Tobacco Product Establishment Registration and Submission of Certain Health Information

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form FDA 3742 Listing of Ingredients in Tobacco Products	Form and Instruction	Modified	Available
Form FDA 3741a Registration and Listing for Owners and Operators of Domestic Deemed Tobacco Product Establishments	Form and Instruction	Modified	Available
Form FDA 3471 Registration and Listing for Owners and Operators of Domestic Tobacco Product Establishments	Form and Instruction	Modified	Available
Form FDA 3742 Listing of Ingredients in Tobacco Products	Form and Instruction	Modified	Available
Form FDA 3741a Registration and Listing for Owners and Operators of Domestic Deemed Tobacco Product Establishments	Form and Instruction	Modified	Available
Form FDA 3471 Registration and Listing for Owners and Operators of Domestic Tobacco Product Establishments	Form and Instruction	Modified	Available
OMB Change Request Memo 0650_March 2023.docx	Justification for No Material/Nonsubstantive Change	Uploaded 2023-03-24	Available
OMB Change Request Memo 0650_March 2023.docx	Justification for No Material/Nonsubstantive Change	Uploaded 2023-03-24	Repair queued
0650_CTP-CDC Duplicative Information Paper.docx	Supplementary Document	Uploaded 2022-10-18	Available
0650_CTP-CDC Duplicative Information Paper.docx	Supplementary Document	Uploaded 2022-10-18	Repair queued
0650_Supporting Statement_2022.2.docx	Supporting Statement A	Uploaded 2022-10-18	Available
0650_Supporting Statement_2022.2.docx	Supporting Statement A	Uploaded 2022-10-18	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
217656	Tobacco Product Listing; Form FDA 3742 Listing of Ingredients (Electronic and Paper submissions); Section 904(c)	Form and Instruction	Modified	Listing of Ingredients in Tobacco Products
217656	Tobacco Product Listing; Form FDA 3742 Listing of Ingredients (Electronic and Paper submissions); Section 904(c)	Other-Guidance	Modified
217655	Tobacco Product Establishment Renewal Registration and Listing; Form FDA 3741 Registration and Product Listing for Owners and Operators of Domestic Establishments (Electronic and Paper submissions)	Form and Instruction	Modified	Registration and Listing for Owners and Operators of Domestic Deemed Tobacco Product Establishments
217655	Tobacco Product Establishment Renewal Registration and Listing; Form FDA 3741 Registration and Product Listing for Owners and Operators of Domestic Establishments (Electronic and Paper submissions)	Form and Instruction	Modified	Registration and Listing for Owners and Operators of Domestic Tobacco Product Establishments
217655	Tobacco Product Establishment Renewal Registration and Listing; Form FDA 3741 Registration and Product Listing for Owners and Operators of Domestic Establishments (Electronic and Paper submissions)	Other-Guidance	Modified
191383	Obtaining a Dun and Bradstreet D-U-N-S Number	Other-Guidance	Modified
191382	Tobacco Product Listing; Form FDA 3742 Listing of Ingredients (Electronic and Paper submissions); Section 904(a)(1)	Form and Instruction	Modified	Listing of Ingredients in Tobacco Products
191382	Tobacco Product Listing; Form FDA 3742 Listing of Ingredients (Electronic and Paper submissions); Section 904(a)(1)	Other-Guidance	Modified
191227	Tobacco Product Establishment Initial Registration and Listing; Form FDA 3741 Registration and Product Listing for Owners and Operators of Domestic Establishments (Electronic and Paper submissions)	Form and Instruction	Modified	Registration and Listing for Owners and Operators of Domestic Deemed Tobacco Product Establishments
191227	Tobacco Product Establishment Initial Registration and Listing; Form FDA 3741 Registration and Product Listing for Owners and Operators of Domestic Establishments (Electronic and Paper submissions)	Form and Instruction	Modified	Registration and Listing for Owners and Operators of Domestic Tobacco Product Establishments
191227	Tobacco Product Establishment Initial Registration and Listing; Form FDA 3741 Registration and Product Listing for Owners and Operators of Domestic Establishments (Electronic and Paper submissions)	Other-Guidance	Modified

ICR Details

OMB Control No: 0910-0650	ICR Reference No: 202303-0910-009
Status: Historical Active	Previous ICR Reference No: 202112-0910-010
Agency/Subagency: HHS/FDA	Agency Tracking No: CTP
Title: Tobacco Product Establishment Registration and Submission of Certain Health Information
Type of Information Collection: No material or nonsubstantive change to a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 03/28/2023
Retrieve Notice of Action (NOA)	Date Received in OIRA: 03/24/2023
Terms of Clearance: Previous terms continue: The data to be collected by CTP in this ICR (OMB Control No. 0910-0650) and Center for Disease Control (OMB Control No.’s: 0920-0210 and 0920-0338) overlap in terms of the similar tobacco product ingredient collections being conducted. However, at this time, the CTP data cannot currently be used by CDC due to both logistical reasons and restrictions on the use of information collected. OMB encourages the agencies to consider future efforts to eliminate duplication and reduce burden on respondents

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2025	10/31/2025	10/31/2025
Responses	3,258	0	3,258
Time Burden (Hours)	962	0	962
Cost Burden (Dollars)	0	0	0

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Abstract: The Federal Food, Drug, and Cosmetic Act (FD&C Act), amended by the Tobacco Control Act of 2009, grants FDA the authority to regulate the manufacture, marketing, and distribution of tobacco products to protect the public health generally and to reduce tobacco use by minors. Section 905 of the FD&C Act requires the annual registration of any establishment in any State engaged in the manufacture, preparation, compounding, or processing of a tobacco product or tobacco products. Section 904 of the FD&C Act requires that each tobacco product manufacturer or importer submit a listing of all ingredients and additives that are added by the manufacturer to each tobacco product by brand and by quantity in each brand and sub brand. Section 904 also requires that a tobacco product manufacturer advise the FDA in writing prior to adding any new tobacco additive or increasing in quantity an existing tobacco additive. It also requires that a tobacco product manufacturer advise the FDA in writing prior to eliminating or decreasing an existing additive, or adding or increasing an additive designated by the FDA as not a human or animal carcinogen, or otherwise harmful to health under intended conditions of use.

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Authorizing Statute(s): US Code: 21 USC 905 Name of Law: FFDCA
   US Code: 21 USC 904 Name of Law: FFDCA
   PL: Pub.L. 111 - 111 31 Name of Law: Family Smoking Prevention and Tobacco Control Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 4622	01/28/2022
30-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 49593	08/11/2022
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 5

table that charts list of burden

IC Title	Form No.	Form Name
Obtaining a Dun and Bradstreet D-U-N-S Number
Tobacco Product Establishment Initial Registration and Listing; Form FDA 3741 Registration and Product Listing for Owners and Operators of Domestic Establishments (Electronic and Paper submissions)	FDA 3741a, FDA 3471	Registration and Listing for Owners and Operators of Domestic Tobacco Product Establishments ,   Registration and Listing for Owners and Operators of Domestic Deemed Tobacco Product Establishments
Tobacco Product Establishment Renewal Registration and Listing; Form FDA 3741 Registration and Product Listing for Owners and Operators of Domestic Establishments (Electronic and Paper submissions)	FDA 3741a, FDA 3471	Registration and Listing for Owners and Operators of Domestic Tobacco Product Establishments ,   Registration and Listing for Owners and Operators of Domestic Deemed Tobacco Product Establishments
Tobacco Product Listing; Form FDA 3742 Listing of Ingredients (Electronic and Paper submissions); Section 904(a)(1)	FDA 3742	Listing of Ingredients in Tobacco Products
Tobacco Product Listing; Form FDA 3742 Listing of Ingredients (Electronic and Paper submissions); Section 904(c)	FDA 3742	Listing of Ingredients in Tobacco Products

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ICR Summary of Burden

table that charts list of burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	3,258	3,258	0	0	0	0
Annual Time Burden (Hours)	962	962	0	0	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: We have adjusted our burden estimate, which has resulted in an increase of 132 hours to the currently approved burden. FDA now estimates the total burden for this collection to be 962 hours. The Consolidated Appropriations Act of 2022 (the Appropriations Act), enacted on March 15, 2022, amended the definition of the term “tobacco product” in section 201(rr) of the FD&C Act to include products that contain nicotine from any source. As a result, non-tobacco nicotine (NTN) products that were not previously subject to the FD&C Act (e.g., products containing synthetic nicotine) are now subject to all of the tobacco product provisions in the FD&C Act beginning on April 14, 2022. Based on this new authority the owners and operators of establishments engaged in the manufacture, preparation, compounding, or processing of tobacco products containing non-tobacco nicotine (NTN) must register with the FDA and list all these tobacco products that they manufacture, prepare, compound, or process for commercial distribution. As such we have revised the estimates in the burden chart to account for products containing non-tobacco nicotine (NTN). We have therefore revised the number of respondents and burden hours in this information collection.

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Annual Cost to Federal Government: $940,040

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 03/24/2023

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