Guidance for Industry

Postmarketing Studies and

Clinical Trials

Implementation of

Section 505(o)(3) of the

Federal Food, Drug, and

Cosmetic Act

U.S. Department of Health and Human Services

Food and Drug Administration

Center for Drug Evaluation and Research (CDER)

Center for Biologics Evaluation and Research (CBER)

April 2011

Drug Safety

 Guidance for Industry

Postmarketing Studies and

Clinical Trials

Implementation of

Section 505(o)(3) of the

Federal Food, Drug, and

Cosmetic Act

Additional copies are available from:

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Division of Drug Information, HFD-240

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Food and Drug Administration

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http://www.fda.gov/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/default.htm

and/or

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http://www.fda.gov/BiologicsBloodVaccines/GuidanceComplianceRegulatoryInformation/Guidances/default.htm

U.S. Department of Health and Human Services

Food and Drug Administration

Center for Drug Evaluation and Research (CDER)

Center for Biologics Evaluation and Research (CBER)

April 2011

Drug Safety

 TABLE OF CONTENTS

I. INTRODUCTION............................................................................................................. 1

II. BACKGROUND ............................................................................................................... 2

A. Past Practice ................................................................................................................................... 2

B. New FDAAA Authority and Requirements................................................................................. 3

1. FDA May Require Applicants to Conduct Studies and Clinical Trials ........................................... 4

2. Applicants Are Required to Report on the Status of Studies and Clinical Trials............................. 5

III. IMPLEMENTATION OF POSTMARKETING STUDY AND CLINICAL TRIAL

REQUIREMENTS UNDER FDAAA ................................................................................. 6

A. Examples of Postmarketing Requirements (PMRs) Required Under Section 505(o) ............. 7

B. Examples of Postmarketing Commitments (PMCs) That Are Not Required Under Section

505(o) ..................................................................................................................................................... 10

IV. PROCEDURES ............................................................................................................... 11

V. REPORTING .................................................................................................................. 12

A. PMR Reports................................................................................................................................ 12

B. PMC Reports................................................................................................................................ 13

C. Reports for Other Studies and Clinical Trials .......................................................................... 13

D. Reports in REMS Assessments ................................................................................................... 13

E. Summary....................................................................................................................................... 14

VI. DISPUTE RESOLUTION ............................................................................................. 14

VII. ENFORCEMENT OF REQUIREMENTS FOR POSTMARKETING STUDIES

AND CLINICAL TRIALS ............................................................................................. 14

APPENDIX A: GLOSSARY..................................................................................................... 16

APPENDIX B: PMR AND PMC AUTHORITIES................................................................. 18

 Contains Nonbinding Recommendations

Guidance for Industry1

Postmarketing Studies and Clinical Trials

Implementation of Section 505(o)(3) of the Federal Food, Drug, and

Cosmetic Act

This guidance represents the Food and Drug Administration's (FDA's) current thinking on this topic. It
does not create or confer any rights for or on any person and does not operate to bind FDA or the public.
You can use an alternative approach if the approach satisfies the requirements of the applicable statutes
and regulations. If you want to discuss an alternative approach, contact the FDA staff responsible for
implementing this guidance. If you cannot identify the appropriate FDA staff, call the appropriate
number listed on the title page of this guidance.

I. INTRODUCTION

This guidance provides information on the implementation of new section 505(o) of the Federal
Food, Drug, and Cosmetic Act (the Act) (21 U.S.C. 355(o)), added by section 901 of the Food
and Drug Administration Amendments Act of 2007 (FDAAA). Section 505(o)(3) authorizes
FDA to require certain postmarketing studies and clinical trials2 for prescription drugs approved
under section 505 of the Act and biological products approved under section 351 of the Public
Health Service Act (the PHS Act) (42 U.S.C. 262).3 This guidance provides information about
the requirements for postmarketing studies and clinical trials under section 505(o)(3) of the Act.
The guidance also describes the types of postmarketing studies and clinical trials that:

will generally be required under the new legislation (postmarketing requirements

(PMRs)) and

1
This guidance has been prepared by the FDAAA Title IX Working Group, comprising staff from the Center for
Drug Evaluation and Research (CDER) and the Center for Biologics Evaluation and Research (CBER) at the Food
and Drug Administration.
2
FDAAA makes a new distinction between study and clinical trial. Previous laws, regulations, and practice
have generally used the terms studies and trials interchangeably. For example, section 506B of the Act (21 U.S.C.
356b) uses studies to describe the postmarketing commitments (PMCs) that must be reported annually, including
clinical trials. For purposes of implementing section 505(o)(3) of the Act, because FDAAA distinguishes between
studies and clinical trials and section 505(o) provides criteria to determine which may be required (see section II.B
of this guidance), we distinguish between studies and clinical trials for the purposes described in this document.
3
For the purposes of this guidance, all references to drugs include both human drugs and biological drug products
regulated by CDER and CBER unless otherwise specified.
 Contains Nonbinding Recommendations

will generally be agreed-upon commitments (postmarketing commitments (PMCs))

because they do not meet the new statutory criteria for required postmarketing studies
and clinical trials.

Section 901 of FDAAA also created new sections 505-1 and 505(o)(4) of the Act, which
authorize FDA, under certain circumstances, to require risk evaluation and mitigation strategies
(REMS) to ensure that the benefits outweigh the risks of a drug and safety-related labeling
changes (SLC) respectively.4 This guidance does not address REMS and SLC provisions. FDA
wishes to clarify that PMRs, REMS, and SLCs are required under separate sections of the Act
and while all are intended to address serious safety risks, they are separate provisions that have
different goals and must meet separately defined statutory criteria. REMS are not a special type
of PMR, nor are PMRs elements of a REMS.5

This guidance does not apply to nonprescription drugs approved under a new drug application
(NDA), nor does it apply to generic drugs approved under section 505(j) of the Act. Section
505(o) of the Act applies only to prescription drugs approved under section 505(b) of the Act and
biological products approved under section 351 of the PHS Act. See 505(o)(2)(B).

FDAs guidance documents, including this guidance, do not establish legally enforceable
responsibilities. Instead, guidances describe the Agencys current thinking on a topic and should
be viewed only as recommendations, unless specific regulatory or statutory requirements are
cited. The use of the word should in Agency guidances means that something is suggested or
recommended, but not required.

II. BACKGROUND

On September 27, 2007, the President signed FDAAA (Public Law 110-85) into law. Section
901 of Title IX of FDAAA amended the Act by adding new section 505(o). Section 505(o)(3)
authorizes FDA to require certain postmarketing studies and clinical trials for prescription drugs
approved under section 505(b) of the Act and biological products approved under section 351 of
the PHS Act.

A. Past Practice

In the past, FDA has used the term postmarketing commitment (PMC) to refer to certain studies
(including clinical trials), conducted by an applicant after FDA has approved a drug for
marketing or licensing, that were intended to further refine the safety, efficacy, or optimal use of
a product or to ensure consistency and reliability of product quality. These PMCs were generally

4
See the guidance for industry on Format and Content of Proposed Risk Evaluation and Mitigation Strategies
(REMS), REMS Assessments, and Proposed REMS Modifications, at
http://www.fda.gov/downloads/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/UCM184128.pdf.
5
See section V.D of this document for information on the requirement for REMS assessments to include
information about the status of PMRs, PMCs, and studies and/or trials otherwise undertaken by the applicant to
investigate a safety issue.

 Contains Nonbinding Recommendations

agreed upon by FDA and the applicant. Prior to the passage of FDAAA, FDA required
postmarketing studies or clinical trials only in the situations described below:

Subpart H and subpart E accelerated approvals for products approved under 505(b) of the
Act or section 351 of the PHS Act, respectively, which require postmarketing studies to
demonstrate clinical benefit (21 CFR 314.510 and 601.41, respectively);
Deferred pediatric studies, where studies are required under section 505B of the Act (21
CFR 314.55(b) and 601.27(b));6 and
Subpart I and subpart H Animal Efficacy Rule approvals, where studies to demonstrate
safety and efficacy in humans are required at the time of use (21 CFR 314.610(b)(1) and
601.91(b)(1), respectively).7

Section 130(a) of the Food and Drug Administration Modernization Act of 1997 (the
Modernization Act) amended the Act by adding a new provision requiring reports of certain
postmarketing studies for human drug and biological products (section 506B of the Act (21
U.S.C. 356b)). Section 506B of the Act provides FDA with additional authority to monitor the
progress of a PMC by requiring the applicant to submit a report annually providing information
on the status of the PMC, which was defined to include agreed-upon commitments and required
studies (including clinical trials).8 This report must also include the reasons, if any, for failure to
complete the commitment. This provision is implemented at 21 CFR 314.81(b)(2)(vii) and
601.70. 9 Under section 506B(b) and (c), FDA is required to track these PMCs and report on
them annually in the Federal Register.10

B. New FDAAA Authority and Requirements

6
See the FDA guidance for industry on How to Comply with the Pediatric Research Equity Act. We update
guidances periodically. To make sure you have the most recent version of a guidance, check the CDER guidance
page at http://www.fda.gov/Drugs/GuidanceComplianceRegulatory Information/Guidances/default.htm.
7
See the FDA guidance for industry on Animal ModelsEssential Elements to Address Efficacy Under the Animal
Rule, http://www.fda.gov/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/default.htm.
8
See the guidance for industry on Reports on the Status of Postmarketing Study Commitments Implementation of
Section 130 of the Food and Drug Administration Modernization Act of 1997 (guidance on the status of PMCs),
available on the Internet at http://www.fda.gov/Drugs/GuidanceComplianceRegulatoryInformation/
Guidances/default.htm.
9
In addition, new drug application (NDA) applicants are required by 21 CFR 314.81(b)(2)(viii) to report annually to
FDA on postmarketing studies or trials that are not 506B studies or trials. Such studies or trials are not required, and
they include chemistry, manufacturing, and controls (CMC) studies that applicants have agreed with FDA to
conduct (CMC commitments), and all product stability studies that applicants have agreed with FDA to conduct
(stability studies). The reporting requirement at 21 CFR 314.81(b)(2)(viii) also includes any postmarketing study
not included under [ 314.81](b)(2)(vii) . . . that is being performed by, or on behalf of, the applicant. Reports on
the status of these types of studies are not reports required under section 506B.
10
Available on the Internet at http://www.fda.gov/Drugs/GuidanceComplianceRegulatoryInformation/Post-
marketingPhaseIVCommitments/default.htm.

 Contains Nonbinding Recommendations

1. FDA May Require Applicants to Conduct Studies and Clinical Trials

Section 505(o)(3) of the Act authorizes FDA to require postmarketing studies or clinical trials at
the time of approval or after approval if FDA becomes aware of new safety information.11
Section 505-1(b)(3) of the Act defines new safety information to include data about a serious
risk, or an unexpected serious risk associated with use of the drug (see Appendix A for the
complete definition). Even if a serious risk is known at the time of approval of the drug, more
may be learned after approval about its frequency or severity that can be considered new safety
information.

In some cases, FDA may be concerned about a risk and believe that it is serious, but may not
know enough about the risk to determine how to address the risk in labeling and what
information would be appropriate to include. In such a case, FDA can require a postmarketing
study or clinical trial to obtain more information. See purposes set forth in 505(o)(3)(A) below.

If there is information on chemically-related or pharmacologically-related drugs, FDA may

consider this drug class safety information when requiring a study or clinical trial. See
505(o)(3)(A).

Section 505(o)(3)(A) states that postmarketing studies and clinical trials may be required for any
or all of three purposes listed in section 505(o)(3)(B):

To assess a known serious risk related to the use of the drug

To assess signals of serious risk related to the use of the drug
To identify an unexpected serious risk when available data indicates the potential for a
serious risk

For the purposes of implementing section 901 of FDAAA,12 clinical trials and studies are defined
as follows:
Clinical trials are any prospective investigations in which the applicant or investigator
determines the method of assigning the drug product(s) or other interventions to one or
more human subjects.
Studies are all other investigations, such as investigations with humans that are not
clinical trials as defined above (e.g., observational epidemiologic studies), animal studies,
and laboratory experiments.

Clinical trials are one type of clinical investigation, as defined at 21 CFR 312.3(b). For the
purposes of this guidance, FDA has separately defined these terms as listed above because
statutory provisions below from section 505(o)(3) of the Act differentiate between studies and
clinical trials.

11
Defined at section 505-1(b)(3) of the Act (see Appendix A, Glossary).
12
These definitions of postmarketing clinical trial and study do not affect whether the trials or studies are subject to
the requirements of Title VIII of FDAAA (Clinical Trial Databases) and section 402(j) of the PHS Act (42 U.S.C.
282(j)).

 Contains Nonbinding Recommendations

STATUTORY PROVISIONS

Under section 505(o)(3)(D)(i), before requiring a postmarketing study, FDA must find that
adverse event reporting under section 505(k)(1) of the Act and the new pharmacovigilance
system that will be established under section 505(k)(3) of the Act will not be sufficient to
meet the purposes described in section 505(o)(3)(B).

Under section 505(o)(3)(D)(ii), before requiring a postmarketing clinical trial, FDA must
find that a postmarketing study will not be sufficient to meet the purposes described in section
505(o)(3)(B).

2. Applicants Are Required to Report on the Status of Studies and Clinical Trials

The applicant is required to provide certain information to FDA with regard to required
postmarketing studies and clinical trials (section 505(o)(3)(E)(ii)). Under section
505(o)(3)(E)(ii), this information must include:

For all required postmarketing studies and clinical trials, a timetable for completion

o A timetable for completion is a set of milestone dates by which we measure progress

of studies and clinical trials and compliance with requirements. These goal dates
generally include, but are not limited to, final protocol submission date, study or
clinical trial completion date, and final report submission date. FDAAA does not
include provisions to amend or change milestone dates for purposes of reporting as
required under 21 CFR 314.81(b)(2)(vii)(a)(8)(ii-iii) and 21 CFR 601.70(b)(8)(ii-iii).
Therefore, status reporting under these regulations will remain based on the original
schedule.

For each study required under section 505(o)(3), periodic reports on the status of the
study, including whether any difficulties in completing the study have been encountered

For each clinical trial required under section 505(o)(3), periodic reports on the status of
the clinical trial, including:

o whether enrollment has begun,

o the number of participants enrolled,
o the expected completion date,
o whether any difficulties completing the clinical trial have been encountered, and
o registration information with respect to the clinical trial under section 402(j) of the
PHS Act (42 U.S.C. 282(j))

In addition, FDAAA requires that applicants report on each study and clinical trial
otherwise undertaken by the applicant to investigate a safety issue (see section
505(o)(3)(E)(ii)). Reports on these studies and clinical trials would previously have been
required under 21 CFR 314.81(b)(2)(viii).

 Contains Nonbinding Recommendations

III. IMPLEMENTATION OF POSTMARKETING STUDY AND CLINICAL TRIAL

REQUIREMENTS UNDER FDAAA13

Under section 505(o)(3) of the Act, FDA will require applicants to conduct a postmarketing
study or studies or clinical trial(s) when the following conditions are met:

1. When the decision to require a postmarketing study or clinical trial is based on scientific data
deemed appropriate by FDA, including information regarding chemically-related or
pharmacologically-related drugs; and

2. When FDA has found

a. before requiring a postmarketing study, that adverse event reporting under section
505(k)(1) of the Act and the new pharmacovigilance system that will be established
under section 505(k)(3) will not be sufficient to meet the purposes described in condition
3 below; and
b. before requiring a postmarketing clinical trial, that a postmarketing study will not be
sufficient to meet the purposes in condition 3 below; and

3. When the purposes of the study or clinical trial, as described in section 505(o)(3)(B), are one
or more of the following:

To assess a known serious risk related to the use of the drug

To assess signals of serious risk related to the use of the drug
To identify an unexpected serious risk when available data indicates the potential for a
serious risk

When these conditions are met, the Agency intends to require the study or clinical trial as a
postmarketing requirement (PMR).

We believe that the authority to require a responsible person to conduct a postapproval study or
studies or clinical trial(s) of the drug includes the authority for FDA to describe the study or trial
to be conducted, including how the study or trial is to be done and the population and indication.
In other words, we can require a study or clinical trial that is well-designed and adequate to
address the serious safety concern.

Examples of studies or clinical trials that meet criteria for PMRs are provided later in this
document, and definitions of new safety information and serious risk are included in the
Glossary at the end of this guidance document. The new safety information that prompts the
postmarketing study or clinical trial after approval of a drug product will be described in the
Agencys letter to applicants notifying them of the requirement.

13
Applicants conducting postmarketing studies and clinical trials must continue to comply with 21 CFR part 312
and 21 CFR part 58 when applicable, and Health and Human Services (HHS) and FDA human subject protection
regulations at 45 CFR part 46 and 21 CFR parts 50 and 56 when applicable.

 Contains Nonbinding Recommendations

The purposes outlined in section 505(o)(3)(B) are all related to drug safety. Although almost any
study or clinical trial might be broadly construed to evaluate safety, FDA does not intend to
consider all postmarketing studies and clinical trials as PMRs. We will generally require PMRs
for all studies and clinical trials with purposes that meet the criteria for assessing or identifying a
serious risk as described above. FDA also recognizes that many postmarketing studies and
trials agreed upon as PMCs before FDAAA was enacted meet current standards for required
safety studies and clinical trials under FDAAA. However, FDA does not intend to convert these
PMCs to PMRs, unless new safety information relevant to a delayed PMC emerges.

Since FDAAA, the terms PMR and PMC are used as follows:

The term postmarketing requirement or PMR is used to describe all required postmarketing
studies or clinical trials, including those required under FDAAA and those required under
subpart H of 21 CFR part 314, subpart E of 21 CFR part 601, the Pediatric Research Equity
Act, and the Animal Efficacy Rule.
The term postmarketing commitment or PMC is used to describe studies and clinical trials
that applicants have agreed to conduct, but that will generally not be considered as meeting
the statutory purposes in 505(o)(3)(B) and so will not be required.

Appendix B summarizes these authorities.

Described below in section III.A are the categories of postmarketing studies and clinical trials
that will generally be considered as meeting the conditions described above for PMRs. Section
III.B outlines the categories of studies and clinical trials that will generally not be required by
statute or regulation, but may be PMCs.

A. Examples of Postmarketing Requirements (PMRs) Under Section 505(o)

PMRs under FDAAA generally would include, but not be limited to, the following:

Observational pharmacoepidemiologic studies are generally studies designed to assess a

serious risk associated with a drug exposure or to quantify risk or evaluate factors that affect
the risk of serious toxicity, such as drug dose, timing of exposure, or patient characteristics.
To facilitate interpretation of the findings, the studies should always have a protocol, should
include a control group, and should test prespecified hypotheses. However, control groups
may be omitted when there is a scientifically valid reason to exclude controls. For a solely
descriptive study, instead of a prespecified hypothesis, the protocol for a descriptive study
may include clearly stated objectives for describing the safety issue, including a defined
upper bound for detectable risk, if applicable. Data sources for observational studies could
include administrative health care claims data, electronic medical records, registries,
prospectively collected observational data, or other sources of observational information.

Registries may be designed with different goals.

o Registries established with the primary purpose of enrolling patients to
mitigate a serious risk associated with a drug would be required as part

 Contains Nonbinding Recommendations

of a REMS under section 505-1(f)(3)(F). When part of a REMS, they

are an element necessary for the safe use of the drug, and are not
designed as a study with completion dates. These types of registries
would not be required as a PMR and are not described further in this
guidance.
o A drug may be approved with a requirement for a registry that will
collect data to be analyzed in a study required as a PMR (under section
505(o)(3)), outside of a REMS (section 505-1(f)(3)(F)). When a
pharmacoepidemiologic study using registry data meets the statutory
criteria for a PMR described above in section III, the registry and the
study will be required as a PMR.
o A sponsor may voluntarily create a registry to serve as a repository for
clinical data, such as an outcomes registry. Such a registry is not
required as part of a PMR (section 505(o)(3)). However, if FDA
becomes aware of new safety information in the post approval setting,
the sponsor could be required to conduct a PMR study, which may
utilize the registry data.

Examples of observational studies include pharmacoepidemiologic studies designed to:

Estimate the risk of a serious adverse event or toxicity associated with use of a
drug
Provide estimates of absolute risk (e.g., incidence rates) for a serious adverse
event or toxicity
Obtain long-term clinical outcome data, including information about potentially
rare serious adverse events, in patients taking the drug compared to patients not
exposed to the drug
Identify risk factors (e.g., patient characteristics, duration of drug use) associated
with the occurrence of adverse events among patients exposed to specified drugs.
Compare pregnancy incidence, pregnancy outcomes, and/or child outcomes after
patient drug exposure compared to patients who did not receive the drug

Meta-analyses may be designed to evaluate a safety endpoint by statistical analysis of data

from completed studies or clinical trials. A meta-analysis should use a prospectively
designed study protocol and analysis plan with a comprehensive selection of relevant studies
or clinical trials and appropriate statistical methodology.

Perform a meta-analysis of the occurrence of all-cause mortality, cardiovascular

death, and cancer incidence and identify potential predictive factors in patients
treated with the drug compared to control therapies in all completed randomized
clinical trials that include the drug

Clinical trials with a safety endpoint evaluated with prespecified assessments and adequately
powered to analyze the serious risk identified by FDA under section 505(o)(3) would be
considered PMRs. Although efficacy endpoints may also be evaluated, the trial should be

 Contains Nonbinding Recommendations

powered to adequately assess the safety concern that gives rise to the requirement. Examples
include clinical trials designed to:

Evaluate the occurrence of asthma exacerbations associated with an irritative

component of inhalation treatments for asthma in a controlled clinical trial, where
the increased risk of drug-related exacerbation has the potential to offset the
effectiveness of the inhaled drug
Determine the incidence of myocardial infarction in patients treated with the
approved drug in a follow-on trial after approval, using the original randomized
population
Evaluate differences in safety outcomes between patients withdrawn from
treatment after some period of treatment and patients who remain on the treatment
(randomized withdrawal trial)
Evaluate the potential for Q-T prolongation in a thorough Q-T clinical trial
Measure growth and neurocognitive function in pediatric patients treated
chronically with the drug14
Evaluate safety in a particular racial or ethnic group or vulnerable population such
as the immunocompromised14
Evaluate the safety of the drug in pregnant women14
Evaluate drug toxicity in patients with hepatic or renal impairment14
Evaluate long-term safety of cell and gene therapy products depending on the type
of vector used and the inherent risk of integration
Evaluate the safety of a drug in patients with HIV-1 co-infected with hepatitis C
or B14

Safety studies in animals investigating specific end-organ toxicities, including, but not
limited to carcinogenicity and reproductive toxicity studies. Although in most instances
these studies are completed prior to marketing approval, they may be conducted postapproval
for certain drugs for example, products intended to treat serious and life-threatening
diseases.15 If conducted postapproval, these studies would be required under 505(o).
Examples include studies designed to:

Assess carcinogenic potential in appropriate species (e.g., mice and rats)

Assess the potential for reproductive toxicology in appropriate species (e.g.,
monkeys or rabbits)

Examples of in vitro laboratory safety studies that would qualify as PMRs would be studies
designed to:

14
Patients are treated with the drug at a dose and schedule specified in the clinical trial protocol.
15
See the ICH S1A guidance for industry on The Need for Long Term Rodent Carcinogenicity Studies of
Pharmaceuticals,
http://www.fda.gov/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/ucm065007.htm.

 Contains Nonbinding Recommendations

Assess certain receptor affinities for any circulating or major metabolites,

including conjugates, to evaluate the potential for off-target binding and resulting
serious risk
Determine whether resistance to a drug has developed in those organisms specific
to the labeled indication, resulting in increased serious risk
Define the mechanism of drug resistance for certain organisms
Assess the risk of cross-contamination between products that could result from
sharing product-contacting equipment and parts
Validate the accuracy, precision, sensitivity, specificity, and robustness of an
immunogenicity assay for a drug or biological product to assess an immunologic
safety concern

Pharmacokinetic studies or clinical trials that would be PMRs include those to evaluate the
pharmacokinetics of the drug in the labeled population or in a subpopulation at potential risk
for high drug exposures that could lead to toxicity. Examples include studies or clinical trials
designed to:

Determine the optimal dose for maintenance therapy in patients with chronic renal
disease, a population at risk for drug accumulation
Study the pharmacokinetic profile in a rodent model of hepatic dysfunction in
order to evaluate the potential for toxicity in patients with liver impairment

Studies or clinical trials designed to evaluate drug interactions or bioavailability when there
are scientific data that indicate the potential for a serious safety risk. Examples include
studies or clinical trials to:

Assess in vitro whether products are p-glycoprotein substrates and therefore could
lead to increased drug concentrations and toxicity
Assess potential interactions of an approved drug with a frequently concomitantly
prescribed medication
Evaluate whether multiple doses of an approved drug alter the metabolism of a
sensitive CYP2C9 substrate
Evaluate bioavailability of an oral drug in the presence of food

B. Examples of Postmarketing Commitments (PMCs) That Are Not Required Under

Section 505(o)(3)

Generally, the following types of studies or clinical trials would not meet the statutory purposes
for PMRs, but might be considered for agreed-upon PMCs:

Drug and biologic quality studies, including manufacturing, stability, and immunogenicity
studies that do not have a s primary safety endpoint, such as studies designed to:

Develop an optical rotation test, collect data on commercial batches, and use the
data to update drug substance specification standards

10

 Contains Nonbinding Recommendations

Evaluate immune response to concomitant vaccination(s) that are a part of routine

U.S. immunization practice

Pharmacoepidemiologic studies designed to examine the natural history of a disease or to

estimate background rates for adverse events in a population not treated with the drug that is
the subject of the marketing application.

Studies and clinical trials conducted with vaccines, such as surveillance and observational
pharmacoepidemiologic studies when data do not suggest a serious risk or signals of serious
risk related to the use of the vaccine and when available data do not indicate the potential for
serious risk, such as:

A surveillance study of cases of the infectious disease targeted by the approved

vaccine occurring in vaccinated populations; conduct product-specific surveys and
calculate product-specific rates of infectious disease within the monitored population
A clinical trial conducted with vaccines in which the objective is a further
characterization of the safety profile and the primary endpoint is not related to a
serious risk identified by FDA under section 505(o) of the Act

Clinical trials in which the primary endpoint is related to further defining efficacy, designed
to:

Evaluate long-term effectiveness or duration of response16

Evaluate efficacy using a withdrawal design

Evaluate efficacy in a subgroup

IV. PROCEDURES

As outlined in section X.B of the Prescription Drug User Fee Act (PDUFA) Reauthorization
Performance Goals and Procedures, FY 2008-2012,17 FDA plans to inform the applicant of the
planned target date for communication of feedback from the review division to the applicant
regarding PMRs and PMCs in a letter sent within 14 days of the 60-day filing date of the
marketing application. Generally, the designated planned target date will be no later than 1
month prior to the PDUFA goal date.

FDA plans to communicate a list of potential PMRs and PMCs, clearly delineated as to which
are required and which may be agreed upon, to the applicant near the target date along with a
brief rationale for why FDA thinks these studies and clinical trials are necessary. The list will
also include a request for a proposed timetable for completion.

16
Not related to a subpart H requirementefficacy trials that are not required as part of accelerated approval (AA).
Clinical trials required under AA are PMRs.
17
Attachment to Letter to Chairman Dingell from Michael O. Leavitt, Secretary HHS, September 27, 2007,
http://www.fda.gov/ForIndustry/UserFees/PrescriptionDrugUserFee/ucm119243.htm.

11

 Contains Nonbinding Recommendations

The applicant will have the opportunity to discuss the design and conduct of the PMRs and
PMCs, as well as the overall goal, with the FDA review team. The applicant should provide
prompt feedback and engage in discussion as needed with the FDA review team to facilitate
completion of clearly written and well-designed PMRs and PMCs. The applicant should also
provide a timetable for completion of the study or clinical trial for the PMRs and a schedule for
milestone submissions and final reports for PMCs.18 For PMRs and PMCs, the first milestone is
generally the final protocol submission date. Final implies that the applicant has submitted a
protocol, the FDA review team has sent comments to the applicant, and the protocol has been
revised as needed to meet the goal of the study or clinical trial. Thus, the date for this milestone
should be selected to allow for the discussion period needed to create a well-designed study or
clinical trial. As described in section II.B.2 of this guidance, public status of PMRs and PMCs is
based on the original schedule, so appropriate and realistic dates should be proposed.

The FDA review team will (1) review the potential study or clinical trial designs to make sure
they will serve the purposes of the study or clinical trial and (2) assess whether the proposed
timetable will be realistic and will provide for timely completion of the study or clinical trial.

FDAAA gives FDA the authority to require PMRs without prior agreement from the applicant.
For PMCs, the applicant should submit a written agreement to conduct the PMCs. The PMRs
and PMCs, and their milestones and dates, will be included in the action letter issued at the
completion of the application review.

V. REPORTING

Except when otherwise provided, an applicant may satisfy its obligation to periodically report
on the status of PMRs and other studies and clinical trials undertaken to investigate a safety issue
by submitting the annual status reports required under 21 CFR 314.81 or 601.70 if the required
elements of information about the status of the PMR information, set forth in section
505(o)(3)(E)(ii), are accurately and completely provided in that report. Therefore, applicants
will be able to report on both PMRs and PMCs at the same time and use the format
recommended in the guidance on the status of PMCs,19 as long as the applicant includes the
required PMR status information, which is described below. On a case-by-case basis, a PMR
may impose an additional obligation to periodically report at specified milestones.

A REMS assessment also must include information about the status of PMRs, PMCs, and studies
and/or trials otherwise undertaken by the applicant to investigate a safety issue. See section 505-
1(g)(3). This requirement is discussed below.

A. PMR Reports

18
Milestone dates are a series of goal dates (e.g., final protocol submission, study or clinical trial completion date,
final report submission) by which we measure progress of studies and clinical trials and compliance with
requirements.
19
The guidance on the status of PMCs will be updated to reflect FDAAA-related changes.

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For each PMR required under FDAAA, the applicant must periodically report on the status of the
study or clinical trial (see section 505(o)(3)(E)(ii)). For clinical trials, the report must also
include whether enrollment has begun, the number of participants enrolled, the expected
completion date, whether any difficulties completing the clinical trials have been encountered,
and registration information as required under section 402(j) of the PHS Act (see section
505(o)(3)(E)(ii)). We recognize that some of the information required for clinical trial reporting
is also relevant to observational pharmacoepidemiologic studies, and FDA will interpret the
requirement to include this information as applicable to all studies or clinical trials performed in
humans. Registration information for clinical trials should include documentation that the PMR
is registered in accordance with Title VIII of FDAAA.20

B. PMC Reports

For each PMC under section 506B of the Act, applicants are required to report annually on the
status of the studies or clinical trials (21 U.S.C. 356b(a); 21 CFR 314.81(b)(2)(vii) and
601.70(b)). The recommendations regarding compliance with section 506B may be found in the
guidance on the status of PMCs.

C. Reports for Studies and Clinical Trials Otherwise Undertaken

For studies or clinical trials otherwise undertaken by the applicants to investigate a safety issue,
the applicant must report to FDA under section 505(o)(3)(E)(ii) of the Act and 21 CFR
314.81(b)(2)(viii). These studies or clinical trials are neither required by FDA nor agreed upon
between FDA and the applicant. They may include investigations initiated by an applicant for
many reasons without prior discussion with or notification to FDA. These studies and clinical
trials must be summarized in a section of the annual report (drugs) or annual status report
(biologics).

D. Reports in REMS Assessments

In addition, section 505-1(g)(3) of the Act at paragraphs (B) and (C) (21 U.S.C. 355-1(g)(3)(B)
and (C)) requires that risk evaluation and mitigation strategy (REMS) assessments include the
status of postapproval studies and clinical trials required under section 505(o) and those that are
otherwise undertaken to investigate a safety issue. PMRs are not part of REMS and are not
submitted as part of the REMS, but must be described in REMS assessments. Applicants can
satisfy these requirements in their REMS assessments by referring to relevant information
included in the most recent annual report required under section 506B of the Act and 21 CFR
314.81(b)(2)(vii) or 21 CFR 601.70, and including any material or significant updates to the
status information since the annual report was prepared. Failure to comply with the REMS
assessment provisions in section 505-1(g) could result in enforcement action.

20
See FDAs guidance on Compliance with Section 402(j) of The Public Health Service Act, Added By Title VIII of
The Food and Drug Administration Amendments Act of 2007, available on the Internet at
http://www.fda.gov/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/default.htm.

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E. Summary

Applicants may generally report on PMRs, PMCs, and studies or clinical trials undertaken by the
applicant to investigate a safety issue in periodic reports (e.g., annually) that are already required
by our regulations. On a case-by-case basis, a PMR may impose an additional obligation to
periodically report at specified milestones. In addition, although most PMRs and PMCs will
be conducted under the IND for a drug, annual reports are required under the NDA/BLA. When
multiple related applications exist (e.g., several formulations of the same drug with the same
applicant), unified reporting, consistent with past practice, may be considered. An applicant who
proposes unified reporting should discuss the proposal with the review division. REMS
assessments, submitted under the NDA/BLA, are required under separate schedules. While the
REMS assessments may reference the annual report for the required PMR reporting, the annual
report does not replace the REMS assessment.

VI. DISPUTE RESOLUTION

The applicant may appeal a requirement to conduct a postmarketing study or clinical trial using
the usual dispute resolution procedures (see the guidance for industry on Formal Dispute
Resolution: Appeals Above the Division Level)21 (see section 505(o)(3)(F) of the Act).

VII. ENFORCEMENT OF REQUIREMENTS FOR POSTMARKETING STUDIES

AND CLINICAL TRIALS

The new amendments to the Act give FDA authority to enforce the section 505(o)(3)(E)(ii)
requirements for postmarketing studies and clinical trials.22 An applicants failure to comply
with the timetable, periodic report submissions, and other requirements of section
505(o)(3)(E)(ii) will be considered a violation unless the applicant demonstrates good cause for
the noncompliance. Under section 505(o)(3)(E)(ii) of the Act, FDA is authorized to determine
what constitutes good cause. In addition, under section 505(p)(2), failure to conduct a
postmarketing study or trial required under subparts H and E (21 CFR 314.510 and 601.41) may
result in enforcement action.

Enforcement action could include one or more of the following:

Charges under section 505 of the Act. A responsible person23 may not introduce or deliver
into interstate commerce the drug involved if the applicant is in violation of section 505(o)

21
Available on the Internet at http://www.fda.gov/Drugs/GuidanceComplianceRegulatoryInformation/
Guidances/default.htm.
22
FDA has the authority to review records upon inspection of postmarketing studies and clinical trials, including
underlying data and source documents (see section 505(k) of the Act).
23
Defined at section 505(o)(2)(A) of the Act.

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(postmarketing study and clinical trial requirements) (see section 505(o)(1) of the Act) or
505(p)(2) (certain postmarketing studies).

Misbranding charges. A drug is misbranded under section 502(z) of the Act (21 U.S.C.
332(z)) if the applicant for that drug violates postmarketing study or clinical trial
requirements, including those outlined in section V above.

Civil monetary penalties. Under section 303(f)(4)(A) of the Act (21 U.S.C. 333(f)(4)(A)),
an applicant that violates postmarketing study or clinical trial requirements may be subject
to civil monetary penalties of up to $250,000 per violation, but no more than $1 million for
all violations adjudicated in a single proceeding. These penalties increase if the violation
continues more than 30 days after FDA notifies the applicant of the violation. The penalties
double for the following 30-day period and continue to double for subsequent 30-day
periods, up to $1 million per period and $10 million for all violations adjudicated in a single
proceeding. In determining the amount of a civil penalty, FDA will consider the applicants
efforts to correct the violation (see section 303(f)(4)(B) of the Act).

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APPENDIX A

GLOSSARY

The following definitions of terms are from section 505-1(b) of the Federal Food, Drug, and
Cosmetic Act (21 U.S.C. 355-1(b)).

Adverse drug experience includes an adverse event occurring in the course of the use of the
drug in professional practice.

New safety information with respect to a drug, means information derived from a clinical trial,
an adverse event report, a postapproval study (including a study under section 505(o)(3)), or
peer-reviewed biomedical literature; data derived from the postmarket risk identification and
analysis system under section 505(k); or other scientific data deemed appropriate by the
Secretary (of Health and Human Services) about
(A) a serious risk or unexpected serious risk associated with use of the drug that the
Secretary has become aware of (that may be based on a new analysis of existing
information) since the drug was approved, since the risk evaluation and mitigation
strategy was required, or since the last assessment of the approved risk evaluation
and mitigation strategy for the drug; or
(B) the effectiveness of the approved risk evaluation and mitigation strategy for the
drug obtained since the last assessment of such strategy.

Serious adverse drug experience is an adverse drug experience that

(A) results in
(i) death;
(ii) an adverse drug experience that places the patient at immediate risk of
death from the adverse drug experience as it occurred (not including an adverse
drug experience that might have caused death had it occurred in a more severe
form);
(iii) inpatient hospitalization or prolongation of existing hospitalization;
(iv) a persistent or significant incapacity or substantial disruption of the
ability to conduct normal life functions; or
(v) a congenital anomaly or birth defect; or
(B) based on appropriate medical judgment, may jeopardize the patient and may
require a medical or surgical intervention to prevent an outcome described under
subparagraph (A).

Serious risk means a risk of a serious adverse drug experience.

Signal of a serious risk means information related to a serious adverse drug experience
associated with use of a drug and derived from
(A) a clinical trial;
(B) adverse event reports;
(C) a postapproval study, including a study under section 505(o)(3);

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(D) peer-reviewed biomedical literature;

(E) data derived from the postmarket risk identification and analysis system under
section 505(k)(4);
(F) other scientific data deemed appropriate by the Secretary.

Unexpected serious risk means a serious adverse drug experience that is not listed in the labeling
of a drug, or that may be symptomatically or pathophysiologically related to an adverse drug
experience identified in the labeling, but differs because of greater severity, specificity, or
prevalence.

FDA interprets these definitions to include safety information related to a class effect, not
apparently limited to a single member of the class for structural, mechanistic, or other reasons.

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APPENDIX B

PMR AND PMC AUTHORITIES

Postmarketing Requirement Postmarketing Commitment

Authorities Authority
Pediatric Research under Section 505B of the Agreed Upon Postmarketing Studies and
Act: Clinical Trials:

21 CFR 314.55(b) (drugs) 21 CFR 312.85

21 CFR 601.27(b) (biologics)

Accelerated Approval regulations:

21 CFR 314.510, Subpart H (drugs)

21 CFR 601.41, Subpart E (biologics)

Animal Rule:

21 CFR 314.610(b)(1), Subpart I

(drugs)
21 CFR 601.91(b)(1), Subpart H
(biologics)

FDAAA, Section 901:
Section 505(o)(3) of the FDCA

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