreign trade
zone without having entered U.S.
commerce. This proposal is consistent
with the current registration
requirement in that establishments must
register before their blood products are
imported or offered for import into the
United States. The proposal would also
include additional foreign
establishments as a result of the
revocation of the exemption under
section 801(d)(4) of the act for blood
products that enter a foreign trade zone
and are reexported from that foreign
trade zone without having entered U.S.
commerce. Under the proposal, we are
requiring additional information for
each foreign establishment. The
proposal would also require the foreign
establishment to report to FDA changes
in the United States agent’s name,
address, telephone and fax numbers,
and e-mail address within 30 calendar
days of the change. The proposal would

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lengthen the time period from 10
business days to 30 calendar days for
reporting changes in the United States
agent to FDA.
2. Burden Estimates
Based on the number of new
establishments that currently register
with FDA each year, we estimate that
approximately 15 foreign establishments
would provide new establishment
registrations annually. Based on the
number of registered establishments in
our database, we estimate that
approximately 21 foreign establishments
would provide approximately 105
annual reviews and updates of
registration information or reviews and
certifications that no changes have
occurred. Based on the number of
changes to registration information that
have been submitted annually on Form
FDA 2830, we estimate that
approximately 21 foreign establishments
would provide approximately 80
product listing updates.
The estimates above include 10
foreign establishments with blood
products that enter a foreign trade zone
and are reexported from that foreign
trade zone without having entered U.S.
commerce under section 801(d)(4) of the
act. We estimate that it would take
approximately 60 minutes to provide
the initial registration and listing
information for each new establishment.
We estimate that it would take
approximately 30 minutes for each
annual review and update of registration
and listing information, including each
review and certification that no changes
have occurred.
We estimate that it would take
approximately 15 minutes to provide
the product listing update for each
establishment.
The burden hour estimates above are
based on institutional experience with
the current registration and listing
requirements. The estimates are an
average of the time it would take to
register a foreign establishment and an
average of the time it would take to
review registration and listing
information and update several
registration and listing items in the
database or review information and only
certify that no changes have occurred.
D. Registration and Listing Information
Under Part 1271
1. Proposed Requirements
Under proposed § 1271.22,
establishments must register, list
products, and provide updates
electronically. The current regulation
requires registration, listing, and
updates either electronically or in paper

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form using Form FDA 3356 and is
approved under OMB Control Number
0910–0469.
Under proposed § 1271.25,
establishments would submit the
telephone and fax numbers, and e-mail
address of the reporting official. Each
foreign establishment would submit the
name, the address, telephone and fax
numbers, and e-mail address of each
importer that is known to the
establishment and the name of each
person who imports or offers for import
such HCT/P to the United States.
Foreign establishments would also
submit the name, the address, telephone
and fax numbers, and e-mail address of
their United States agent.
Under proposed § 1271.26,
establishments must report a change to
the United States agent’s name, address,
telephone and fax number, and e-mail
address. The proposal would also
lengthen to 30 calendar days the current
requirement of reporting the changes
within 5 days.
2. Burden Estimates
Based on the number of new
establishments that currently register
with FDA each year, we estimate that
approximately 300 establishments
would provide new establishment
registration annually. Based on
information from FDA’s database, we
estimate that approximately 2,000
establishments are registered and listed
with FDA. The number of
establishments that currently register
and list with FDA include both foreign
and domestic establishments. Based on
information from FDA’s database, we
estimate that approximately 1,400
establishments would provide
establishment and listing updates. If no
change has occurred, an update is not
required. Based on the number of
establishments from FDA’s database, we
estimate that approximately 1,800
establishments would provide
approximately 2,100 changes to
establishment ownership or location, or
changes to the United States agent’s
information.
We estimate that it would take
approximately 45 minutes to provide
the initial registration and listing
information for each new establishment.
We estimate that it would take
approximately 30 minutes for each
annual review and update of registration
and listing information for each
establishment.
We estimate that it would take
approximately 15 minutes for each
establishment to provide a change in
ownership and location, or a change to
the United States agent’s information.

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The burden hour estimates above are
based on institutional experience with
the current registration and listing
requirements. The estimates are an
average of the time it would take to
register an establishment, and an
average of the time it would take to
review registration and listing
information, and update several
registration and listing items in the
database.
E. User Account Information for
Electronic System
Under proposed § 207.61,
establishment registration and drug
listing information must be submitted to
us in electronic format. In addition, the
content of labeling must be submitted in
electronic format. Other labeling and
advertisements may be provided in
paper or electronic format. Electronic
format submissions must be in a form
that we can process, review, and
archive. Prior to accepting registration
and listing information from the online
system, we may need to authenticate the
source (that is, manufacturer, repacker,
relabeler, or drug product salvager)
providing the data. We are proposing to
authenticate entry into the electronic
drug registration and listing system by
establishing user accounts based on the
current registration information. We
would contact currently registered
manufacturers, repackers, relabelers, or
drug product salvagers and request that
they provide electronic contact
information to establish an
administration account.
We estimate that approximately 8,343
manufacturers, repackers, relabelers,
and drug product salvagers will provide
this information (approximately 8,343
submissions) and that it will take
approximately 15 minutes to provide
the requested information.
F. Waiver Request Information

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1. Part 207
Under proposed § 207.65,
manufacturers, repackers, relabelers,
and drug product salvagers may request
a waiver from the requirement in
§ 207.61 that information must be
provided to us in electronic format. We
expect very few waiver requests because
only a computer, Internet access, and an
email address are needed to register and
list.
We estimate that approximately two
manufacturers, repackers, relabelers, or
drug product salvagers would request a
waiver annually, and that each request
would take approximately 1 hour to
prepare and submit to us.
In those instances when we grant a
request for a waiver, we intend to make

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available to the manufacturer, repacker,
relabeler, or drug product salvager paper
forms—revised Form FDA 2656 for
registration and revised Form FDA 2657
for listing (the listing form would
include a section for submitting the
information required to obtain an NDC
number). We intend to request public
comment and OMB approval for the
revised forms before the effective date of
any final rule. The proposed form will
be available from the Division of
Compliance Risk Management and
Surveillance, Office of Compliance,
Center for Drug Evaluation and Research
(HFD–330), Food and Drug
Administration, 5600 Fishers Lane,
Rockville, MD 20857, 301–827–8920,
[email protected] or
[email protected].
2. Part 607
Under proposed § 607.40(f)(1), foreign
establishments may request a waiver
from the requirement in § 607.40(e) that
information must be provided to FDA in
electronic format. We expect very few
waiver requests because only a
computer, Internet access, and an e-mail
address are needed to register and list.
We estimate that approximately two
manufacturers would request a waiver
annually, and that each request would
take approximately 1 hour to prepare
and submit to us.
In those instances when we grant a
request for a waiver, we intend to make
available to the manufacturer the paper
form—Form FDA 2830 for registration
and listing.
3. Part 1271
Under proposed § 1271.23,
manufacturers may request a waiver
from the requirement in § 1271.22 that
information must be provided to FDA in
electronic format. We expect few waiver
requests because only a computer,
Internet access, and an e-mail address
are needed to register and list.
We estimate that approximately 100
manufacturers would request a waiver
annually, and that each request would
take approximately 1 hour to prepare
and submit to FDA.
In those instances when we grant a
request for a waiver, we intend to make
available to the manufacturer the paper
form—revised Form FDA 3356 for
registration and listing. We intend to
request public comment and OMB
approval for the revised form before the
effective date of any final rule.
G. Public Disclosure Exemption
Requests
Under proposed § 207.81(c),
manufacturers, repackers, relabelers,
and drug product salvagers may request

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51343

that certain information in proposed
§ 207.81(a) not be made available from
their registration and listing
information. Based on our experience
with registration and listing information
inspection requests under current
§ 207.37, we estimate that
approximately 100 manufacturers,
repackers, relabelers, or drug product
salvagers would submit this request
annually, and that each request would
take approximately 1 hour to prepare
and submit to us.
H. Revised Labeling Submitted With
Annual Report
Under the proposal, the NDC number
must appear on all drug labels for drugs
subject to the listing requirements.
Manufacturers, repackers, and relabelers
for drug products that do not already
have an NDC number on the label
would be required to include the NDC
number assigned by us. Manufacturers,
repackers, and relabelers for drug
products that have an NDC number on
the label as it is currently required
would be required to examine their
current NDC number to ensure that it
complies with the NDC number
requirements in proposed §§ 201.2,
207.33, and 207.37, and would have to
obtain a new NDC number from us if
necessary.
When there is a change in the NDC
number on a drug label, or when an
NDC number is added to a label,
application holders must submit revised
labeling to us with their annual reports
under § 314.81(b)(2) for human drugs,
§ 514.80(b)(4) for animal drugs
(‘‘periodic reports’’ are required instead
of ‘‘annual reports’’), and § 601.12(f)(3)
for biological drugs. The submission of
annual reports (or periodic reports for
animal drugs) under these regulations is
already approved by OMB under
Control Number 0910–0001 for human
drugs (approval expires 5/31/08),
Control Number 0910–0284 for animal
drugs (approval expires 9/30/06), and
Control Number 0910–0338 for
biological products (approval expires 9/
30/08). There would be no additional
information collection burden
associated with any labeling revision
because of a new NDC number assigned
by us because it would be ‘‘public
disclosure of information originally
supplied by the Federal government to
the recipient for the purpose of
disclosure to the public’’ and exempt
under the PRA (5 CFR 1320.3(c)(2)).
However, we have estimated a burden of
approximately 5 minutes per annual
report as the time required to state in
the annual report that the labeling has
been revised to include a new NDC
number and the additional time

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required to submit to us the revised
labeling with the annual report. For the
number of submissions, we estimate
that no more than approximately onehalf of all annual reports submitted for
products already listed with FDA on the
effective date of the final rule would
include this information.

I. Capital Costs
There are one-time capital costs
associated with this proposed
rulemaking. These costs are discussed
in section VI of this document,
‘‘Analysis of Economic Impacts.’’
We specifically request comments on
the burden hour estimates described

previously in this document and in
tables 6, 7, and 8 of this document.
Description of Respondents:
Manufacturers, repackers, relabelers,
and drug product salvagers.
Burden Estimate: Tables 6, 7, and 8 of
this document provide an estimate of
the annual reporting burden for the
proposed registration and listing
requirements.

TABLE 6.—ESTIMATED ANNUAL REPORTING BURDEN UNDER PROPOSED PART 207
No. of
Respondents

21 CFR Sections and Reporting Requirements
Initial Establishment Registration (207.25)
Annual Review and Update of Registration Information (207.29)
Expedited Updates (207.29)
Initial Listing and NDC Number Information (207.33,
207.49, 207.53, 207.54, 207.55)
Review and Update of Listing Information (June and
December) (207.33, 207.37, 207.57,
314.81(b)(3)(iii), 601.2(f))
Review and Certification of Listing Information (June
and December) (207.57, 601.2(f))

No. of Responses
Per Respondent

Total Annual
Responses

Hours Per
Registration
and Listing

Total Hours

987

1.14

1,128

1 hour

8,343
775

1.45
2.46

12,137
1,921

.50 hours
.25 hours

6,068.5
480.25

1,812

7.63

13,821

1.50 hrs.

20,731.50

2,278

19.81

45,136

.50 hours

22,568

5,594

29.29

163,960

.25 hours

40,990

Review of registration information already in FDA
database on effective date of final rule

8,343

1.45

12,137

.50 hours

Review of listing information already in FDA database
on effective date of final rule

7,962

13.13

104,548

.75 hours

User accounts for electronic system

8,343

1

8,343

.25 hours

2

1

2

1 hour

2

100

1

100

1 hour

100

3,981

13.13

52,289

5 minutes

Waiver requests (207.65) Revised Forms FDA 2656
and 2657
Public disclosure exemption requests (207.81(c))
Annual report revision for new NDC number
(314.81(b)(2), 514.80(b)(4), 601.12(f)(3))
Total Reporting Burden

1,128

6,068.5
78,411
2,085.75

871.5
179,505

TABLE 7.—ESTIMATED ANNUAL REPORTING BURDEN UNDER PROPOSED PART 607
No. of
Respondents

21 CFR Sections

No. of Responses
Per Respondent

Total Annual
Responses

Total Hours

Initial Establishment Registration and Blood Product
Listing (607.40)

15

1

15

1

Annual Review and Update of Establishment Registration and Blood Product Listing (607.40)

21

5

105

0.5

Product Listing Update (607.40)

21

3.8

80

0.25

20

2

1

2

1

2

Waiver requests (607.40(f)(1)) Revised Form FDA
2830
Total Reporting Burden
jlentini on PROD1PC65 with PROPOSAL2

Hours Per
Registration
and Listing

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15
52.5

89.5

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TABLE 8.—ESTIMATED ANNUAL REPORTING BURDEN UNDER PROPOSED PART 1271
No. of
Respondents

21 CFR Sections
Initial Establishment Registration and Listing
(1271.25)
Annual Review and Update of Establishment Registration and Listing (1271.25)
Waiver requests (1271.23) Revised Form FDA 3356
Amend Establishment Registration (1271.26)

No. of Responses
Per Respondent

Total Annual
Responses

Hours Per
Registration
and Listing

300

1

300

0.75

2,000

1.4

1,400

0.5

100

1

100

1

100

1800

1.16

2100

0.25

525

Total Reporting Burden

VIII. Environmental Impact
We have determined under 21 CFR
25.30(h) and 25.30(k) that this action is
of a type that does not individually or
cumulatively have a significant effect on
the human environment. Therefore,
neither an environmental assessment
nor an environmental impact statement
is required.
IX. Proposed Effective Date
We propose that any final rule based
on this proposal become effective 90
days after publication in the Federal
Register.

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X. Proposed Compliance Dates
We are proposing that our electronic
drug registration and listing system be
used to enter and update all registration,
listing, and NDC number information no
later than 9 months after the effective
date of a final rule. As discussed in
section IV.C.4.a of this document,
manufacturers, repackers, and relabelers
would have until 9 months after the
effective date of a final rule to review
and update the NDC number
information in our database for each of
their drugs to ensure that it complies
with proposed §§ 201.2, 207.33, 207.37,
610.60, and 610.61. In addition, as
discussed in section IV.C.4.b of this
document, manufacturers, repackers,
and relabelers would have, for
prescription drugs, 3 years after the
effective date of a final rule and, for
OTC drugs, 7 years after the effective

17:08 Aug 28, 2006

225
501.5

1550.5

In compliance with section 3507(d) of
the PRA, we have submitted the
information collection provisions of this
proposed rule to OMB for review.
Interested persons are requested to fax
comments regarding information
collection to the Office of Information
and Regulatory Affairs, OMB, New
Executive Office Bldg., 725 17th St.
NW., rm. 10235, Washington DC 20503,
Attn: Desk Officer for FDA, FAX: (202)
395–6974.

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date of a final rule, to ensure that the
appropriate NDC number correctly
appears on the label of each of their
listed drugs, in accordance with the
requirements in proposed §§ 201.2,
207.33, 207.37, 610.60, and 610.61. We
are considering shortening the
compliance dates by which the
appropriate NDC number must appear
on drug labels to 2 years after the
effective date of a final rule for
prescription drugs and 5 years after the
effective date of a final rule for OTC
drugs. We discuss this issue further in
section VI of this document, ‘‘Analysis
of Economic Impacts.’’
We specifically request comments on
these proposed compliance dates.
XI. Federalism
We have analyzed this proposed rule
in accordance with the principles set
forth in Executive Order 13132. We
have determined that the rule does not
contain policies that have substantial
direct effects on the States, on the
relationship between the National
Government and the States, or on the
distribution of power and
responsibilities among the various
levels of government. Accordingly, we
have concluded that the rule does not
contain policies that have federalism
implications as defined in the Executive
order and, consequently, a federalism
summary impact statement is not
required.

of Dockets Management between 9 a.m.
and 4 p.m., Monday through Friday.
XIII. References
The following references have been
placed on display at the Division of
Dockets Management (see ADDRESSES)
and may be seen by interested persons
between 9 a.m. and 4 p.m., Monday
through Friday.
1. Letter from John M. Coster, Vice
President, Policy and Programs, NACDS, and
Lisa Clowers, Senior Vice President, Industry
Relations, HDMA, to Michael D. Jones, FDA,
dated September 27, 2004.
2. Letter from the Deputy Director, Division
of Prescription Drug Compliance and
Surveillance, CDER, FDA to John M. Coster,
National Association of Chain Drug Stores,
August 24, 1997.
3. Eastern Research Group, Inc., Foreign
and Domestic Establishment Registration and
Listing Requirements for Human Drugs,
Certain Biological Drugs, and Animal Drugs,
August 2005.
4. Eastern Research Group, Inc., Profile of
the Prescription Drug Wholesale Industry,
February 2001.
5. Eastern Research Group, Inc., Cost
Impacts of the Over-the-Counter
Pharmaceutical Labeling Regulation, March
1999.

List of Subjects
21 CFR Part 20
Confidential business information,
Courts, Freedom of information,
Government employees.

XII. Request for Comments

21 CFR Part 201

Interested persons may submit to the
Division of Dockets Management (see
ADDRESSES) written or electronic
comments regarding this proposal.
Submit a single copy of electronic
comments or two paper copies of any
mailed comments, except that
individuals may submit one paper copy.
Comments are to be identified with the
docket number found in brackets in the
heading of this document. Received
comments may be seen in the Division

Drugs, Labeling, Reporting and
recordkeeping requirements.

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21 CFR Part 207
Drugs, Reporting and recordkeeping
requirements.
21 CFR Part 314
Administrative practice and
procedure, Confidential business
information, Drugs, Reporting and
recordkeeping requirements.

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§ 201.1

21 CFR Part 330
Over-the-counter drugs.
21 CFR Parts 514 and 515
Administrative practice and
procedure, Animal drugs, Confidential
business information, Reporting and
recordkeeping requirements.
21 CFR Part 601
Administrative practice and
procedure, Biologics, Confidential
business information.
21 CFR Part 607
Blood.
21 CFR Part 610
Biologics, Labeling, Reporting and
recordkeeping requirements.
21 CFR Part 1271
Biologics, Drugs, Human cells and
tissue-based products, Medical devices,
Reporting and recordkeeping
requirements.
Therefore, under the Federal Food,
Drug, and Cosmetic Act, the Public
Health Service Act, and under authority
delegated to the Commissioner of Food
and Drugs, it is proposed that 21 CFR
parts 20, 201, 207, 314, 330, 514, 515,
601, 607, 610, and 1271 be amended as
follows:
PART 20—PUBLIC INFORMATION
1. The authority citation for 21 CFR
part 20 continues to read as follows:
Authority: 5 U.S.C. 552; 18 U.S.C. 1905;
19 U.S.C. 2531–2582; 21 U.S.C. 321–393,
1401–1403; 42 U.S.C. 241, 242, 242a, 242l,
242n, 243, 262, 263, 263b–263n, 264, 265,
300u–300u–5, 300aa-l.
§ 20.100

[Amended]

2. Section 20.100 is amended in
paragraph (c)(9) by removing ‘‘§ 207.37’’
and by adding in its place ‘‘§ 207.81’’.
3. Section 20.116 is revised to read as
follows:
§ 20.116 Drug and device registration and
listing information.

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Information submitted to the Food
and Drug Administration pursuant to
section 510(a) through (j) of the act shall
be subject only to the special disclosure
provisions established in §§ 207.81 and
807.37 of this chapter.
PART 201—LABELING
4. The authority citation for 21 CFR
part 201 continues to read as follows:
Authority: 21 U.S.C. 321, 331, 351, 352,
353, 355, 358, 360, 360b, 360gg–360ss, 371,
374, 379e; 42 U.S.C. 216, 241, 262, 264.

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[Amended]

5. Section 201.1 is amended in
paragraph (f) by removing ‘‘§ 207.3(b)’’
and by adding in its place ‘‘§ 207.1’’.
6. Section 201.2 is revised to read as
follows:
§ 201.2 Drugs; National Drug Code (NDC)
number.

(a) What drugs must have an NDC
number in human-readable form on the
label? Drugs subject to the drug listing
requirements of part 207 of this chapter
must have labels that bear the
appropriate NDC number in humanreadable form, in accordance with the
provisions of this section.
(b) What is the appropriate NDC
number? The appropriate NDC number
is the NDC number of the manufacturer,
repacker or relabeler (including a drug
product salvager who repacks or
relabels the drug), or private label
distributor, as defined in § 207.1 of this
chapter, that is the last manufacturer,
repacker, relabeler, or private label
distributor responsible for the drug
immediately before it is received by the
wholesaler or retailer. The appropriate
NDC number is assigned to the drug as
described in §§ 207.33 and 207.37 of
this chapter. The unique NDC number
assigned to each package size and type
of a drug must appear on the
corresponding label for the particular
package size and type of the drug.
(c) May any other NDC number
appear on the label? No. Only the
appropriate NDC number required by
paragraph (b) of this section to appear
on the label may appear on the label.
(d) What prefix must be used to
identify the NDC number on the label?
The NDC number in human-readable
form must be immediately preceded by
the letters NDC.
(e) Must the NDC number appear at a
specific location on the label? No.
However, the appropriate NDC number
must appear clearly on the drug’s label
as defined by section 201(k) of the
Federal Food, Drug, and Cosmetic Act.
7. Section 201.25 is amended in
paragraph (c)(1) introductory text by
adding a sentence after the first sentence
and by adding paragraph (e) to read as
follows:
§ 201.25

Bar code label requirements.

*

*
*
*
*
(c) * * *
(1) * * * For purposes of this section
‘‘appropriate NDC number’’ is described
in § 201.2(b). * * *
*
*
*
*
*
(e) Can a drug that is not subject to the
bar code requirement display a bar
code? A drug product that is subject to
the drug listing requirements of part 207

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of this chapter but is not subject to this
section may display a bar code on the
label only if the bar code meets the
requirements of paragraph (c) of this
section.
8. Part 207 is revised to read as
follows:
PART 207—REQUIREMENTS FOR
FOREIGN AND DOMESTIC
ESTABLISHMENT REGISTRATION
AND LISTING FOR HUMAN DRUGS,
INCLUDING DRUGS THAT ARE
REGULATED UNDER A BIOLOGICS
LICENSE APPLICATION, AND ANIMAL
DRUGS
Subpart A—General
Sec.
207.1 What definitions and interpretations
of terms apply to this part?
207.5 What is the purpose of this part?
207.9 Who does this part cover?
207.13 Who is exempt from the registration
and listing requirements?
Subpart B—Registration
207.17 Who must register?
207.21 When must initial registration
information be provided?
207.25 What information is required for
registration?
207.29 What are the requirements for
reviewing and updating registration
information?
Subpart C—National Drug Code Number
207.33 What is the National Drug Code
(NDC) number, who must obtain it, and
what information must be submitted?
207.37 What restrictions pertain to the use
of NDC numbers?
Subpart D—Listing
207.41 Who must list drugs?
207.45 When must initial listing
information be provided?
207.49 What listing information is required
for manufacturers?
207.53 What listing information is required
for repackers and relabelers?
207.54 What listing information is required
for drug product salvagers who are not
repackers or relabelers?
207.55 What additional drug listing
information may be required?
207.57 What are the requirements for
reviewing and updating listing
information?
Subpart E—Electronic Format for
Registration and Listing
207.61 How is registration and listing
information provided to FDA?
207.65 How is a waiver from the electronic
format requirement requested?
Subpart F—Miscellaneous
207.69 What are the requirements for an
official contact and a United States
agent?
207.77 What legal status is conferred by
registration and listing?
207.81 What registration and listing
information will we make available for
public disclosure?

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Federal Register / Vol. 71, No. 167 / Tuesday, August 29, 2006 / Proposed Rules
Authority: 21 U.S.C. 321, 331, 351, 352,
355, 360, 360b, 371, 374, 381, 393; 42 U.S.C.
262, 264, 271.

Subpart A—General

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§ 207.1 What definitions and
interpretations of terms apply to this part?

The definitions and interpretations of
terms in section 510 of the act apply to
the terms used in this part. The
following definitions also apply to this
part:
Act means the Federal Food, Drug,
and Cosmetic Act (52 Stat. 1040, et seq.,
as amended (21 U.S.C. 301, et seq.)),
except as otherwise provided.
Active pharmaceutical ingredient
means any substance that is intended to
furnish pharmacological activity or
other direct effect in the diagnosis, cure,
mitigation, treatment, or prevention of
disease, or to affect the structure or any
function of the body. Active
pharmaceutical ingredient does not
include intermediates used in the
synthesis of the substance.
Commercial distribution means any
distribution of a human drug except for
investigational use under part 312 of
this chapter, and any distribution of an
animal drug or an animal feed bearing
or containing an animal drug for
noninvestigational uses, but the term
does not include internal or interplant
transfer of an active pharmaceutical
ingredient between registered
establishments within the same parent,
subsidiary, and/or affiliate company.
For foreign manufacturers, foreign
repackers, foreign relabelers, foreign
drug product salvagers, foreign private
label distributors, and foreign
establishments, the term ‘‘commercial
distribution’’ has the same meaning
except the term does not include
distribution of any drug that is neither
imported nor offered for import into the
United States.
Content of labeling means: (1) For
human prescription drugs that the
manufacturer regards as subject to
section 505 of the act or section 351 of
the Public Health Service Act: The
content of the prescription drug labeling
(as specified in §§ 201.56, 201.57, and
201.80 of this chapter), including all
text, tables, and figures.
(2) For human prescription drugs that
the manufacturer regards as not subject
to section 505 of the act or section 351
of the Public Health Service Act: The
labeling equivalent to the content of the
prescription drug labeling (as specified
in §§ 201.56, 201.57, and 201.80 of this
chapter), including all text, tables, and
figures.
(3) For human over-the-counter (OTC)
drugs: The content of the drug facts

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labeling required by § 201.66 of this
chapter, including all text, tables, and
figures.
(4) For animal drugs (including, but
not limited to, drugs that the
manufacturer regards as subject to
section 512 of the act): The content of
the labeling that accompanies the drug
that is necessary to enable safe and
proper administration of the drug (e.g.,
the labeling specified in §§ 201.1 and
201.5 of this chapter), including all text,
tables, and figures.
Domestic for the purposes of
registration and listing under this part,
when used to modify the term
‘‘manufacturer,’’ ‘‘repacker,’’
‘‘relabeler,’’ ‘‘drug product salvager,’’
‘‘private label distributor,’’ or
‘‘establishment,’’ refers to a
manufacturer, repacker, relabeler, drug
product salvager, private label
distributor, or establishment within any
State or Territory of the United States,
the District of Columbia, or the
Commonwealth of Puerto Rico.
Drug(s) for the purposes of
registration and listing under this part,
has the meaning given in section
201(g)(1) of the act.
Drug product salvager means a person
who owns or operates an establishment
that engages in drug product salvaging.
When not modified by ‘‘domestic’’ or
‘‘foreign,’’ the term includes both
domestic drug product salvagers and
foreign drug product salvagers.
Drug product salvaging means
applying manufacturing controls such
as those required by current good
manufacturing practice in parts 210 and
211 of this chapter to drug products and
segregating out those drug products that
may have been subjected to improper
storage conditions (such as extremes in
temperature, humidity, smoke, fumes,
pressure, age, or radiation) for the
purpose of returning the products to the
marketplace.
Establishment for purposes of
registration and drug listing means a
place of business under one
management at one geographic location.
One geographic location may include
separate buildings within the same city
if their activities are closely related to
the same business enterprise and are
under the supervision of the same local
management. When not modified by
‘‘domestic’’ or ‘‘foreign,’’ the term
includes both domestic and foreign
establishments.
Establishment registration number
means the number assigned by FDA to
the establishment during the
establishment registration process
required in this part.
Foreign for the purposes of
registration and listing under this part:

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51347

(1) When used to modify the term
‘‘manufacturer,’’ ‘‘repacker,’’
‘‘relabeler,’’ ‘‘drug product salvager,’’ or
‘‘private label distributor’’ refers to a
manufacturer, repacker, relabeler, drug
product salvager, or private label
distributor who is located in a foreign
country and who manufactures, repacks,
relabels, salvages, or distributes a drug
that is imported or offered for import
into the United States.
(2) When used to modify the term
‘‘establishment’’ refers to an
establishment that is located in a foreign
country and is the site where a drug that
is imported or offered for import into
the United States was manufactured,
repacked, relabeled, salvaged, or
distributed.
Importer means, for purposes of this
part, a company or individual in the
United States that is an owner,
consignee, or recipient, even if not the
initial owner, consignee, or recipient, of
the foreign establishment’s drug that is
imported into the United States. An
importer does not include the consumer
or patient who ultimately purchases,
receives, or is administered the drug,
unless the foreign establishment ships
the drug directly to the consumer or
patient.
Manufacture means each step in the
manufacture, preparation, propagation,
compounding, or processing of a drug.
Manufacture includes the making by
chemical, physical, biological, or other
procedures or manipulations of a drug,
including control procedures applied to
the final product or to any part of the
process. Manufacture includes
manipulation, sampling, testing, or
control procedures applied to the final
product or to any part of the process,
including, for example, analytical
testing of drugs, for another registered
establishment’s drug. For purposes of
this part, and in order to clarify the
responsibilities of the different parties,
the term manufacture is defined and
used separately from the terms relabel,
repackage, and salvage, although the
term ‘‘manufacture, preparation,
propagation, compounding, or
processing,’’ as used in section 510 of
the act, includes relabeling,
repackaging, and drug product salvaging
activities.
Manufacturer means a person who
owns or operates an establishment that
manufactures a drug. This term
includes, but is not limited to, control
laboratories, contract laboratories,
contract manufacturers, contract
packers, contract labelers, and other
entities that manufacture a drug as
defined in this paragraph. For purposes
of this part, and in order to clarify the
responsibilities of the different parties,

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the term manufacturer is defined and
used separately from the terms relabeler,
repacker, and drug product salvager,
although the term ‘‘manufacture,
preparation, propagation, compounding,
or processing,’’ as used in section 510 of
the act, includes the activities of
relabelers, repackers, and drug product
salvagers. Repackers, relabelers, and
drug product salvagers are subject to the
provisions of this part that are
applicable to repackers, relabelers, and
drug product salvagers, but are not
subject to the provisions of this part that
are applicable to manufacturers. When
not modified by ‘‘domestic’’ or
‘‘foreign,’’ the term includes both
domestic manufacturers and foreign
manufacturers.
Material change means any change in
any drug listing information, as required
under §§ 207.49, 207.53, 207.54, 207.55,
or 207.57 except changes in
arrangement or printing of labeling,
labeling changes of an editorial nature,
or inclusion of a bar code or NDC
number on the label.
Person who imports or offers for
import means, for purposes of this part,
an agent, broker, or other entity, other
than a carrier, that the foreign
establishment uses to facilitate the
import of its drug into the United States.
Private label distributor means a
person who owns or operates an
establishment that commercially
distributes, under its own label or trade
name, any drug manufactured,
repacked, relabeled, or salvaged by a
registered establishment. When not
modified by ‘‘domestic’’ or ‘‘foreign,’’
the term includes both domestic private
label distributors and foreign private
label distributors.
Relabel means to change the label or
labels on a drug or drug package, or add
to the labeling for a drug or drug
package, without repacking the drug or
drug package.
Relabeler means a person who owns
or operates an establishment that
relabels a drug. When not modified by
‘‘domestic’’ or ‘‘foreign,’’ the term
includes both domestic relabelers and
foreign relabelers.
Repack means to repack or repackage
or otherwise change the container or
wrapper of a drug or drug package.
Repacker means a person who owns
or operates an establishment that
repacks a drug or drug package. When
not modified by ‘‘domestic’’ or
‘‘foreign,’’ the term includes both
domestic repackers and foreign
repackers.
Representative sampling of
advertisements means typical
advertising material (including the
promotional material described in

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§ 202.1(l)(1) of this chapter, but
excluding labeling as determined in
§ 202.1(l)(2) of this chapter), that gives
a balanced picture of the promotional
claims used for the drug.
Representative sampling of any other
labeling means typical labeling material
(including the promotional material
described in § 202.1(l)(2) of this chapter,
but excluding labels and package
inserts) that gives a balanced picture of
the promotional claims used for the
drug.
§ 207.5

What is the purpose of this part?

Establishment registration
information helps us to identify who is
manufacturing, repacking, relabeling, or
salvaging drugs and where those
operations are being performed. Drug
listing information gives us a current
inventory of marketed drugs. Both types
of information facilitate our
implementation and enforcement of the
act and are used for many important
public health purposes.
§ 207.9

Who does this part cover?

(a) This part applies to domestic
manufacturers, domestic repackers,
domestic relabelers, and domestic drug
product salvagers, not exempt under
section 510(g) of the act or § 207.13,
regardless of whether their drugs enter
interstate commerce.
(b) This part applies to foreign
manufacturers, foreign repackers,
foreign relabelers, and foreign drug
product salvagers, not exempt under
§§ 207.13(c) through (h).
(c) This part applies to certain
manufacturers of drugs regulated under
a biologics license application (BLA):
(1) Except as provided in paragraphs
(c)(2) and (c)(3) of this section, this part
applies to manufacturers of drugs
regulated under a BLA, including but
not limited to the following:
(i) Plasma derivatives such as
albumin, Immune Globulin, Factor VIII
and Factor IX, and recombinant versions
of plasma derivatives or animal derived
plasma derivatives;
(ii) Vaccines;
(iii) Allergenic products;
(iv) Bulk product substances such as
fractionation intermediates or pastes;
and
(v) Therapeutic biological products.
(2) This part, as well as part 1271 of
this chapter, applies to establishments
solely engaged in the manufacture (as
defined in § 1271.3(e) of this chapter) of
human cells, tissues, and cellular and
tissue-based products (HCT/Ps) (as
defined in § 1271.3(d) of this chapter)
that, under § 1271.20 of this chapter, are
also drugs regulated under section 351
of the Public Health Service Act or

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section 505 of the act. These
establishments must:
(i) Register and list those HCT/Ps with
the Center for Biologics Evaluation and
Research by following the procedures
described in subpart B of part 1271 of
this chapter, instead of the procedures
for registration and listing described in
this part, and
(ii) Submit to the Center for Biologics
Evaluation and Research the
information specified in
§§ 207.33(c)(2)(i) and (c)(2)(ii),
207.49(a), (b), (g), and (h)(2), 207.53(a),
(c), (d), and (e)(2), 207.54(b)(1), and
207.55.
(3) This part does not apply to owners
and operators of human blood and
blood product establishments, except as
provided in paragraphs (c)(1)(i) and
(c)(1)(iv) of this section. Establishments
that collect or process whole blood and
blood products as well as
establishments involved in testing of
whole blood and blood products must
register and list under part 607 of this
chapter. Manufacturers of licensed
devices and manufacturers of licensed
biologic components used in a licensed
device must register and list under part
607 of this chapter.
(d) This part does not apply to
establishments that solely manufacture,
prepare, propagate, compound,
assemble, or process medical devices.
Registration and listing regulations for
such establishments are codified in part
807 of this chapter.
§ 207.13 Who is exempt from the
registration and listing requirements?

Except as provided in § 207.13(i), the
following classes of persons are exempt
from registration and drug listing in
accordance with this part under section
510(g) of the act or because we have
found, under section 510(g)(5) of the act,
that their registration is not necessary
for the protection of the public health.
This exemption is limited to
establishment registration and drug
listing requirements and does not
relieve a person from other statutory or
regulatory obligations.
(a) Pharmacies. (1) Pharmacies that:
(i) Operate in conformance with all
applicable local laws regulating the
practice of pharmacy, including all
applicable local laws regulating the
dispensing of prescription drugs;
(ii) Regularly engage in dispensing
prescription drugs upon prescription of
practitioners licensed by law to
administer these drugs to patients under
their professional care; and
(iii) Do not manufacture (as defined in
§ 207.1), repack, or relabel drugs for sale
other than in the regular course of the

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practice of pharmacy, including
dispensing and selling drugs at retail.
(2) The exemption in paragraph (a) of
this section is limited to pharmacies
located in any State as defined in
section 201(a)(1) of the act.
(b) Hospitals, clinics, other health
care entities, and public health
agencies. (1) Hospitals, clinics, other
health care entities, and public health
agencies that:
(i) Operate establishments in
conformance with all applicable local
laws regulating the practice of pharmacy
and medicine, including all applicable
local laws regulating the dispensing of
prescription drugs;
(ii) Regularly engage in dispensing
prescription drugs, other than human
blood or blood products, upon
prescription of practitioners licensed by
law to administer these drugs to patients
under their professional care; and
(iii) Do not manufacture (as defined in
§ 207.1), repack, or relabel drugs other
than in the regular course of the practice
of pharmacy, including dispensing.
(2) The exemption in paragraph (b) of
this section is limited to hospitals,
clinics, other health care entities, and
public health agencies located in any
State as defined in section 201(a)(1) of
the act.
(c) Practitioners who are licensed by
law to prescribe or administer drugs and
who manufacture, repack, or relabel
drugs solely for use in their professional
practice.
(d) Manufacturers, repackers,
relabelers, or drug product salvagers
who manufacture, repack, relabel, or
salvage drugs solely for use in research,
teaching, or chemical analysis and not
for sale.
(e) Manufacturers, repackers,
relabelers, and drug product salvagers of
harmless inactive ingredients that are
excipients, colorings, flavorings,
emulsifiers, lubricants, preservatives, or
solvents that become components of
drugs.
(f) Manufacturers, repackers,
relabelers, or drug product salvagers of
Type B or Type C medicated feeds,
except for manufacturers, repackers,
relabelers, or drug product salvagers of
Type B or Type C medicated feeds made
from Category II, Type A medicated
articles. This exemption does not apply
to persons that would otherwise be
required to register (such as
manufacturers, repackers, relabelers, or
drug product salvagers of certain freechoice feeds, as defined in § 510.455 of
this chapter, or certain liquid feeds, as
defined in § 558.5 of this chapter, where
the specifications and/or formulas are
not published and a feed mill license is
required). All manufacturers, repackers,

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relabelers, or drug product salvagers of
Type B or Type C medicated feeds are
exempt from listing.
(g) Any manufacturer, repacker,
relabeler, or drug product salvager of a
virus, serum, toxin, or analogous
product intended for the treatment of
domestic animals who holds an
unsuspended and unrevoked license
issued by the Secretary of Agriculture
under the animal virus-serum-toxin law
of March 4, 1913 (37 Stat. 832 (21 U.S.C.
151 et seq.)), provided that this
exemption from registration applies
only to the manufacturer, repacker,
relabeler, or drug product salvager of
that animal virus, serum, toxin, or
analogous product.
(h) Carriers, in their receipt, carriage,
holding, or delivery of drugs in the
usual course of business as carriers.
(i) The exemptions provided in
paragraphs (a) through (h) of this section
do not apply to such persons if they:
(1) Manufacture (as defined in
§ 207.1), repack, relabel, or salvage
compounded positron emission
tomography drugs as defined in section
201(ii) of the act.
(2) Manufacture (as defined in
§ 600.3(u) of this chapter) a biological
product subject to licensing under
section 351 of the Public Health Service
Act;
(3) Manufacture (as defined in
§ 1271.3(e) of this chapter) an HCT/P
that, under § 1271.20 of this chapter, are
also drugs regulated under section 351
of the Public Health Service Act or
section 505 of the act; or
(4) Engage in activities that would
otherwise require them to register under
this part.
Subpart B—Registration
§ 207.17

Who must register?

(a) All manufacturers, repackers,
relabelers, and drug product salvagers
must register establishments in
accordance with this part. When
operations are conducted at more than
one establishment and joint ownership
and control among all the
establishments exists, the parent,
subsidiary, and/or affiliate company
may submit registration information for
all establishments.
(b) Private label distributors must not
register with us unless they also
manufacture, repack, relabel, or salvage
drugs and are required to register under
paragraph (a) of this section.
§ 207.21 When must initial registration
information be provided?

Domestic manufacturers, domestic
repackers, domestic relabelers, and
domestic drug product salvagers must

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51349

register each establishment no later than
5 calendar days after beginning to
manufacture, repack, relabel, or salvage
a drug. Foreign manufacturers, foreign
repackers, foreign relabelers, and foreign
drug product salvagers must register
each establishment before a drug
manufactured, repacked, relabeled, or
salvaged at the establishment is
imported or offered for import into the
United States.
§ 207.25 What information is required for
registration?

Manufacturers, repackers, relabelers,
and drug product salvagers must
provide the following information to us:
(a) Name of the owner or operator of
each establishment; if a partnership, the
name of each partner; if a corporation,
the name of each corporate officer and
director, and the place of incorporation;
(b) Name of each establishment;
(c) Any trade name(s) of the
establishment, names under which the
establishment conducts business, and
additional names by which the
establishment is known;
(d) Address of each establishment;
(e) Registration number of each
establishment, if previously assigned by
us; if not previously assigned by us, we
will assign a registration number after
we receive the registration information;
(f) Type of operations performed at
each establishment (for example,
manufacturing, repacking, relabeling, or
salvaging);
(g) Name, address, telephone and fax
numbers, and e-mail address of the
official contact, as provided in
§ 207.69(a), for each establishment; and
(h) With respect to foreign
establishments only, for drugs
manufactured, repacked, relabeled, or
salvaged at the establishment, the name,
address, telephone and fax numbers,
and e-mail address must also be
provided for:
(1) The United States agent, as
provided in § 207.69(b);
(2) Each importer of such drug in the
United States that is known to the
establishment; and
(3) Each person who imports or offers
for import such drug to the United
States.
§ 207.29 What are the requirements for
reviewing and updating registration
information?

(a) Expedited updates. Manufacturers,
repackers, relabelers, and drug product
salvagers must update their registration
information no later than 30 calendar
days after:
(1) Closing or selling an
establishment;
(2) Changing an establishment’s name
or address; or

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(3) Changing the name, address,
telephone and fax numbers, or e-mail
address of the official contact or the
United States agent. A manufacturer,
repacker, relabeler, and drug product
salvager, official contact, or United
States agent may notify us about a
change of information for the designated
official contact or United States agent,
but only a manufacturer, repacker,
relabeler, or drug product salvager may
designate a new official contact or
United States agent.
(b) Annual review and update of
registration information. Manufacturers,
repackers, relabelers, and drug product
salvagers must review and update all
registration information required under
§ 207.25 for each establishment.
(1) The first review and update must
occur no later than 1 year after the date
of initial registration, and subsequent
reviews and updates must occur no later
than annually thereafter from the date of
initial registration.
(2) The updates must reflect all
changes that have occurred since the
last annual review and update.
(3) If no changes have occurred since
the last annual registration
(accomplished through the review and
update of registration information),
manufacturers, repackers, relabelers,
and drug product salvagers must certify
that no changes have occurred.
Subpart C—National Drug Code
Number

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§ 207.33 What is the National Drug Code
(NDC) number, who must obtain it, and
what information must be submitted?

(a) What is the NDC number? The
NDC number is a unique 10 digit
number with 3 segments. The three
segments are the labeler code, the
product code, and the package code. We
will assign the complete NDC number
(that will include the existing labeler
code, if any) to each drug that is subject
to the listing requirements in this part.
(b) Who must obtain an NDC number?
(1) Manufacturers, repackers, or
relabelers, must obtain an NDC number
from us for each drug that is subject to
the drug listing requirements in this
part.
(2) Drug product salvagers must
obtain an NDC number from us for each
drug that is subject to the drug listing
requirements in this part only if they
repack or relabel the salvaged drug.
Drug product salvagers must follow the
requirements for repackers and
relabelers in paragraphs (d), (e), (f), and
(g) of this section.
(3) If you are a private label
distributor, the manufacturer, repacker,
relabeler or drug product salvager

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(described in paragraph (b)(2) of this
section) who manufactures, repacks, or
relabels a drug for you is responsible for
obtaining an NDC number from us for
each drug that is subject to the drug
listing requirements in this part.
(c) What information must a
manufacturer submit before we will
assign an NDC number to a drug? Before
we assign an NDC number to a drug, the
manufacturer must submit the
information required under paragraphs
(c)(1), (c)(2), or (c)(3) of this section. If
that information changes (or as
otherwise specified in paragraph (f) of
this section), we will assign a new NDC
number as described in paragraph (f) of
this section.
(1) Assigning an NDC number to an
active pharmaceutical ingredient. We
will assign a unique NDC number to a
drug that is an active pharmaceutical
ingredient when the manufacturer
provides the following information for
the drug:
(i) The manufacturer’s name, address,
telephone and fax numbers, e-mail
address, and labeler code;
(ii) The drug’s established name and
proprietary name, if any;
(iii) The package size and type; and
(iv) The Drug Master File number or
Veterinary Master File number, if any,
assigned to the active pharmaceutical
ingredient.
(2) Assigning an NDC number to a
manufacturer’s drug other than an
active pharmaceutical ingredient. We
will assign a unique NDC number to a
drug when the manufacturer provides,
in addition to the information described
in paragraphs (c)(1)(i) and (c)(1)(ii) of
this section, the following information
for the drug:
(i) The name and quantity of each
active pharmaceutical ingredient unless
the approved U.S. application number is
provided;
(ii) Unless the approved U.S.
application number is provided, the
name of each inactive ingredient for
each human and animal drug that the
manufacturer regards as subject to
section 505 or section 512 of the act or
section 351 of the Public Health Service
Act, and for each human over-thecounter drug that the manufacturer
regards as not subject to section 505 of
the act, and whether the name of the
inactive ingredient falls under § 20.61 of
this chapter or is otherwise prohibited
from disclosure and, if so, why;
(iii) The dosage form;
(iv) The package size and type,
including immediate unit-of-use
container;
(v) The drug’s marketing status (e.g.,
prescription or OTC);

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(vi) The drug or drug product type
(e.g., human drug or animal drug); and
(vii) For each drug product subject to
the listing requirements and covered
under § 206.1, including products that
are exempted under § 206.7(b),
manufacturers must provide the size,
shape, color, and code imprint (if any).
(3) Assigning an NDC number to a
drug manufactured for a private label
distributor. We will assign a unique
NDC number to a drug manufactured for
a private label distributor when the
manufacturer provides, in addition to
the information described in paragraph
(c)(1) of this section (for active
pharmaceutical ingredients
manufactured for a private label
distributor) or paragraph (c)(2) of this
section (for all other drugs
manufactured for a private label
distributor), the following information
for the drug:
(i) The private label distributor’s
name, address, telephone and fax
numbers, e-mail address, and labeler
code; and
(ii) The drug’s proprietary name, if
any, assigned by the private label
distributor.
(d) What information must the
repacker or relabeler submit before we
will assign an NDC number to a drug?
Before we assign an NDC number to a
drug, the repacker or relabeler must
submit the information required under
paragraphs (d)(1) or (d)(2) of this
section. If that information changes, we
will assign a new NDC number as
described in paragraph (f) of this
section.
(1) Assigning an NDC number to a
repacker’s or relabeler’s drug. We will
assign a unique NDC number to a drug,
including an active pharmaceutical
ingredient, when the repacker or
relabeler of the drug provides the
following information for the drug:
(i) The repacker or relabeler’s name,
address, telephone and fax numbers, email address, and labeler code;
(ii) The NDC number assigned to the
drug immediately before the drug is
received by the repacker or relabeler;
(iii) The type of operation performed
for the drug (that is, whether repacking
or relabeling);
(iv) The drug’s established name and
proprietary name, if any; and
(v) For the repacker only, the package
size and type, including immediate
unit-of-use container, if any.
(2) Assigning an NDC number to the
drug repacked or relabeled for a private
label distributor. We will assign a
unique NDC number to a drug repacked
or relabeled for a private label
distributor when the repacker or
relabeler provides, in addition to the

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information described in paragraph
(d)(1) of this section, the following
information for the drug:
(i) The private label distributor’s
name, address, telephone and fax
numbers, e-mail address, and labeler
code; and
(ii) The drug’s proprietary name, if
any, assigned by the private label
distributor.
(e) How must the information be
submitted to us? The information
required in paragraphs (c), (d), and (f) of
this section must be provided to us in
accordance with § 207.61(a)(1)(ii) and
(b), unless we grant a waiver under
§ 207.65.
(f) What changes in the information
will require a new NDC number? (1)
Manufacturers, repackers, and relabelers
must obtain a new NDC number for a
drug when there is a change in any of
the information for the drug required
under paragraphs (c) and (d) of this
section. Changes must be submitted to
us in accordance with paragraphs (e)
and (g) of this section. However, we will
not assign a new NDC number when the
change involves only the following
contact information for the
manufacturer, repacker, relabeler, or
private label distributor: Name, address,
telephone and fax numbers, and e-mail
address.
(2) In addition to the requirements in
paragraph (f)(1) of this section,
manufacturers must obtain a new NDC
number when there is a change in an
inactive ingredient for each human
prescription drug that the manufacturer
regards as not subject to section 505 of
the act and for each animal drug that the
manufacturer regards as not subject to
section 512 of the act.
(g) When must a manufacturer,
repacker, or relabeler provide the
information for an NDC number? A
manufacturer, repacker, or relabeler
must provide the information in
paragraphs (c), (d), and (f) of this section
to us either before or at the time drug
listing information is required under
§ 207.45 or § 207.57.

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§ 207.37 What restrictions pertain to the
use of NDC numbers?

Manufacturers, repackers, and
relabelers must not:
(a) Use an NDC number to represent
a different drug than the drug to which
the NDC number has been assigned
under § 207.33.
(b) Use a different NDC number if
marketing is resumed for a drug that
was discontinued earlier. If marketing is
resumed for a drug, and no changes
have been made to the drug that would
require a new NDC number under
§ 207.33(f), the drug must have the same

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NDC number that was assigned to it
under § 207.33 before marketing was
discontinued.
(c) Use the NDC number to denote
FDA approval of that drug.
(d) Use the NDC number on products
that are not subject to this part, such as
dietary supplements and medical
devices.
Subpart D—Listing
§ 207.41

Who must list drugs?

(a) Manufacturers, repackers,
relabelers, and drug product salvagers
who are subject to the registration
requirements under § 207.17 must list
their drugs being manufactured,
repacked, relabeled, or salvaged for
commercial distribution. Domestic
manufacturers, domestic repackers,
domestic relabelers, and domestic drug
product salvagers who are subject to the
registration requirements under § 207.17
must list such drugs regardless of
whether the drugs enter interstate
commerce. When operations are
conducted at more than one
establishment and there exists joint
ownership and control among all the
establishments, listing information may
be submitted by the parent, subsidiary,
and/or affiliate company for drugs at all
establishments.
(b) Manufacturers, repackers,
relabelers, and drug product salvagers
who engage in more than one activity
for drugs must list each drug in
accordance with the requirements for
the activity engaged in for that drug. For
example, a company may manufacture
Drug X and relabel Drug Y. The
company must provide the information
described in § 207.49 for Drug X and the
information described in § 207.53 for
Drug Y.
(c) Manufacturers, repackers,
relabelers, and drug product salvagers
must provide all listing information to
us for drugs that they manufacture,
repack, relabel, or salvage for private
label distributors. Private label
distributors must not list drugs that they
do not manufacture, repack, relabel, or
salvage for commercial distribution.
§ 207.45 When must initial listing
information be provided?

At the time of initial registration of an
establishment, manufacturers,
repackers, relabelers, and drug product
salvagers must list any drug being
manufactured, repacked, relabeled, and
salvaged for commercial distribution at
that establishment.
§ 207.49 What listing information is
required for manufacturers?

Manufacturers must provide all of the
following listing information to us for

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51351

each drug they list, including a drug
manufactured for a private label
distributor:
(a) The NDC number, assigned by us
under § 207.33, for each drug; the NDC
number must be provided for the drug
to be considered listed;
(b) The route of administration of the
drug;
(c) The approved U.S. application
number or approved U.S. BLA number,
if any;
(d) The registration number of each
establishment where the manufacturing
is performed for the drug;
(e) The schedule of the drug under
section 202 of the Controlled Substances
Act, if applicable;
(f) With respect to foreign
establishments only, unless previously
provided under § 207.25(h), the name,
address, telephone and fax numbers,
and e-mail address of each importer of
such drug in the United States that is
known to the establishment, and of each
person who imports or offers for import
such drug to the United States;
(g) Labeling—(1) Human prescription
drugs. Unless the approved U.S.
application number is provided under
paragraph (c) of this section, a copy of
all current labeling (except that only one
representative container or carton label
need be submitted where differences
exist only in the quantity of contents
statement or the bar code), including the
content of labeling for each human
prescription drug;
(2) Human OTC drugs—(i)
Manufacturer regards as subject to
section 505 of the act or section 351 of
the Public Health Service Act. A copy of
all current labeling (except that only one
representative container or carton label
need be submitted where differences
exist only in the quantity of contents
statement or the bar code), including the
content of labeling for each human OTC
drug that the manufacturer regards as
subject to section 505 of the act or
section 351 of the Public Health Service
Act, unless the approved U.S.
application number is provided under
paragraph (c) of this section;
(ii) Manufacturer regards as not
subject to section 505 of the act or
section 351 of the Public Health Service
Act. A copy of the current label (except
that only one representative container or
carton label need be submitted where
differences exist only in the quantity of
contents statement or the bar code), the
content of labeling, the package insert (if
any), and a representative sampling of
any other labeling for each human OTC
drug that the manufacturer regards as
not subject to section 505 of the act or
section 351 of the Public Health Service
Act;

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(3) Animal drugs—(i) Manufacturer
regards as subject to section 512 of the
act. A copy of all current labeling
(except that only one representative
container or carton label need be
submitted where differences exist only
in the quantity of contents statement),
including the content of labeling, for
each animal drug that the manufacturer
regards as subject to section 512 of the
act;
(ii) Manufacturer regards as not
subject to section 512 of the act. For all
other animal drugs, a copy of the
current label (except that only one
representative container or carton label
need be submitted where differences
exist only in the quantity of contents
statement), the package insert, the
content of labeling, and a representative
sampling of any other labeling, for each
drug that the manufacturer regards as
not subject to section 512 of the act;
(h) Advertisements. (1) A
representative sampling of
advertisements for human prescription
drugs that the manufacturer regards as
not subject to section 505 of the act or
section 351 of the Public Health Service
Act;
(2) If we request it, for good cause, a
copy of all advertisements for a
particular drug described in paragraph
(h)(1) of this section, including those
described in § 202.1(l)(1) of this chapter.
Such advertisements must be submitted
within 30 calendar days after our
request; and
(i) If the drug is manufactured for a
private label distributor, the name,
address, labeler code, telephone and fax
numbers, and e-mail address of the
private label distributor.

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§ 207.53 What listing information is
required for repackers and relabelers?

Repackers and relabelers must
provide all of the following listing
information to us for each drug they list,
including a drug repacked or relabeled
for a private label distributor:
(a) The NDC number, assigned by us
under § 207.33, for each drug; the NDC
number must be provided for the drug
to be considered listed;
(b) The registration number of each
establishment where the repacking or
relabeling is performed for the drug;
(c) With respect to foreign
establishments only, unless previously
provided under § 207.25(h), the name
address, telephone and fax numbers,
and e-mail address of each importer of
such drug in the United States that is
known to the establishments, and of
each person who imports or offers for
import such drug to the United States;
(d) Labeling—(1) Human prescription
drugs. If any change in labeling is made

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to the drug repacked or relabeled, a
copy of all changed labeling for each
human prescription drug that is
repacked or relabeled;
(2) Human OTC drugs—(i)
Manufacturer regards as subject to
section 505 of the act or section 351 of
the Public Health Service Act. If any
change in labeling is made to the drug
repacked or relabeled, a copy of all
changed labeling for each human OTC
drug that is repacked or relabeled;
(ii) Manufacturer regards as not
subject to section 505 of the act or
section 351 of the Public Health Service
Act. A copy of the current label, a copy
of any changes made to the package
insert, if there is one, and a
representative sampling of any other
labeling for each human OTC drug that
the manufacturer of the drug regards as
not subject to section 505 of the act or
section 351 of the Public Health Service
Act;
(3) Animal drugs. A copy of the
current label, a copy of changes made to
each animal drug labeling, and a
representative sampling of any other
labeling for each animal drug;
(e) Advertisements. (1) A
representative sampling of
advertisements for human prescription
drugs that the repacker or relabeler
regards as not subject to section 505 of
the act or section 351 of the Public
Health Service Act;
(2) If we request it for good cause, a
copy of all advertisements for a
particular drug described in paragraph
(e)(1) of this section, including those
described in § 202.1(l)(1) of this chapter.
Such advertisements must be submitted
within 30 calendar days after our
request; and
(f) If the drug is repacked or relabeled
for a private label distributor, the name,
address, labeler code, telephone and fax
numbers, and e-mail address of the
private label distributor.
§ 207.54 What listing information is
required for drug product salvagers who
are not repackers or relabelers?

(a) Drug product salvagers who also
repack and relabel the drugs they
salvage must list those drugs as a
repacker or relabeler in accordance with
§ 207.53.
(b) Drug product salvagers who do not
otherwise repack or relabel drugs they
salvage must provide all of the
following listing information to us for
each drug they list, including a drug
salvaged for a private label distributor:
(1) The NDC number assigned to the
drug immediately before the drug is
received by the drug product salvager;
the NDC number must be provided for
the drug to be considered listed;

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(2) The lot number and expiration
date of the salvaged drug product;
(3) The registration number of each
establishment where the drug product
salvager salvages the drug;
(4) With respect to foreign
establishments only, unless previously
provided under § 207.25(h), the name
address, telephone and fax numbers,
and e-mail address of each importer of
such drug in the United States that is
known to the establishment, and of each
person who imports or offers for import
such drug to the United States; and
(5) If the drug is salvaged for a private
label distributor, the name, address,
labeler code, telephone and fax
numbers, and e-mail address of the
private label distributor.
§ 207.55 What additional drug listing
information may be required?

For a particular drug product, upon
our request, the manufacturer, repacker,
relabeler, or drug product salvager must
briefly state the basis for its belief that
the drug product is not subject to
section 505 or 512 of the act or section
351 of the Public Health Service Act.
§ 207.57 What are the requirements for
reviewing and updating listing information?

Manufacturers, repackers, relabelers,
and drug product salvagers must review
and update their drug listing
information required under §§ 207.49,
207.53, 207.54, and 207.55.
(a) Manufacturers, repackers,
relabelers, and drug product salvagers
must provide listing information, during
the annual review and update of
registration information, for any drug
that has not been previously listed.
(b) Manufacturers, repackers,
relabelers, and drug product salvagers
must review and update their listing
information each June and December of
every year. They must:
(1) Provide listing information, in
accordance with §§ 207.49, 207.53,
207.54, and 207.55, for any drug
manufactured, repacked, relabeled, or
salvaged for commercial distribution
that has not been previously listed;
(2) Submit the date that they
discontinued the manufacture,
repacking, relabeling, or salvaging for
commercial distribution of a listed drug
and provide the expiration date of the
last lot manufactured, repacked,
relabeled, or salvaged;
(3) Submit the date that they resumed
the manufacture, repacking, or
relabeling for commercial distribution of
a drug previously discontinued and
provide any other listing information
not previously required or submitted;
(4) Submit any material changes in
any information previously submitted

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pursuant to §§ 207.49, 207.53, 207.54,
207.55, or this section; or
(5) Certify that no changes have
occurred if no changes have occurred
since the last review and update. If a
drug is discontinued and we have
received the information required under
paragraph (b)(2) of this section, no
further certifications are necessary for
the discontinued drug.
Subpart E—Electronic Format for
Registration and Listing

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§ 207.61 How is registration and listing
information provided to FDA?

(a) Electronic format. (1)
Manufacturers, repackers, relabelers,
and drug product salvagers that are
subject to the registration and listing
requirements of this part must provide
the following information to us by using
our electronic drug registration and
listing system, in accordance with part
11 of this chapter, except for the
requirements in § 11.10(b), (c), and (e)
and the corresponding requirements in
§ 11.30:
(i) Establishment registration
information in §§ 207.25 and 207.29;
(ii) Information required for an NDC
number in § 207.33; and
(iii) Drug listing information in
§§ 207.49 (except paragraphs (g) and
(h)), 207.53 (except paragraphs (d) and
(e)), 207.54, 207.55, and 207.57.
(2) The content of labeling required
under § 207.49(g)(1) through (g)(3) must
be provided to us in an electronic
format, in accordance with part 11 of
this chapter, except for the requirements
in § 11.10(a), (c) through (h), and (k) and
the corresponding requirements in
§ 11.30. The NDC number must also be
provided with the content of labeling for
each drug.
(3) Advertisements and labeling (other
than the content of labeling) required
under §§ 207.49(g) and (h) and 207.53(d)
and (e) may be provided to us in paper
or electronic format in accordance with
part 11 of this chapter, except for the
requirements in § 11.10(a), (c) through
(h), and (k) and the corresponding
requirements in § 11.30. The NDC
number must also be provided with
such advertisements and labeling for
each drug.
(4) The information provided in
electronic format must be in a form that
we can process, review, and archive. We
may periodically issue guidance on how
to provide registration and listing
information in electronic format (for
example, method of transmission,
media, file formats, preparation and
organization of files).
(b) English language. Registration and
listing information must be provided in

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the English language. Labeling must also
be provided in the English language,
except as provided in § 201.15(c) of this
chapter.
§ 207.65 How is a waiver from the
electronic format requirement requested?

(a) If the information under
§ 207.61(a) cannot be submitted
electronically, a waiver may be
requested. We may grant a waiver
request if the manufacturer, repacker,
relabeler, or drug product salvager does
not have an e-mail address and access
to a computer and an Internet service
provider that can access our electronic
drug registration and listing system.
(b) Waiver requests must include a
telephone number and/or mailing
address where we can contact the
manufacturer, repacker, relabeler, or
drug product salvager.
(c) If we grant the waiver request, we
will provide information on how to
submit registration and/or listing
information.
Subpart F—Miscellaneous
§ 207.69 What are the requirements for an
official contact and a United States agent?

(a) Official contact. Manufacturers,
repackers, relabelers, and drug product
salvagers that are subject to the
registration requirements of this part
must designate an official contact for
each establishment. The official contact
is responsible for:
(1) Ensuring the accuracy of
registration and listing information; and
(2) Reviewing, disseminating, routing,
and responding to communications
from us.
(b) United States agent. (1) Each
foreign manufacturer, foreign repacker,
foreign relabeler, or foreign drug
product salvager must designate a single
United States agent. The United States
agent is responsible for:
(i) Helping us communicate with the
foreign manufacturer, foreign repacker,
foreign relabeler, or foreign drug
product salvager;
(ii) Responding to questions
concerning those drugs that are
imported or offered for import to the
United States; and
(iii) Helping us schedule inspections.
(2) The United States agent must
reside or maintain a place of business in
the United States.
(3) A United States agent may not be
a mailbox, answering machine or
service, or other place where a person
acting as the United States agent is not
physically present.
(4) If we are unable to contact a
foreign manufacturer, foreign repacker,
foreign relabeler, or foreign drug

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51353

product salvager directly or
expeditiously, we may provide
information or documents to the United
States agent. We will consider such an
action to be equivalent to providing the
same information or documents to the
foreign manufacturer, foreign repacker,
foreign relabeler, or foreign drug
product salvager.
§ 207.77 What legal status is conferred by
registration and listing?

(a) Registration of an establishment or
listing of a drug does not denote
approval of the establishment, the drug,
or other drugs of the establishment, nor
does it mean that a product may be
legally marketed. Any representation
that creates an impression of official
approval or that a drug is approved or
is legally marketable because of
registration or listing is misleading and
constitutes misbranding.
(b) Assignment of an establishment
registration number, inclusion of a drug
in our database of drugs, or assignment
of an NDC number does not denote
approval of the establishment or the
drug or any other drugs of the
establishment, nor does it mean that the
drug may be legally marketed. Any
representation that creates an
impression that a drug is approved or is
legally marketable because it appears in
our database of drugs, has been assigned
a NDC number, or the establishment has
been assigned an establishment
registration number, is misleading and
constitutes misbranding. Failure to
comply with § 207.37 also constitutes
misbranding.
(c) Neither registration nor listing
constitutes a determination by FDA that
a product is a drug as defined by section
201(g)(1) of the act. Registration and
listing may, however, be evidence that
a facility is manufacturing, repacking,
relabeling, or salvaging drugs or that a
product is a drug.
§ 207.81 What registration and listing
information will we make available for
public disclosure?

(a) Except as provided in paragraphs
(b) and (c) of this section, the following
information will be made available for
public disclosure upon request or at our
own discretion:
(1) All registration information; and
(2) After a drug is listed, all
information obtained for that drug
under §§ 207.33, 207.49, 207.53, and
207.54, except for that information
obtained under 207.33(d)(1)(ii) and
207.54(b)(1).
(b) Unless information is publicly
available or we find that confidentiality
would be inconsistent with the
protection of the public health, we will

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not make publicly available any
information submitted as the basis upon
which it has been determined that a
particular drug product is not subject to
section 505 or 512 of the act.
(c) We may determine, in limited
circumstances and on a case-by-case
basis, that it would be consistent with
the protection of the public health and
the Freedom of Information Act to
exempt from public disclosure specific
information in paragraph (a) of this
section. In such instances, a
manufacturer, repacker, relabeler, or
drug product salvager must demonstrate
that specific information is exempt or is
otherwise prohibited by law from public
disclosure. If we agree, we will not
make such information publicly
available.
PART 314—APPLICATIONS FOR FDA
APPROVAL TO MARKET A NEW DRUG
8. The authority citation for 21 CFR
part 314 continues to read as follows:

9. Section 314.81 is amended by
revising paragraph (b)(3)(iii) to read as
follows:
Other postmarketing reports.

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*

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(b) * * *
(3) * * *
(iii) Withdrawal of approved drug
product from sale. (a) Within 30
calendar days of the withdrawal of an
approved drug from sale, applicants
who are manufacturers, repackers, or
relabelers subject to part 207 of this
chapter must submit the following
information about the drug in electronic
format, in accordance with the
applicable requirements described in
§ 207.61(a):
(1) The National Drug Code (NDC)
number;
(2) The identity of the drug by
established name and by proprietary
name, if any;
(3) The new drug application number
or abbreviated application number;
(4) The date of withdrawal from sale.
We request that the reason for
withdrawal of the drug from sale be
included with the information.
(b) Within 30 calendar days of the
withdrawal of an approved drug from
sale, applicants who are not subject to
part 207 of this chapter must submit the
information listed in paragraphs (a)(1)
through (a)(4) of this section. The
information must be submitted on the
appropriate form, which must be
submitted to the Drug Listing Branch,
Food and Drug Administration, CDER

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§ 314.125

[Amended]

10. Section 314.125 is amended in
paragraph (b)(11) by removing the
words ‘‘or processed’’.
PART 330—OVER-THE-COUNTER
(OTC) HUMAN DRUGS WHICH ARE
GENERALLY RECOGNIZED AS SAFE
AND EFFECTIVE AND NOT
MISBRANDED
11. The authority citation for 21 CFR
part 330 continues to read as follows:
Authority: 21 U.S.C. 321, 351, 352, 353,
355, 360, 371.

12. Section 330.1 is amended by
revising paragraph (b) to read as follows:
§ 330.1 General conditions for general
recognition as safe, effective, and not
misbranded.

*

Authority: 21 U.S.C. 321, 331, 351, 352,
353, 355, 355a, 356, 356a, 356b, 356c, 371,
374, 379e.

§ 314.81

Central Document Room, 5901B
Ammendale Rd., Beltsville, MD 20705–
1266.
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(b) The establishment(s) in which the
drug is manufactured is registered, and
the drug is listed, in compliance with
part 207 of this chapter. The appropriate
National Drug Code (NDC) number must
appear on the drug’s label in accordance
with §§ 201.2, 207.33, and 207.37 of this
chapter.
*
*
*
*
*
PART 514—NEW ANIMAL DRUG
APPLICATIONS
13. The authority citation for 21 CFR
part 514 continues to read as follows:
Authority: 21 U.S.C. 321, 331, 351, 352,
353, 360b, 371, 379e, 381.

14. Section 514.111 is amended by
adding paragraph (a)(12) to read as
follows:
§ 514.111 Refusal to approve an
application.

(a) * * *
(12) The drug will be produced in
whole or in part in an establishment
that is not registered and not exempt
from registration under section 510 of
the act and part 207 of this chapter.
*
*
*
*
*
PART 515—MEDICATED FEED MILL
LICENSE
15. The authority citation for 21 CFR
part 515 continues to read as follows:
Authority: 21 U.S.C. 360b, 371.
§ 515.10

[Amended]

16. Section 515.10 is amended in
paragraph (b)(8) by removing the phrase
‘‘§§ 207.20 and 207.21’’ and by adding
in its place the phrase ‘‘part 207’’.

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PART 601—LICENSING
17. The authority citation for 21 CFR
part 601 continues to read as follows:
Authority: 15 U.S.C. 1451–1561; 21 U.S.C.
321, 351, 352, 353, 355, 356b, 360, 360c–
360f, 360h–360j, 371, 374, 379e, 381; 42
U.S.C. 216, 241, 262, 263, 264; sec. 122, Pub.
L. 105–115, 111 Stat. 2322 (21 U.S.C. 355
note).

18. Section 601.2 is amended by
adding paragraph (f) to read as follows:
§ 601.2 Applications for biologics
licenses; procedures for filing.

*

*
*
*
*
(f) Withdrawal from sale of approved
biological products. A holder of a
biologics license application (BLA) must
report to FDA, electronically in
accordance with part 207 of this
chapter, the withdrawal from sale of an
approved biological product. The
information must be submitted to FDA
within 30 working days of the biological
product’s withdrawal from sale. The
following information must be
submitted: The holder’s name; product
name; BLA number; the National Drug
Code number, if applicable; and the date
of withdrawal from sale. The reason for
the withdrawal of the biological product
is requested but not required to be
submitted.
PART 607—ESTABLISHMENT
REGISTRATION AND PRODUCT
LISTING FOR MANUFACTURERS OF
HUMAN BLOOD AND BLOOD
PRODUCTS
19. The authority citation for 21 CFR
part 607 continues to read as follows:
Authority: 21 U.S.C. 321, 331, 351, 352,
355, 360, 371, 374, 381, 393; 42 U.S.C. 262,
264, 271.

20. Section 607.3 is amended by
revising the second sentence in
paragraph (b), and by adding new
paragraph (k) to read as follows:
§ 607.3

Definitions.

*

*
*
*
*
(b) * * * For the purposes of this part
only, blood and blood product also
means those products that meet the
definition of a device under the Federal
Food, Drug, and Cosmetic Act and that
are licensed under section 351 of the
Public Health Service Act, as well as
licensed biologic components used in
the manufacture of a licensed device.
*
*
*
*
*
(k) Importer means a company or
individual in the United States that is
the owner, consignee, or recipient of the
foreign establishment’s blood product
that is imported into the United States.
21. Section 607.7 is revised to read as
follows:

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Federal Register / Vol. 71, No. 167 / Tuesday, August 29, 2006 / Proposed Rules
§ 607.7 Establishment registration and
product listing of blood banks and other
firms manufacturing human blood and
blood products.

All owners or operators of
establishments that engage in the
manufacturing of blood products are
required to register, pursuant to section
510 of the Federal Food, Drug, and
Cosmetic Act. Registration and listing of
blood products shall comply with this
part. Registration does not permit any
blood bank or similar establishment to
ship blood products in interstate
commerce.
22. Section 607.22 is revised to read
as follows:
§ 607.22 How to register blood product
establishments and list blood products.

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Initial and subsequent registrations
and product listings by a blood product
establishment for blood products must
be on Form FDA 2830 (Blood
Establishment Registration and Product
Listing). Manufacturers may obtain,
complete, and submit the form in the
following ways:
(a) Complete the form online and
submit electronically at http://
www.fda.gov/cber/blood/bldreg.htm;
this information must be submitted in
accordance with part 11 of this chapter,
except for the requirements in
§ 11.10(b), (c), and (e), and the
corresponding requirements in § 11.30;
or
(b) Download the form from the
Internet at http://www.fda.gov/cber/
blood/bldreg.htm, and mail the
completed form to the address in
§ 607.22(e); or
(c) Request the form by mail using the
address in § 607.22(e), or by e-mail at
[email protected], and mail the
completed form to the address in
§ 607.22(e).
(d) For subsequent annual registration
renewals, FDA will furnish the
establishment’s most recent Form FDA
2830 before November 15 of each year.
The updated Form FDA 2830 must be
submitted to FDA before December 31 of
that year.
(e) Forms may be requested from and
mailed to: Center for Biologics
Evaluation and Research (HFM–370),
1401 Rockville Pike, suite 200N,
Rockville, MD 20852–1448.
23. Section 607.25 is amended by
revising paragraph (b)(1) to read as
follows:
§ 607.25 Information required for
establishment registration and blood
product listing.

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*
*
*
(b) * * *
(1) A list of blood products by
established name as defined in section

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502(e) of the act and by proprietary
name, if any, which are being
manufactured for commercial
distribution and which have not been
included in any list previously
submitted on Form FDA 2830 (Blood
Establishment Registration and Product
Listing).
*
*
*
*
*
24. Section 607.35 is revised to read
as follows:
§ 607.35 Blood product establishment
registration number.

A permanent registration number will
be assigned to each blood product
establishment registered in accordance
with this part.
25. Section 607.37 is amended by
revising the introductory text of
paragraph (a) to read as follows:
§ 607.37 Inspection of establishment
registrations and blood product listings.

(a) Information submitted on the Form
FDA 2830 (Blood Establishment
Registration and Product Listing) will be
available for inspection under section
510(f) of the act, on the Internet at
http://www.fda.gov/cber/blood/
bldregdata.htm, and at the Department
of Health and Human Services, Food
and Drug Administration, Office of
Communication, Training and
Manufacturers Assistance (HFM–40),
Center for Biologics Evaluation and
Research, 1401 Rockville Pike, suite
200N, Rockville, MD 20852–1448. The
following information submitted under
the blood product listing requirements
is illustrative of the type of information
that will be available for public
disclosure when it is compiled:
*
*
*
*
*
26. Section 607.39 is revised to read
as follows:
§ 607.39 Misbranding by reference to
establishment registration, validation of
registration, or to registration number.

Registration of an establishment,
validation of registration, or assignment
of a registration number does not in any
way denote approval of the firm or its
products nor does it mean that the
products may be legally marketed. Any
representation that creates an
impression of official approval because
of establishment registration, validation
of registration, or possession of a
registration number is misleading and
constitutes misbranding.
27. Section 607.40 is amended by
revising paragraphs (a), (b), (c), the
introductory text of (d), and (d)(3), and
by adding new paragraphs (e) and (f) to
read as follows:

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§ 607.40 Establishment registration and
blood product listing requirements for
foreign blood product establishments.

(a) Every foreign blood product
establishment must comply with the
requirements for domestic blood
product establishments in subpart B of
this part, unless exempt under subpart
D of this part.
(b) No blood product may be imported
or offered for import into the United
States unless it complies with the blood
product listing requirements in subpart
B of this part and is manufactured,
prepared, propagated, compounded, or
processed at a registered foreign
establishment. Blood products imported
or offered for import under the
investigational use provisions of part
312 of this chapter are not subject to the
requirements in subpart B of this part.
All establishment registration and blood
product listing information must be in
the English language.
(c) Each foreign establishment
required to register under paragraph (a)
of this section must, as part of the
establishment registration and blood
product listing, submit the name and
address of the establishment, the name
of each importer of the foreign
establishment’s blood products that is
known to the establishment, the name of
each person who imports or offers for
import such blood products to the
United States, and the name of the
individual responsible for submitting
establishment registration and blood
product listing information. Any
changes in this information must be
reported to FDA at the intervals
specified for updating establishment
registration information in § 607.26.
(d) Each foreign establishment
required to register under paragraph (a)
of this section must submit the name,
address, telephone and fax numbers,
and e-mail address of its United States
agent as part of its initial and updated
registration information in accordance
with subpart B of this part. Each foreign
establishment must designate only one
United States agent.
*
*
*
*
*
(3) The foreign establishment or the
United States agent must report changes
in the United States agent’s name,
address, telephone and fax numbers,
and e-mail address to FDA within 30
calendar days of the change.
(e) Each foreign establishment
required to register under paragraph (a)
of this section must register and list
blood products using the electronic
registration and listing system, in
accordance with § 607.22(a).
(f)(1) If the foreign establishment
cannot submit the information
electronically under § 607.40(e), the

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establishment may request a waiver.
FDA may grant a waiver request if the
foreign establishment does not have an
e-mail address and access to a computer
and an Internet service provider that can
access the electronic registration and
listing system.
(2) Waiver requests must include a
telephone number and/or mailing
address where the agency can contact
the foreign establishment.
(3) If the agency grants the waiver
request, the foreign establishment must
register and list blood products in
accordance with § 607.22(b) or (c).
28. Section 607.65 is amended by
redesignating paragraph (f) as paragraph
(g) and by adding new paragraph (f) to
read as follows:
§ 607.65 Exemptions for blood product
establishments.

*

*
*
*
*
(f) Persons who engage solely in the
production of any plasma derivative,
such as albumin, Immune Globulin,
Factor VIII and Factor IX, bulk product
substances such as fractionation
intermediates or pastes, or recombinant
versions of plasma derivatives or animal
derived plasma derivatives. This
paragraph does not exempt such
persons from registration and listing
under part 207 of this chapter.
*
*
*
*
*

29. The authority citation for 21 CFR
part 610 continues to read as follows:
Authority: 21 U.S.C. 321, 331, 351, 352,
353, 355, 360, 360c, 360d, 360h, 360i, 371,
372, 374, 381; 42 U.S.C. 216, 262, 263, 263a,
264.

30. Section 610.60 is amended by
revising paragraph (a)(2) to read as
follows:
Container label.

(a) * * *
(2) The name, address, license
number of the manufacturer, and the
NDC number in accordance with part
207 of this chapter.
*
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*
*
31. Section 610.61 is amended by
revising paragraph (b) to read as follows:
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§ 610.61

Package label.

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*
*
(b) The name, address, license
number of the manufacturer, and the
NDC number in accordance with part
207 of this chapter.
*
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*
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*

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32. The authority citation for 21 CFR
part 1271 continues to read as follows:
Authority: 42 U.S.C. 216, 243, 263a, 264,
271.
§ 1271.1

[Amended]

33. Section 1271.1 is amended in
paragraphs (a) and (b)(2) by removing
‘‘207.20(f)’’ and by adding in its place
‘‘207.9(c)(2)’’.
34. Section 1271.3 is amended by
adding paragraphs (mm) and (nn) to
read as follows:
§ 1271.3 How does FDA define important
terms in this part?

*

*
*
*
*
(mm) Importer means a company or
individual in the United States that is
the owner, consignee, or recipient of the
foreign establishment’s HCT/P that is
imported into the United States.
(nn) United States agent means a
person residing or maintaining a place
of business in the United States whom
a foreign establishment designates as its
agent. This definition excludes
mailboxes, answering machines or
services, or other places where an
individual acting as the foreign
establishment’s agent is not physically
present.
§ 1271.20

PART 610—GENERAL BIOLOGICAL
PRODUCTS STANDARDS

§ 610.60

PART 1271—HUMAN CELLS, TISSUES,
AND CELLULAR AND TISSUE-BASED
PRODUCTS

[Amended]

35. Section 1271.20 is amended by
removing ‘‘207.20(f)’’ and by adding in
its place ‘‘207.9(c)(2)’’.
36. Section 1271.22 is added to read
as follows:
§ 1271.22 How do I register and submit an
HCT/P list?

(a) You must use the electronic
registration and listing system at http://
www.fda.gov/cber/tissue/tisreg.htm in
accordance with § 1271.25 for:
(1) Establishment registration,
(2) HCT/P listings, and
(3) Updates of registration and HCT/
P listing.
(b) FDA will periodically issue
guidance on how to provide registration
and listing information in electronic
format (for example, method of
transmission, media, file formats,
preparation, and organization of files).
(c) You must provide the information
under paragraph (a) of this section in
accordance with part 11 of this chapter,
except for the requirements in
§ 11.10(b), (c), and (e) and the
corresponding requirements in § 11.30.
37. Section 1271.23 is added to part
1271 to read as follows:

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§ 1271.23 How is a waiver from the
electronic format requirements requested?

(a) You may request a waiver from the
requirement in § 1271.22 that
information must be provided to FDA in
electronic format if you do not have an
e-mail address and access to a computer
and an Internet service provider that can
access the Web-based FDA registration
and listing database.
(b) Requests for a waiver must include
a telephone number and/or mailing
address where FDA can contact the
person making the request.
(c) If FDA grants the request for a
waiver, FDA will inform you how to
submit your registration and/or listing
information.
38. Section 1271.25 is amended by
revising introductory paragraph (a),
paragraphs (a)(2) and (a)(3), and by
adding new paragraphs (a)(5), (a)(6), and
(d) to read as follows:
§ 1271.25 What information is required for
establishment registration and HCT/P
listing?

(a) Your establishment registration
must include:
*
*
*
*
*
(2) Each location, including the street
address, telephone and fax numbers,
email address, and the postal service zip
code of the establishment;
(3) The name, address, telephone and
fax numbers, e-mail address, and title of
the reporting official;
*
*
*
*
*
(5) Each foreign establishment must
also submit the name, address,
telephone and fax numbers, and e-mail
address of each importer that is known
to the establishment, and the name of
each person who imports or offers for
import such HCT/P to the United States
for purposes of importation; and
(6) Each foreign establishment must
also submit the name, address,
telephone and fax numbers, and e-mail
address of its United States agent. Each
foreign establishment must designate
only one United States agent.
(i) The United States agent must
reside or maintain a place of business in
the United States.
(ii) Upon request from FDA, the
United States agent must assist FDA in
communications with the foreign
establishment, respond to questions
concerning the foreign establishment’s
products that are imported or offered for
import into the United States, and assist
FDA in scheduling inspections of the
foreign establishment. If the agency is
unable to contact the foreign
establishment directly or expeditiously,
FDA may provide information or
documents to the United States agent,
and such an action must be considered

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to be equivalent to providing the same
information or documents to the foreign
establishment.
(iii) The foreign establishment or the
United States agent must report changes
in the United States agent’s name,
address, telephone and fax numbers,
and e-mail address to FDA within 30
calendar days of the change.
*
*
*
*
*
(d) In addition, if your HCT/P is
described under § 1271.20, you must
submit the information required under

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part 207 of this chapter using the
procedures under this subpart.
39. Section 1271.26 is revised to read
as follows:
§ 1271.26 When must I amend my
establishment registration?

If the ownership or location of your
establishment changes, or if there is a
change in the United States agent’s
name, address, telephone and fax
numbers, and e-mail address, you must
submit an amendment to registration
within 30 calendar days of the change.

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§ 1271.37

51357

[Amended]

40. Section 1271.37 is amended in the
introductory text of paragraph (a) by
removing the phrase ‘‘Form FDA 3356’’
and adding in its place the phrase
‘‘registration and listing information’’.
Dated: August 22, 2006.
Jeffrey Shuren,
Assistant Commissioner for Policy.
[FR Doc. 06–7172 Filed 8–23–06; 3:48 pm]
BILLING CODE 4160–01–S

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