1 

Strategic Plan for Preventing and Mitigating 

Drug Shortages 

Food and Drug Administration 

October 2013 
2 

TABLE OF CONTENTS 

EXECUTIVE SUMMARY .................................................................................................3

INTRODUCTION...............................................................................................................7

I. UNDERSTANDING AND RESPONDING TO DRUG SHORTAGES ...............8

A. RECENT CHANGES TO FDA OVERSIGHT OF DRUG SHORTAGES...............................9

B. ROOT CAUSES OF DRUG SHORTAGES .....................................................................11

C. CURRENT FDA EFFORTS TO PREVENT AND MITIGATE DRUG SHORTAGES............12

D. INTERNAL AND EXTERNAL COMMUNICATION AND ENGAGEMENT ........................15

II. CONTINUING PROGRESS: FDA’S STRATEGIC PLAN...............................17

A. GOAL #1: STRENGTHEN MITIGATION RESPONSE .................................................18

B. GOAL #2: DEVELOP LONG-TERM PREVENTION STRATEGIES...............................20

III. ACTIONS OTHER STAKEHOLDERS SHOULD CONSIDER ........................21

A. MANUFACTURING INCENTIVES...............................................................................22

B. USE OF QUALITY DATA ..........................................................................................22

C. REDUNDANCY, CAPABILITY, AND CAPACITY .........................................................23

D. THE GRAY MARKET................................................................................................23

CONCLUSION .................................................................................................................23

APPENDIX A: FEDERAL REGISTER NOTICE .........................................................25

APPENDIX B: STATUTORY ELEMENTS ...................................................................28

APPENDIX C: COLLECTING INFORMATION ON DRUG SHORTAGES..............29

APPENDIX D: FDA OFFICES ENGAGED IN DRUG SHORTAGE EFFORTS......31

APPENDIX E: COORDINATING DRUG SHORTAGE EFFORTS IN CDER ..........34

APPENDIX F: COMMUNICATING WITH EXTERNAL GROUPS...........................37
3 

 

Strategic Plan for Preventing and Mitigating 

Drug Shortages 

Executive Summary 

On July 9, 2012, the President signed into law the Food and Drug Administration Safety and 

Innovation Act (FDASIA).1

 Among other things, Title X of FDASIA directs the Food and Drug 

Administration (FDA or the Agency) to establish a task force on drug shortages to develop and 

submit to Congress a Strategic Plan to enhance FDA’s response to preventing and mitigating 

drug shortages. 

Understanding and Responding to Drug Shortages 

Shortages of drugs and biologics pose a significant public health threat, delaying, and in some 

cases even denying, critically needed care for patients. Preventing drug shortages remains a top 

priority for FDA. 

Although FDA cannot directly affect many of the business and economic decisions that 

contribute to drug shortages, FDA is well positioned to play a significant role as manufacturers 

work to restore lost production of life-saving medications. FDA can be most effective when 

there is time to plan; thus, it is critical that manufacturers notify FDA as soon as possible when 

manufacturing disruptions are expected. Early notification about possible shortages, as 

requested in the President’s Executive Order 13588 and then codified into law by Congress, has 

enabled FDA to work with manufacturers to restore production of many lifesaving therapies. 

There has been a 6-fold increase in notifications to FDA since the Executive Order. These 

increased notifications combined with allocation of additional FDA resources have resulted in 

real progress in addressing shortages―FDA helped prevent close to 200 drug shortages in 2011 

and more than 280 in 2012. The total number of new shortages decreased from 251 in 2011 to 

117 in 2012. 

If notified of a potential disruption in production, FDA can take a number of steps to help 

prevent or mitigate a shortage, including: 

 Determine if other manufacturers are willing and able to increase production 

 Expedite inspections and reviews of submissions 

 Exercise temporary enforcement discretion for new sources of medically necessary drugs 

 Work with the manufacturer to ensure adequate investigation into the root cause of the 

shortage 

1

 Public Law 112-144. 
4 

 Review possible risk mitigation measures for remaining inventory 

When selecting specific regulatory tools, FDA works closely with manufacturers and chooses 

tools that are appropriate to the specific situation. FDA also makes certain that drug shortages 

are considered before taking an enforcement action or issuing a Warning Letter. Additionally, 

FDA communicates up-to-date information about a shortage to affected stakeholders and 

continues to monitor a shortage until it is resolved. 

FDA’s efforts to date demonstrate that FDA is an important part of the solution to the drug 

shortages problem. By working closely with manufacturers experiencing problems, as well as 

potential alternative manufacturers, and by exercising regulatory flexibility in appropriate cases, 

FDA has had a substantial positive impact on the shortage situation. However, FDA cannot 

address the drug shortage threat alone. An examination of FDA’s response to drug shortages 

underscores the importance of strong collaboration and constant communication between FDA, 

industry, health professionals, and patients. In addition, ensuring that critical drugs are available 

to the patients who need them will require further action by manufacturers and other 

stakeholders. 

FDA’s Drug Shortage Strategic Plan 

In its Drug Shortage Strategic Plan (Strategic Plan), FDA identifies two central goals to address 

drug shortages: improving our mitigation response to imminent or existing shortages, and 

implementing strategies for the long-term prevention of shortages by focusing on the root causes 

of shortages. The Strategic Plan outlines specific tasks under each goal. 

Goal #1: STRENGTHEN MITIGATION RESPONSE 

Improve and streamline FDA’s current mitigation activities once the 

Agency is notified of a supply disruption or shortage

TASK 1.1 Revise and standardize procedures to more accurately reflect and 

Develop and/or Streamline enhance the interactions between units within FDA and maximize the 

Internal FDA Processes efficiency of FDA’s response to a notification of a disruption in supply. 

TASK 1.2 

Improve Data and Response 

Tracking

Improve Agency databases related to shortages and the tracking 

procedures FDA uses to manage shortages. Improved tracking will 

enable FDA to better assess progress on preventing and mitigating 

shortages. 

TASK 1.3 

Clarify Roles/Responsibility 

of Manufacturers 

Clarify roles/responsibilities of manufacturers by finalizing the 

proposed rule explaining when and how to notify FDA of a 

discontinuance or interruption in manufacturing, working with 

manufacturers on remediation efforts, and encouraging manufacturers 

to engage in best practices to avoid or mitigate shortages. 
5 

TASK 1.4 

Enhance Public 

Communications about Drug 

Shortages

Continue to improve FDA’s public communications about drug 

shortages by developing a smartphone application so that individuals 

can instantaneously access drug shortage information, updating the 

website to include the therapeutic category(ies) for shortage products, 

and improving the functionality of the website by adding sort and 

search capabilities. 

Goal #2: DEVELOP LONG-TERM PREVENTION STRATEGIES 

Develop long-term prevention strategies to address the underlying causes of supply disruptions 

and prevent drug shortages

TASK 2.1 

Develop Methods to 

Incentivize and Prioritize 

Manufacturing Quality 

Identify ways FDA can implement positive incentives to promote and 

sustain manufacturing and product quality improvements. 

TASK 2.2 

Use Regulatory Science to 

Identify Early-Warning 

Signals of Shortages 

Continue to develop risk-based approaches to identify early warning 

signals for manufacturing and quality problems to prevent supply 

disruptions. 

TASK 2.3 

Increase Knowledge to 

Develop New Strategies to 

Address Shortages 

Continue to work with stakeholders to further develop our 

understanding of issues related to shortages, including whether a 

Qualified Manufacturing Partner Program would be feasible and 

beneficial. This additional information could help inform new 

strategies to address shortages. 

Actions for Other Stakeholders to Consider 

Stakeholders outside FDA have a significant role to play in mitigating and preventing drug 

shortages. Because there are limits to what FDA can do on its own to address shortages, any 

comprehensive drug shortages plan must also discuss other stakeholders’ roles and potential 

contributions. FDA has identified four specific areas that merit external stakeholder attention: 

 

 Manufacturing incentives: Many shortages are caused by manufacturing quality issues. 

FDA is exploring ways to use its existing authorities to promote and sustain quality 

manufacturing. However, our ability to offer financial or other economic incentives for 

innovation and new investments in high-quality manufacturing is limited. Given the 

importance of quality and its link to shortages, payers might explore financial or 

economic incentives to encourage high-quality manufacturing that could help reduce the 

occurrence and severity of shortages. 

 Use of data on manufacturing quality in purchasing decisions: FDA makes certain 

information publicly available about manufacturers’ historical ability to produce quality 

products. However, FDA cannot influence whether or how these quality data are used by 

buyers, such as hospitals, pharmacies, and other group purchasing organizations, when 

they make purchasing decisions. Better use of this information could help incentivize 

manufacturers to focus on quality and, ultimately, prevent shortages. 
6 

 Redundancy, capability, and capacity: A disruption in supply is exacerbated if there is 

limited manufacturing capacity and capability, market concentration, or just-in-time 

inventory practices that result in minimal product inventory being on hand at any given 

time. However, FDA cannot prevent manufacturing concentration or require redundancy 

of manufacturing capability and capacity. Nor can FDA require a company to 

manufacture a drug, maintain a certain level of inventory of drug product, or reverse a 

business decision to cease manufacturing. Manufacturers could consider opportunities 

for building redundant manufacturing capacity, holding spare capacity, or increasing 

inventory levels to lower the risks of shortages; and other stakeholders might explore 

how to incentivize such practices. 

 Gray market: In the context of drug shortages, the term gray market is used to reference 

the downstream distribution of approved drug products at significantly marked-up prices. 

FDA has limited data on the gray market and limited influence on its workings (for 

example, we have no authority regarding product pricing). However, there is evidence 

that gray market activities can worsen the impact of drug shortages. Actions on the part 

of other stakeholders to minimize gray market activities when such activities exacerbate 

the impact of drug shortages could play a role in mitigating the impact of shortages and 

reducing risks to patients.

Conclusion 

Drug shortages remain a significant public health issue in the United States, and addressing 

shortages remains a top priority for FDA. Early and open dialogue between FDA and 

manufacturers is critical to successfully mitigating and preventing shortages. Recent important 

actions by the President and Congress have enabled FDA to learn more about possible shortages 

before they occur. These actions, combined with an increase in the resources FDA is devoting to 

drug shortages, have helped prevent numerous recent shortages—more than 280 in 2012. 

Nevertheless, substantial challenges remain, and more work by all relevant stakeholders is 

needed. This Strategic Plan identifies a number of activities to improve the Agency’s ability to 

address drug shortages, focusing on two goals: 

 Strengthening FDA’s ability to respond to notices of a disruption in supply, including 

improving our mitigation tools 

 Developing long-term prevention strategies to address the underlying causes of supply 

disruptions and prevent drug shortages 

 

Recognizing that manufacturers and other stakeholders have important roles to play in ensuring 

that drugs are available to the patients who need them, the Strategic Plan also identifies actions 

others can consider that show promise in helping to prevent shortages. 

FDA looks forward to implementing this Strategic Plan as part of a collaborative and sustained 

effort to address drug shortages in the United States. 
7 

FDA’s Strategic Plan for Preventing and 

Mitigating Drug Shortages 

Introduction 

On July 9, 2012, the President signed into law the Food and Drug Administration Safety and 

Innovation Act (FDASIA). Title X of FDASIA pertains to drug shortages and defines a shortage

or drug shortage as a period of time when the demand or projected demand for a drug within the 

United States exceeds the supply of the drug.2

 Among other things, FDASIA directed FDA to 

establish a task force on drug shortages to develop and submit to Congress a Strategic Plan to 

enhance FDA’s response to preventing and mitigating drug shortages. FDASIA specifically 

required the Drug Shortages Strategic Plan (Strategic Plan) to include the following: 

 Plans for enhanced inter- and intra-agency coordination, communication, 

and decision-making 

 Plans to ensure drug shortages are considered when FDA initiates a 

regulatory action that could precipitate or exacerbate a drug shortage 

 Plans for effective communication with external stakeholders 

 Plans for considering the impact of drug shortages on clinical trials 

 An examination of whether to establish a “qualified manufacturing partner 

program” as further described in FDASIA 

Appendix B includes a table indicating where each statutory element is discussed in this 

document. 

Since the passage of FDASIA, FDA has convened a Drug Shortages Task Force (Task Force), 

representing multiple disciplines, centers, and offices within FDA.3

 This Strategic Plan4 is the 

culmination of the efforts of the Task Force over the last several months. The Plan also reflects 

input received from a wide variety of sources, including discussions with outside stakeholders 

 

2

 Section 506C(h)(2) of the Federal Food, Drug, and Cosmetic Act (FD&C Act) (21 USC 356c(h)(2), as amended by 

Title X of FDASIA. 

3

 Information on drug shortages, including the members of the Task Force can be found at 

http://www.fda.gov/drugs/drugsafety/drugshortages/default.htm (drug shortages). Information about biologics 

shortages can be found at http://www.fda.gov/BiologicsBloodVaccines/SafetyAvailability/Shortages/default.htm

(biologics shortages). 

4

 The Strategic Plan encompasses both drugs and biologics—although shortages of drugs outnumber shortages of 

biologics, both can have a similar and equally troubling impact on patient care. Unless otherwise indicated, we use 

the term drug to refer to both drugs and biologics. 
8 

and comments responding to a Federal Register notice FDA published on February 12, 2013 

(Appendix A).5

 FDA also recognizes that numerous other groups are examining drug shortages, 

including the Government Accountability Office (GAO) and several private organizations. 

Following this Introduction, the Strategic Plan consists of three sections. The first section

explains FDA’s oversight of drug shortages, examines what is known about the causes of 

shortages, and describes FDA’s current efforts to resolve existing shortages and respond to 

disruptions in supply. The second section is the Strategic Plan: it explains the actions FDA is, or 

will be, taking to strengthen and expand its efforts to address shortages. Recognizing that FDA 

cannot address this problem alone, the third section outlines potential actions for other 

stakeholders to consider. 

I. Understanding and Responding to Drug Shortages 

Drug shortages pose a significant public health threat, affecting critically important drugs 

including those intended for intravenous administration (e.g., chemotherapy, nutritional support, 

and antibiotics). A shortage can result in delaying or denying needed care to patients and may 

cause practitioners to prescribe an alternative therapy that may be less effective for the patient or 

that poses greater risk.6

 Drug shortages have even disrupted clinical trials, potentially delaying 

research on important new therapies. 

The number of new drug shortages quadrupled from approximately 60 in 2005 to more than 250 

in 2011. These statistics reflect the number of new shortages reported in a given year, but 

because shortages typically continue for extended amounts of time, the actual number of 

shortages at a given point in time is likely to be higher. As a result, although the number of new 

shortages significantly decreased in 2012 to 117 (from 251 in 2011), more than 300 shortages 

remained active at the end of 2012.7 

Behind these statistics are individual patients from across the United States who are in need of 

drugs to treat life-threatening diseases, including cancer and serious infections. Preventing drug 

shortages has been, and continues to be, a top priority for FDA. Working within the confines of 

the current statutory and regulatory framework and in partnership with manufacturers and other 

stakeholders, FDA helped prevent close to 200 drug shortages in 2011 and more than 280 

shortages in 2012. 

 

5

 The Federal Register notice and the submitted comments can be found online at http://www.regulations.gov, 

Docket No. FDA-2013-N-0124. 

6

 Berg N, Kos K, et al. Report on the ISPE 2013 Drug Shortages Survey. June 2013. Tampa, FL: International 

Society for Pharmaceutical Engineering. Available at www.ispe.org/drugshortages/2013JuneReport. 

7 FDA drug shortage statistics can be found at 

http://www.fda.gov/Drugs/DrugSafety/DrugShortages/ucm050796.htm. 
Figure 1 illustrates the number of new drug shortages by year from 2005-2012 and the number of 

prevented shortages by year from 2010-2012 (FDA began tracking prevented shortages in 2010). 

Figure 1 also shows that shortages predominantly affect sterile injectable products and reflects 

FDA’s focus on preventing nationwide shortages of these critical drugs8

. 

Figure 1. Number of New and Prevented Shortages by Dosage Form, 2005-2012 

62 56

90 110

157 178

251

117

38

195

282

31 23 40 38

72

132

179

87

16

165

213

0

50

100

150

200

250

300

350

400

450

2005 2006 2007 2008 2009 2010 2011 2012

Number of Shortages

Calendar Year

Injectables ‐ Prevented

Injectables ‐ New

All ‐ Prevented

All ‐ New

Source: Data from FDA’s

internal drug and biologics

shortages databases.

A. Recent Changes to FDA Oversight of Drug Shortages 

 

Authorities granted by Congress as part of the Federal Food, Drug, and Cosmetic Act (FD&C 

Act) have enabled FDA to coordinate with manufacturers to help prevent or mitigate drug 

shortages. However, FDA’s ability to take effective action depends on the relevant manufacturer 

notifying FDA in a timely fashion of a disruption or possible disruption in supply. FDA has at 

its disposal a variety of mitigation tools (more fully described in section C.3) that the Agency 

can use when working with a manufacturer (or manufacturers) to prevent a possible shortage or 

to take appropriate remedial actions once a shortage has occurred; but these tools are only useful 

to the extent that FDA receives early notification about the supply disruption. Lack of, or late, 

notification severely limits FDA’s ability to coordinate a timely response with manufacturers. 

 

8

 There are regional or local shortages of certain products. However, these are often the result of distribution issues 

that can be resolved locally and are not indicative of a national supply and demand imbalance. In general, FDA 

focuses its resources on nationwide drug shortages of medically necessary products that have the most significant 

impact on public health across the country. 

9 
10 

 

Recently, the White House and Congress have taken important and welcome steps to expand 

early notification of interruptions and discontinuations, enhancing FDA’s ability to address drug 

shortages. Before FDASIA, notification under section 506C of the FD&C Act was limited in 

scope, applying only to sole manufacturers; only to a discontinuance (which could be read to 

imply a permanent shutdown); and only to certain approved drugs (e.g., unapproved drugs and 

biologics were excluded).9 The following actions have expanded the scope of early notification 

requirements and the rate of early reporting: 

 October 31, 2011, Executive Order 13588 – Reducing Prescription Drug 

Shortages10: acknowledged the need for a “multifaceted approach” to address the many 

different factors that contribute to drug shortages, and, among other things, directed FDA 

to “[u]se all appropriate administrative tools” to require drug manufacturers to provide 

advance notice of manufacturing discontinuances that could lead to shortages.11 

 December 19, 2011, Interim Final Rule (IFR)12: published in response to the Executive 

Order, the IFR amended FDA’s regulations related to early notification to improve the 

likelihood of FDA receiving advance notification of a potential drug shortage.13 

 July 9, 2012, FDASIA: broadens the scope of the early notification provisions by 

requiring all manufacturers of certain medically important prescription drugs14 (approved 

9

 See 21 CFR 314.80(b)(3)(iii) (as amended by the Interim Final Rule of December 19, 2011). 

10 Executive Order 13588, available at http://www.whitehouse.gov/the-press-office/2011/10/31/executive-orderreducing-prescription-drug-shortages. 

11 On October 31, 2011, FDA also released a review of the Agency’s approach to drug shortages, available at 

http://www.fda.gov/AboutFDA/ReportsManualsForms/Reports/ucm277749.htm and sent a letter to drug and 

biologic manufacturers, encouraging them to voluntarily report potential shortages to FDA, beyond what was 

required under the FD&C Act. 

12 76 FR 78530 (December 19, 2011). The IFR is a final rule implementing the pre-FDASIA section 506C. 

FDASIA significantly amended section 506C and requires FDA to initiate a new rulemaking process to implement 

the amended section 506C. FDA is in the process of developing a proposed rule for public comment implementing 

the new drug shortages provisions of FDASIA. Once final, the rule will supersede the IFR. 

13 As a complement to the IFR, the Agency also published a draft guidance for industry on drug shortages on 

February 21, 2012, available at 

http://www.fda.gov/downloads/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/UCM292426.pdf. 

The draft guidance was issued for public comment, and: (1) further discussed the Agency’s interpretation of the 

mandatory early notification requirements in the IFR; (2) explained a policy of encouraging additional voluntary 

reporting; and (3) discussed the role that manufacturers play in preventing or responding to drug shortages, 

including that many shortages arise from quality or other issues experienced during the manufacturing process. 

14 Specifically, the requirement currently applies to prescription drugs that are not biologics, and that are: (1) lifesupporting; life-sustaining; or intended for use in the prevention or treatment of a debilitating disease or condition, 

including any such drug used in emergency medical care or during surgery; and “(2) ... not a radio pharmaceutical 

drug product....” FD&C Act § 506C(a). 
11 

 

or unapproved) to notify FDA of a permanent discontinuance or (temporary) interruption 

in manufacturing. FDASIA also allows FDA to require, by regulation, early notification 

of discontinuances or interruptions in the manufacturing of biologics, and requires FDA 

to send a noncompliance letter to firms that fail to notify the Agency in accordance with 

FDASIA.15 

B. Root Causes of Drug Shortages 

In addition to understanding the legal and regulatory authorities related to drug shortages, it is 

important to explain why drug shortages occur. In most cases, a shortage is preceded by a 

production disruption (i.e., a discontinuance or interruption in manufacturing). Once a 

manufacturer experiences a discontinuance or interruption in manufacturing, a shortage will 

occur if there is no other manufacturer to step in to fill the gap in supply, or if other 

manufacturers cannot increase production quickly enough to make up the loss.16

A production disruption can be triggered by several factors, including a natural disaster or other 

unexpected event not within a manufacturer’s control, or a business decision to permanently 

discontinue production of a drug (e.g., because the product is no longer profitable or is less 

profitable than other products that could be produced with the limited production capacity 

available to the firm) (Figure 2). 

More often, however, failures in product or facility quality are the primary factor leading to 

disruptions in manufacturing (Figure 2). In 2012, for example, based on information collected 

from manufacturers, FDA determined that the majority of production disruptions (66%) resulted 

from either (1) efforts to address product-specific quality failures (31%, labeled Quality: 

Manufacturing Issues in Figure 2) or (2) broader efforts to remediate or improve a problematic 

manufacturing facility (35%, labeled Quality: Remediation Efforts in Figure 2). Quality or 

manufacturing concerns can involve compromised sterility, such as roof leakage; mold in 

manufacturing areas; or unsterilized vials or containers to hold the product—issues that could 

pose extreme safety risks to patients. 

Since 2011, the number of shortages associated with shutdowns or slowdowns in manufacturing 

to address overall facility quality (remediation) has not changed significantly, although there has 

been a decline in the number of shortages due to quality concerns related to a specific product 

(e.g., particulates, contamination). Remediation efforts can lead to a short-term risk of a 

shortage for specific products while facility upgrades are made, but this risk is balanced by the 

15 Under FDASIA, FDA must issue a final rule implementing certain of the FDASIA shortages provisions by 

January 9, 2014. 

16 See Woodcock J, Wosinska, M. Economic and technological drivers of generic sterile injectable drug shortages. 

Clin Pharmacol Ther. 93:170-176 (2013), pp. 174-75 (discussing why one manufacturer’s disruption in supply may 

result in a market-wide shortage). 
expectation that improvements will lead to long-term, stable, high-quality manufacturing 

capacity, thus reducing the long-term risk of shortages.17

Figure 2. Drug Shortages by Primary Reason for Disruption in Supply in 2012 

35%

31%

14%

8%

2%

6%

4%

Quality: Facility

Remediation Efforts

Quality: Product

Manufacturing Issues

Discontinuation of

Product

Raw Materials (API)

Shortage

Other Component

Shortage

Increased Demand

Loss of Manufacturing

Site Source: Data from

FDA’s internal drug

and biologics

shortages databases.

C. Current FDA Efforts to Prevent and Mitigate Drug Shortages 

Preventing or mitigating drug shortages requires a careful and coordinated response by FDA, 

which begins with a notification to FDA of a potential disruption in supply. This notification 

allows FDA to assess the risk of a shortage developing and subsequently deploy one or more 

regulatory tools, as appropriate, to prevent or mitigate the shortage. FDA largely focuses its 

efforts on ensuring that a disruption in production does not result in a shortage, or on mitigating 

the impact of the shortage should it become unavoidable. 

1. Notifying FDA of a Disruption in Supply 

The most important way to prevent or mitigate a drug shortage is for FDA to learn about a 

disruption in production as soon as possible. The sooner FDA is notified of a discontinuance or 

interruption in manufacturing, the more time FDA has between the disruption and the potential 

shortage to help coordinate the manufacturers’ response. Notification of a disruption in 

production can come from a variety of sources outside the agency, including a drug 

manufacturer, a professional organization, interest groups, patients, and health care 

professionals, or through internal channels at FDA. Since the Executive Order was issued in 

 

17 Berg N, Kos K, et al. Report on the ISPE 2013 Drug Shortages Survey. June 2013. Tampa, FL: International 

Society for Pharmaceutical Engineering. Available at http://www.ispe.org/drugshortages/2013JuneReport. 

12 
13 

 

October 2011, FDA has seen a six-fold increase in the number of notifications from 

manufacturers (from 10 notifications per month prior to the Executive Order to an average of 60 

per month since the Executive Order). These early notifications have had a direct impact on the 

number of shortages FDA has been able to prevent. 

2. Assessing the Risk of Shortage 

Once FDA’s shortage staff has been alerted to a discontinuance or disruption in production, they 

first verify if an actual shortage exists or may occur. The shortage staff may take the following 

actions to do this: 

 Use a market research database to collect initial information to determine whether or not 

the current supply of product across manufacturers is stable 

 Contact product manufacturer(s) to collect up-to-date inventory information, rate of 

demand (units/month), manufacturing schedules, and any changes in ordering patterns. 

Although manufacturers are not required to provide this information to FDA, voluntarily 

sharing this information greatly facilitates the management of shortages 

 Evaluate product inventory in the distribution chain to the extent possible. This 

information can help predict how quickly a shortage may develop (if at all) 

Additional information on how FDA collects and uses data to assess the risk of a shortage can be 

found in Appendix C. 

When the shortage staff determines that a shortage either exists or is likely to occur imminently, 

shortage staff members lead and coordinate the mitigation efforts with multiple other offices 

within FDA. Working with FDA’s drug review division and/or professional organizations, they 

determine if the drug is medically necessary.18 FDA uses the information about whether or not a 

drug is medically necessary to prioritize its response to a shortage overall and to inform the riskbenefit assessment for the specific product in question. 

 

3. Mitigating an Actual or Imminent Shortage 

Mitigation efforts begin once FDA has confirmed that a shortage exists or could occur and that 

the drug is medically necessary. The actions FDA can take to mitigate a shortage include, as 

appropriate: 

 Identify the extent of the shortfall and determine if other manufacturers are willing and 

able to increase production to make up the gap 

18 A medically necessary drug product is a product that is used to treat or prevent a serious disease or medical 

condition for which there is no alternative drug in adequate supply that is judged by medical staff to be an 

appropriate substitute. Off-label uses are taken into account when making medical necessity determinations. CDER 

MAPP 6003.1, Drug Shortage Management at 2, available at 

http://www.fda.gov/downloads/AboutFDA/CentersOffices/CDER/ManualofPoliciesProcedures/ucm079936.pdf. 
14 

 Expedite FDA inspections and reviews of submissions from manufacturers attempting to 

restore production 

 Expedite FDA inspections and reviews of submissions from competing manufacturers 

who are interested in starting new production or increasing existing production of 

products in shortage 

 Exercise temporary enforcement discretion for new sources of medically necessary drugs 

 Work with the manufacturer to ensure adequate investigation into the root cause of the 

shortage 

 Develop risk mitigation measures for a batch(es) of product initially not meeting 

established standards 

FDA may use one or more of these mitigation tools, or may seek to develop other options, 

depending on the severity of the shortage and the circumstances surrounding the shortage. When 

selecting specific tools, FDA continues to work with the manufacturer to tailor its response to the 

specific situation. FDA also frequently communicates available information about a shortage to 

affected stakeholders and monitors a shortage until it is resolved. Additional information on how 

FDA collects and uses data to manage a shortage can be found in Appendix C. 

It is important to note that FDA’s standards of safety, efficacy, and quality do not change in a 

shortage situation. FDA’s preferred solution to a shortage is a supply of approved drugs 

sufficient to meet patient demand. However, FDA recognizes that there can also be risks to 

patients when treatment options are not available for critical conditions, and understands the 

importance of using the appropriate tools to prevent or mitigate a shortage. FDA also makes 

certain that drug shortages are considered before taking an enforcement action or issuing a 

Warning Letter. In appropriate cases, temporary exercise of regulatory flexibility has proven to 

be an important tool in ensuring access to treatment options for health care practitioners and 

patients in critical need. 

For example, when particulate matter (including glass and metal particles) was found in an 

injectable drug product that was medically necessary and vulnerable to shortage, FDA exercised 

discretion to allow distribution of the product along with a letter, included in the drug’s 

packaging, warning health care professionals to use a filter when administering the drug. The 

exercise of discretion was temporary, and was conditioned on the manufacturer’s ability to 

demonstrate to FDA that the filter did not affect the way the drug works and could successfully 

remove the particulate. FDA also worked with the manufacturer while the manufacturer 

identified and addressed the root cause of the problem, so that it could resume producing a drug 

product that did not need the work-around involving the filter. In the last two years, FDA has 

exercised temporary regulatory flexibility involving the use of filters for eight important drugs, 

including life-saving components of IV nutrition for newborns, children, and other patients who 

are unable to eat or drink by mouth. 

In contrast, a drug that is contaminated with bacteria or fungi presents a more extreme risk to 

patients, one that cannot be mitigated through a work-around such as the one described above. 

In such cases, the manufacturer must correct the conditions leading to the contamination before 

the product is safe for use, even if correcting the conditions ultimately leads to a shortage. Each 
situation must be carefully evaluated to determine the public health impact, keeping in mind that 

a given action may have unintended, and potentially long-term, consequences.19 

D. Internal and External Communication and Engagement 

FDA communication and collaboration processes are essential to effectively prevent and manage 

drug shortages. These types of interactions, both internally and externally, occur in a variety of 

ways and with a variety of stakeholders (Figure 3). 

Figure 3. Internal and External Communication During Shortage Management 

1. Internal Coordination 

The Agency’s response to a notification of a discontinuance or production disruption involves 

multiple offices within FDA and often requires a cross-functional team of up to 25 individuals to 

respond to a specific shortage or potential shortage. Appendix D lists examples of specific 

offices and their roles in managing drug shortages. Appendix E lists specific examples of the 

types of communication that occur within the Center for Drug Evaluation and Research (CDER) 

to manage a drug shortage. 

In response to the recent increase in drug shortages, CDER has nearly tripled the number of staff 

directly responsible for shortages, from 4 employees in 2011 to 11 employees in 2013. The 

office has also been elevated within the Center to indicate the priority FDA has placed on this 

topic. Although this staff serves as the primary point of contact for drug shortage-related issues, 

shortage staff members work with a large number of other offices and divisions within FDA. 

 

19 For example, if the use of enforcement discretion signals to industry that FDA is willing to exercise flexibility to 

ensure the availability of any critical product, this could create a long-term disincentive for manufacturers to invest 

in manufacturing upgrades or other quality improvements to avoid disruptions in supply, exacerbating the risk of 

shortages over the long term. 

15 
16 

 

2. External Communication and Engagement 

In addition to internal communication and coordination to facilitate FDA decision-making, it is 

essential for FDA to adequately maintain communication with the many external groups affected 

by drug shortages, including patients, health professionals, federal partners, and international 

groups. Appendix F describes these communications in greater detail. 

One straightforward and accessible method for enhancing communication with these groups has 

been through FDA’s website. In response to feedback from numerous stakeholders, including 

those who responded to the Federal Register notice, FDA has significantly improved its drug 

and biologics shortage websites in the past year. For example, CDER’s website now includes 

the following features: 

 

 More frequent updates to the CDER shortage website, including biweekly updates on 

postings from manufacturers about progress on specific shortages 

 Icons to highlight new listings and update dates 

 Improved layout for easier navigation, including the creation of a Current Drug Shortage 

Index, and separating the shortage list into sections of the alphabet for each page 

 Information about the causes of shortages 

 A page for additional news and information, such as extensions of expiry date for a 

specific lot of product to prevent shortage 

Another important shortage website is maintained by the American Society of Health-System 

Pharmacists (ASHP) and the Drug Information Service at the University of Utah.20 FDA, the 

Drug Information Service, and ASHP exchange information on a routine basis, sharing 

notifications and public information on the status of the drug supply. This collaborative effort 

has greatly improved FDA’s ability to monitor product disruptions. ASHP’s website also 

provides recommendations about therapeutic alternatives. 

Communication with manufacturers is also a key component of FDA’s coordination efforts. 

FDA’s drug shortages staff interact with manufacturers on an ongoing basis to understand 

specific issues related to possible or ongoing shortages. For example, when the shortage staff 

hears about a potential disruption in production, FDA may contact other manufacturers to see if 

they have experienced an increase in demand; determine the status of their on-hand supply; and 

if a shortage appears imminent, determine whether the manufacturer is willing to initiate or 

increase production. FDA then works with those manufacturers as they increase production. 

During a shortage, FDA also continues to work with the manufacturer causing the shortage to aid 

in recovery efforts. For instance, when a firm shuts down to address manufacturing and/or 

quality problems, FDA works with the firm as it remediates the problem to restore or maintain 

the availability of critical medicines. To maintain some level of supply during remediation, FDA 

may recommend creating a priority list that emphasizes continued manufacture of shortage 

20 Available at http://www.ashp.org/shortages. 
products; encourage allocation programs to hold back supply of shortage products; or 

recommend third-party quality review for release of manufactured batches. 

Finally, FDA understands the important role that the public plays in discussing and identifying 

solutions to drug shortage issues. FDA is actively involved in meetings with outside 

stakeholders to help guide FDA’s regulatory and policy decision making, as well as to increase 

our understanding of the issues facing these stakeholders. In 2012, FDA staff participated in 

more than 45 such meetings with academics, patient groups, pharmacy organizations, 

distributors, and manufacturers. 

II. Continuing Progress: FDA’s Strategic Plan 

As described previously, Title X of FDASIA requires FDA to establish a task force to develop 

and submit to Congress a Strategic Plan to enhance FDA’s ability to address drug shortages. In 

response, FDA convened a Task Force representing multiple centers, offices, and disciplines 

within FDA. The Task Force has identified two central goals and related tasks for FDA to focus 

on to address drug shortages, stated below. Specific tasks are discussed in further detail in the 

sections that follow. 

STRENGTHEN MITIGATION RESPONSE.

Goal #1 Improve and streamline FDA’s current mitigation activities once the 

Agency is notified of a supply disruption or shortage. 

DEVELOP LONG-TERM PREVENTION STRATEGIES. 

Goal #2 Develop prevention strategies to address the underlying causes of 

production disruptions to prevent drug shortages.

As depicted in the Figure 4, mitigation activities are directed at preventing supply disruptions 

from turning into actual shortages. Long-term prevention strategies are intended to address the 

underlying causes of shortages to prevent supply disruptions from occurring in the first place. 

Figure 4. Addressing Drug Shortages: Mitigation Activities and Long-Term Prevention 

17 

Supply 

Disruption

MITIGATION

Quality 

Problems & 

Other Factors 

PREVENTION 

Drug 

Shortage 
18 

 

A. GOAL #1: Strengthen Mitigation Response 

The Task Force identified the following tasks to strengthen FDA’s ability to respond to a 

notification of a production disruption to prevent a shortage or to mitigate an unavoidable 

shortage. 

TASK 1.1: Develop and/or Streamline Internal FDA Processes 

While coordinating the increased number of drug shortages over the last few years, FDA has 

continued to improve its approaches to the management of shortages. Revising and 

standardizing procedures will more accurately reflect and enhance the working interactions 

between units within FDA and will maximize the efficiency of FDA’s response to a shortage. 

As a part of this work, the Center for Biologics Evaluation and Research (CBER) is undertaking 

a review of its internal procedures to address shortages, including revising its standard operating 

policy and procedure on CBER-regulated product shortages.21 In addition, CDER is revising its 

Manual of Policies and Procedures (MAPP) on Drug Shortage Management.22 Specifically, FDA 

intends to: 

 Standardize the risk-benefit assessment process prior to compliance actions23 

 Update the process for interacting with the Drug Enforcement Administration (DEA) in 

the event of a shortage of a controlled substance, including updating a memorandum of 

understanding between the two agencies that will improve the sharing of important 

information 

 Develop and implement a process for issuing a noncompliance letter for failure to notify 

FDA as required by FDASIA 

 Explore new approaches to extend expiration dating to temporarily mitigate a shortage 

TASK 1.2: Improve Data and Response Tracking 

FDA is working to improve its databases related to shortages and the tracking procedures it uses 

to manage them. FDA has several databases that it uses to support efforts to address shortages, 

but they were not created specifically for the purposes of assisting shortage-related activities.24 

21 CBER Standard Operating Policy and Procedure 8506, Management of Shortages of CBER-Regulated Products, 

available at 

http://www.fda.gov/BiologicsBloodVaccines/GuidanceComplianceRegulatoryInformation/ProceduresSOPPs/ucm29

9304.htm. 

22 CDER MAPP 6003.1, Drug Shortage Management. 

23 This work is also responsive to FDASIA, which directed FDA to evaluate certain risks and benefits prior to an 

enforcement action or issuance of a warning letter that could reasonably be expected to lead to a meaningful 

disruption in the supply of a drug covered by section 506C. FD&C Act § 506D(c). 

24 Examples include databases supporting the Orange and Red Books, and the databases that collect information 

about the inspections of manufacturing facilities. 
19 

In addition to these more general databases, CDER has created a dedicated database that focuses 

solely on collecting data related to shortages. This improved tracking will enable FDA to better 

assess progress on preventing and mitigating shortages and will enhance FDA’s ability to 

compile the information necessary for the required annual report to Congress on drug shortages. 

TASK 1.3: Clarify Roles/Responsibility of Manufacturers 

Patients expect and deserve high-quality drugs, and it is the manufacturer’s responsibility to 

ensure that its products are safe, effective, and of high quality. FDA is committed to working 

with industry to resolve quality or manufacturing problems that arise, or avoid them if possible. 

Where justified, FDA may exercise regulatory flexibility to prevent or mitigate a shortage. To 

facilitate its work with industry, FDA intends to: 

 Finalize the proposed rule on Notification to FDA of a Discontinuance or Interruption in 

Supply of Certain Drug or Biological Products 

 Work with manufacturers as needed to remediate manufacturing problems, facilitate their 

return to full production, and discuss how to prioritize drugs in shortage as they address 

manufacturing deficiencies 

 Encourage manufacturers to engage in practices to avoid or mitigate shortages. These 

practices are listed in the table below: 

Practices to Avoid or Mitigate Shortages 

Create Allocation Plans Design an allocation plan in advance, in the event that a product 

shortage occurs. 

Communicate with 

Contract Manufacturing 

Organizations 

Communicate frequently with contract manufacturers to ensure up-todate knowledge of their manufacturing processes and facilities and to 

anticipate potential problems that might lead to a shortage 

Manage Inventory Build robust inventories before major manufacturing changes, such as 

upgrades to manufacturing facilities or transfer of facility ownership 

Develop Short- and 

Long-Term Proposals 

Provide short- and long-term proposals to address issues that could 

cause a shortage, either as part of the notification to FDA of a 

potential shortage or shortly thereafter 

Communicate with FDA Engage in dialogue with FDA to work on a long-term solution to a 

shortage, including remediation efforts 

Investigate Root Causes Provide a realistic timeline for investigation of product defects and 

scheduled restart after shut downs 

Consider Clinical Trials Consider the possibility of shortages during initial clinical trial design 

and developing and implementing contingency plans for handling a 

shortage during the clinical trial, should one arise (see Appendix F for 

additional discussion of this point). 

TASK 1.4: Enhance Public Communications about Drug Shortages 

Comments received in response to the Federal Register notice made clear that ongoing efforts by 

FDA to improve external communications have enhanced our response to shortages or potential 
20 

shortages. Additionally, groups requested up-to-the-minute and customized information about 

shortages. FDA will continue to improve our public communications about drug shortages by: 

 Developing a smartphone application so that individuals can access the drug shortage 

information currently posted online instantaneously from their mobile phones or tablets 

 Updating the website to include the therapeutic category (or categories) for the products 

listed in shortage 

 Improving the functionality of the drug shortages website so that users will be able to sort 

by therapeutic or other categories and view the relevant products confirmed to be in 

shortage nationally 

B. GOAL #2: Develop Long-Term Prevention Strategies 

Developing long-term strategies focused on the underlying causes of production disruptions can, 

ultimately, prevent drug shortages. Efforts to build on existing tools to mitigate or prevent 

existing shortages are an important piece of the Strategic Plan. However, a comprehensive 

strategy must also recognize the importance of addressing the underlying causes of shortages, 

including sustaining manufacturing quality. While keeping in mind the role other stakeholders 

play in ensuring manufacturing quality, FDA is also exploring actions it can take, both alone and 

in collaboration with other groups. 

 

 TASK 2.1: Develop Methods to Incentivize and Prioritize Manufacturing Quality 

The majority of drug shortages are the result of production disruptions caused by manufacturing 

problems, particularly problems that affect product quality (see Figure 2). Ultimately, 

prevention of future drug shortages means improving the quality of manufacturing facilities and 

manufactured products. In addition to regulatory enforcement, FDA is exploring what it can do 

to provide more positive incentives for quality improvements and to make manufacturing quality 

a priority, taking into account the responses we received to the Federal Register notice. For 

example, FDA is: 

 Examining the broader use of manufacturing quality metrics to assist in the evaluation of 

product manufacturing quality 

 Implementing internal organizational improvements to focus on quality, including the 

creation of an Office of Pharmaceutical Quality within CDER 

 Considering public recognition of manufacturers who have demonstrated a consistent 

record of high quality manufacturing 

 Continuing expedited review to mitigate shortages, including the review of submissions 

for facility upgrades to improve quality 

TASK 2.2: Use Regulatory Science to Identify Early Warning Signals of Shortages 

Understanding the factors contributing to supply disruptions and drug shortages and identifying 

potential warning signals of future production disruptions could help FDA and manufacturers in 

their efforts to prevent them. However, identifying these factors and signals is a challenging 
21 

undertaking. To further this effort, FDA will explore risk-based approaches to identifying the 

early warning signals of manufacturing and quality problems that could lead to production 

disruptions. In addition, to gain a better understanding of the factors and forces contributing to 

manufacturing and quality problems, FDA will work with stakeholders to identify vulnerabilities 

at manufacturing sites that could put the production of quality drugs at that facility at risk, and 

thereby contribute to shortages. 

TASK 2.3: Increase Knowledge to Develop New Strategies to Address Shortages 

A wide variety of stakeholders have collected and analyzed data on drug shortages and potential 

approaches to their prevention, and it is essential that FDA continue to work with these 

stakeholders to fill gaps in our understanding of issues around shortages. This additional 

information could help inform new strategies to address shortages. Specifically, FDA intends to: 

 Work with the International Society for Pharmaceutical Engineering (ISPE) to analyze 

data from a recent global survey ISPE conducted on the technical, scientific, 

manufacturing, quality, and compliance issues that have resulted in drug shortages 

 Join with other stakeholder groups, such as groups convened by the American Society of 

Anesthesiologists and ASHP, and with individual companies, patient groups, and group 

purchasing organizations to discuss shortages 

 Work with manufacturers to identify best practices for avoiding disruptions in production 

 Continue to explore (through the Department of Health and Human Services) the 

potential benefit, and assess the identified challenges, of establishing a Qualified 

Manufacturing Partner Program (QMPP)25

III. Actions Other Stakeholders Should Consider 

FDA can play a significant role in addressing drug shortages and has identified several additional 

ways to enhance its efforts. It is clear, however, that FDA cannot address the threat of drug 

shortages alone. Success in addressing drug shortages requires a collective effort by all 

stakeholders—manufacturers, federal partners, researchers, professional organizations, and 

patients. In preparing this Strategic Plan, FDA has identified four key areas that merit 

consideration by the broader community for their potential to reduce drug shortages. FDA 

limitations in these areas and possible roles for others are discussed in the following sections. 

 

25 FDASIA requires FDA to examine the value of establishing a QMPP. FDA asked for public input on the 

feasibility and advisability of a QMPP in the Federal Register notice. We asked commenters to address several 

significant challenges FDA identified with such a program, including lack of funding to incentivize participation and 

a potentially unlimited scope of applicable products. Many public comments supported the idea of a QMPP, but did 

not address the challenges FDA raised. In follow up to these comments, the Department of Health and Human 

Services will explore further the feasibility of creating a QMPP. 
22 

A. Manufacturing Incentives 

Advances in drug discovery and development have been and continue to be encouraged and 

supported through a variety of economic incentives, such as listed patent protection, various 

forms of statutory market exclusivity, and tax credits. Yet, the need for innovation goes beyond 

drug discovery and approval—manufacturing processes and technologies must keep pace with 

advances in drug research and development. In many cases pharmaceutical manufacturing 

processes, facilities, and equipment lag behind innovation in drug development. Some processes 

and facilities have become outdated, resulting in quality problems that can lead to drug 

shortages. 

FDA Limitations: FDA is exploring ways to use its existing authorities to promote and sustain 

quality manufacturing. However, our ability to offer financial or other economic means to 

promote innovation in quality manufacturing is limited. 

Opportunities for Others: Given the importance of quality and its link to shortages, other 

stakeholders might explore economic, financial, or other means to incentivize innovation and 

new investments in manufacturing quality drugs to reduce the occurrence and severity of 

shortages. 

B. Use of Data on Manufacturing Quality 

Within the limits set by disclosure law, FDA makes certain information publicly available about 

the historical ability of manufacturers to produce quality products. Several indicators of 

historical quality, including a manufacturer’s history of inspection outcomes and classification, 

recalls, and shortages, are publicly available. Nevertheless, numerous comments to the Federal 

Register notice suggested that buyers (e.g., hospitals, health maintenance organizations, group 

purchasing organizations, and others) do not consider or value this potentially important 

information. This decoupling of quality considerations from purchasing decisions makes cost 

the major factor in purchasing decisions, most likely intensifying price competition, leading 

manufacturers to focus more on reducing costs than on maintaining quality, and potentially 

contributing to shortages. 

FDA Limitations: Although FDA makes certain quality information public, buyers ultimately 

decide how or whether they will use this data when they make purchasing decisions. 

Opportunities for Others: An effort by buyers to use publicly available information to take 

quality into account when making drug purchasing decisions—for example, by buying only from 

manufacturers with a history of good quality, or including “failure to supply” clauses in 

purchasing contracts—could further incentivize manufacturers to invest in quality improvements, 

and ultimately prevent drug shortages. 
23 

C. Redundancy, Capability, and Capacity 

A disruption in supply is exacerbated by limited manufacturing capacity and capability, market 

concentration, and just-in-time inventory practices that result in minimal product inventory being 

on hand at any given time. If these factors are present, a disruption in supply is more likely to 

result in a nationwide shortage. Many stakeholders, including commenters to the Federal 

Register notice, have suggested that building redundancy, holding spare capacity, and increasing 

inventory levels could lower the risks of shortages. 

FDA Limitations: FDA does not regulate manufacturing concentration and cannot require 

redundancy of manufacturing capability or capacity. Nor can FDA require a company to 

manufacture a drug, maintain a certain level of inventory of drug product, or reverse a business 

decision to cease manufacturing. 

Opportunities for Others: Manufacturers could explore building redundant manufacturing 

capacity, holding spare capacity, or increasing inventory levels to lower the risks of shortages. 

Other stakeholders could consider how to incentivize such practices. 

D. The Gray Market 

In the context of drug shortages, the term gray market is often used to reference the downstream 

distribution of approved drug products at significantly marked-up prices. A shortage offers a 

unique opportunity for this to occur, because large-scale buyers are often willing to pay any price 

to obtain a much-needed product in short supply. When a gray market distributor handles a 

product that it normally would not distribute, there can also be safety issues that put patients at 

risk – if, for example, the product is not stored or handled appropriately. These activities do not 

cause shortages, but may exacerbate the impact of an existing shortage. 

FDA Limitations: FDA has limited data on the gray market and limited influence on its 

workings (including no authority regarding product pricing). However, there is evidence that 

gray market activities exacerbate the impact of drug shortages. 

Opportunities for Others: Actions on the part of other stakeholders to minimize gray market

activities could play a role in mitigating the impact of shortages and reducing risks to patients. 

Conclusion 

Drug shortages remain a significant public health issue in the United States and a top priority for 

FDA. FDA works with manufacturers to help prevent shortages from occurring. In this respect, 

early and open dialogue between FDA and manufacturers is critical to successfully preventing a 

shortage. Because of recent important actions by the President and Congress, FDA has been able 

to learn of many possible shortages before they occur. These actions, along with increases in the 
24 

resources FDA is devoting to drug shortages, have helped prevent numerous recent shortages—

more than 280 in 2012. 

Despite these achievements, substantial challenges remain, and more work is needed on the part 

of manufacturers and other relevant stakeholders. This Strategic Plan identifies a number of 

activities to improve the Agency’s ability to address drug shortages. Activities center around 

two key goals: (1) strengthening FDA’s ability to respond to notices of a disruption in supply, 

including improving our mitigation tools, and (2) developing long-term strategies to prevent drug 

shortages by addressing the underlying causes of shortages. 

FDA recognizes that manufacturers and other stakeholders have important roles to play in 

ensuring that drugs are available to the patients who need them. Thus, the Task Force has also 

identified actions outside stakeholders can consider that show promise in helping to prevent 

shortages. 

FDA looks forward to implementing this Strategic Plan as part of a collaborative and sustained 

effort to address drug shortages in the United States. 
25 

APPENDIX A: Federal Register Notice 

http://www.gpo.gov/fdsys/pkg/FR-2013-02-12/html/2013-03198.htm 

[Federal Register Volume 78, Number 29 (Tuesday, February 12, 2013)] 

[Notices] 

[Pages 9928-9929] 

From the Federal Register Online via the Government Printing Office 

[www.gpo.gov] 

[FR Doc No: 2013-03198] 

----------------------------------------------------------------------- 

DEPARTMENT OF HEALTH AND HUMAN SERVICES 

Food and Drug Administration 

[Docket No. FDA-2013-N-0124] 

Food and Drug Administration Drug Shortages Task Force and 

Strategic Plan; Request for Comments 

AGENCY: Food and Drug Administration, HHS. 

ACTION: Notice; request for comments. 

----------------------------------------------------------------------- 

SUMMARY: To assist the Food and Drug Administration (FDA or Agency) in 

drafting a strategic plan on drug shortages as required by the Food and 

Drug Administration Safety and Innovation Act, the Agency is seeking 

public comment from interested persons on certain questions related to 

drug and biological product shortages. 

DATES: Submit either electronic or written comments by March 14, 2013. 

ADDRESSES: You may submit comments, identified by Docket No. FDA-2013- 

N-0124, by any of the following methods: 

Electronic Submissions: 

Submit electronic comments in the following way: 

Federal eRulemaking Portal: http://www.regulations.gov. 

Follow the instructions for submitting comments. 

Written Submissions: 

Submit written submissions in the following way: 

Mail/Hand delivery/Courier (for paper or CD-ROM 

submissions): Division of Dockets Management (HFA-305), Food and Drug 

Administration, 5630 Fishers Lane, rm. 1061, Rockville, MD 20852. 

Instructions: All submissions received must include the Agency name 

and Docket No. FDA-2013-N-0124. All comments received may be posted 

without change to http://www.regulations.gov, 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.regulations.gov and insert the 

docket number, 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 Management, 5630 Fishers Lane, rm. 1061, Rockville, MD 20852. 

FOR FURTHER INFORMATION CONTACT: Kalah Auchincloss, Center for Drug 

Evaluation and Research, Food and Drug Administration, 10903 New 

Hampshire Ave., Bldg. 51, rm. 6208; Silver Spring, MD 20993, 301-796- 

0659. 

SUPPLEMENTARY INFORMATION: 

I. Background 

On July 9, 2012, the President signed into law the Food and Drug 

Administration Safety and Innovation Act (FDASIA) (Pub. L. 112-144). 

Section 1003 of FDASIA adds section 506D to the Federal Food, Drug, and 

Cosmetic Act (the FD&C Act) to require the formation of a task force to 
26 

develop and implement a strategic plan for enhancing the Agency's 

response to preventing and mitigating drug shortages. Section 506D of 

the FD&C Act (21 U.S.C. 356D) requires that the drug shortages 

strategic plan include the following: 

-Plans for enhanced interagency and intra-agency coordination, communication, 

and decisionmaking; 

-Plans for ensuring that drug shortages are considered when the Secretary 

initiates a regulatory action that could precipitate a drug shortage or 

exacerbate an existing drug shortage; 

-Plans for effective communication with outside stakeholders, including who 

the Secretary should alert about potential or actual drug shortages, how the 

communication should occur, and what types of information should be shared; 

-Plans for considering the impact of drug shortages on research and clinical 

trials; and 

-An examination of whether to establish a ``qualified 

manufacturing partner program'' as described in section 506D(a)(1)(C) 

of the FD&C Act. 

II. Scope of Public Input Requested 

Per the directive in section 506D, FDA has formed an internal Drug 

Shortages Task Force (Task Force) to develop and implement the drug 

shortages strategic plan. The Task Force is seeking comments from the 

public on issues related to the development of this strategic plan. 

Importantly, although FDASIA refers only to a drug shortages strategic 

plan, we anticipate that the strategic plan will consider prevention 

and mitigation of both drug and biological product shortages. 

Accordingly, we are interested in receiving comments on these questions 

from all parties, including those with an interest in biological 

products. The Task Force is specifically interested in seeking public 

input on the following questions: 

1. In an effort to address the major underlying causes of drug and 

biological product shortages, FDA is seeking new ideas to encourage 

high-quality manufacturing and to facilitate expansion of manufacturing 

capacity. 

a. To assist in the evaluation of product manufacturing quality, 

FDA is exploring the broader use of manufacturing quality metrics. With 

that in mind, FDA would like input on the following issues: What 

metrics do manufacturers currently use to monitor production quality? 

To what extent do purchasers and prescribers use information about 

manufacturing quality when deciding how to purchase or utilize 

products? What kinds of manufacturing quality metrics might be valuable 

for purchasers and prescribers when determining which manufacturers to 

purchase from or which manufacturers' products to prescribe? What kinds 

of manufacturing quality metrics might be valuable for manufacturers 

when choosing a contract manufacturer? How frequently would such 

metrics need to be updated to be meaningful? 

b. The use of a qualified manufacturing partner program similar to 

one used under the Biomedical Advanced Research and Development 

Authority (BARDA) has been suggested as a potentially useful approach 

to expanding manufacturing capacity and preventing shortages. FDA 

recognizes that there are important potential differences between the 

BARDA program and the use of a parallel program to address shortages. 

For example, the BARDA program covers a relatively stable and limited 

number of products, but drugs at risk of shortage are many, may change 

rapidly over time, and are difficult to predict in advance. In 

addition, FDA does not have funding to pay manufacturers to participate 

in a drug shortages qualified manufacturing partner program or to 
27 

guarantee purchase of the end product. With these differences in mind, 

is it possible to design a qualified manufacturing partner program that 

would have a positive impact on shortages? 

c. Are there incentives that FDA can provide to encourage 

manufacturers to establish and maintain high-quality manufacturing 

practices, to develop redundancy in manufacturing operations, to expand 

capacity, and/or to create other conditions to prevent or mitigate 

shortages? 

2. In our work to prevent shortages of drugs and biological 

products, FDA regularly engages with other U.S. Government Agencies. 

Are there incentives these Agencies can provide, separately or in 

partnership with FDA, to prevent shortages? 

3. When notified of a potential or actual drug or biological 

product shortage, FDA may take certain actions to mitigate the impact 

of the shortage, including expediting review of regulatory submissions, 

expediting inspections, exercising enforcement discretion, identifying 

alternative manufacturing sources, extending expiration dates based on 

stability data, and working with the manufacturer to resolve the 

underlying cause of the shortage. Are there changes to these existing 

tools that FDA can make to improve their utility in managing shortages? 

Are there other actions that FDA can take under its existing authority 

to address impending shortages? 

4. To manage communications to help alleviate potential or actual 

shortages, FDA uses a variety of tools, including posting information 

on our public shortages Web sites and sending targeted notifications to 

specialty groups. Are there other communication tools that FDA should 

use or additional information the Agency should share to help health 

care professionals, manufacturers, distributors, patients, and others 

manage shortages more effectively? Are there changes to our public 

shortage Web sites that would help enhance their utility for patients, 

prescribers, and others in managing shortages? 

5. What impact do drug and biological product shortages have on 

research and clinical trials? What actions can FDA take to mitigate any 

negative impact of shortages on research and clinical trials? 

6. What other actions or activities should FDA consider including 

in the strategic plan to help prevent or mitigate shortages? 

III. Comments 

Interested persons may submit either electronic comments regarding 

this document to http://www.regulations.gov or written comments to the 

Division of Dockets Management (see ADDRESSES). It is only necessary to 

send one set of comments. Identify comments with the docket number 

found in brackets in the heading of this document. Received comments 

may be seen in the Division of Dockets Management between 9 a.m. and 4 

p.m., Monday through Friday, and will be posted to the docket at 

http://www.regulations.gov. 

Dated: February 7, 2013. 

Leslie Kux, 

Assistant Commissioner for Policy. 

[FR Doc. 2013-03198 Filed 2-11-13; 8:45 am]
28 

APPENDIX B: Statutory Elements26

The following table indicates where in this Strategic Plan the reader can find discussion of 

specific topics required by FDASIA. 

Element Section & Task

Enhanced inter‐agency and intra‐agency coordination,

communication, and decision‐making

Task 1.1

Section I.C.2

Section II.A

Ensure drug shortages are considered before initiating

a regulatory action that could precipitate or

exacerbate a drug shortage

Task 1.1

Section 1.C.1

Effective communication with external stakeholders Task 1.4

Task 2.3

Section I.C.2

Section II.A

Impact of drug shortages on research and clinical trials Task 1.3

Section I.C.2

Examination of establishing a “qualified manufacturing

partner program”

Task 2.3

Section II.B

 

26 Section 506D(a)(1)(B) (added by FDASIA) requires FDA to consider certain elements when developing the 

Strategic Plan. 
29 

APPENDIX C: Collecting Information on Drug Shortages 

Recognizing the complexity of drug manufacturing and the importance of having up-to-date data 

to manage shortages, FDA draws on a variety of sources for information on whether a shortage 

exists and how best to manage a shortage. The table below lists various sources of information 

and the type of information obtained from each source. Figure 5 illustrates some of these 

sources of information in the context of the drug supply chain. 

Source Type of Information

Orange Book or Drugs@FDA Information on therapeutic equivalents

National Drug Code (NDC) product

directory Identification of NDCs for products

Internal FDA databases

Information on managing and tracking

drug and biologics license applications;

inspections and registered manufacturing

establishments; and lot distribution and

release data

IMS Health (health care analytics firm)

Information on the pharmaceutical

market, including historical supply and

demand

Red Book Information on current suppliers of

products

Emails from prescribers, patients,

pharmacies, manufacturers, and other

stakeholders

Notifications of a disruption in supply and

information on the impact of a shortage

ASHP shortage website Additional information on existing

shortages and therapeutic alternatives

Other agencies, such DEA, the Centers

for Disease Control and Prevention

(CDC), and NIH

Data on other factors that may be

influencing the shortage
Figure 5. FDA’s Key Supply Chain Information Sources 

However, although extremely useful, these data provide only part of the picture. For example, 

key aspects of drug manufacture and distribution are not transparent, such as production 

schedules, distribution of production volume across various contract manufacturing facilities, the 

amount of inventory stored by a manufacturer, and wholesaler and pharmacy/hospital supply and 

purchasing practices. Additionally, the role that other sources of products (e.g., gray market 

distribution, compounding, unapproved drugs) play in contributing to shortages or in the 

reactions to shortages is not clearly understood. 

30 
31 

 

APPENDIX D: FDA Offices Engaged in Drug Shortage Efforts 

1. FDA’s Drug Shortage Task Force 

This overarching group, which includes individuals from across CBER, CDER, and the Office of 

Regulatory Affairs (ORA), was formed in 2012, per the directive in FDASIA. The Task Force 

coordinates the development of consistent policy with regard to FDA’s handling of drug 

shortages, facilitates intra- and inter-agency communications around shortages, and provides a 

forum for individuals working on shortage issues within FDA to discuss policy issues related to 

shortages, including the development of this Strategic Plan. 

2. CBER’s Product Shortage Coordinator

The Product Shortage Coordinator within CBER’s Office of Compliance and Biologics Quality, 

Immediate Office of the Director, is the primary contact for potential or actual shortages of 

biologics regulated by CBER. The relative infrequency of biologics shortages has enabled 

CBER to manage the workload with a shortage coordinator and staff support. When a potential 

or actual shortage is reported, CBER responds by gathering information through communications 

with manufacturers, other CBER and FDA offices, and external entities, such as ASHP, as well 

as through market research data when available. The CBER Product Shortage Coordinator is 

generally in close communication with other Department of Health and Human Services 

agencies, including the Biomedical Advanced Research and Development Authority (BARDA)27

and the CDC. CBER can draw from an array of policy options when addressing a shortage 

situation, including: encouraging other manufacturers of the product (if available) to increase 

their production, expediting inspections of manufacturing facilities, and expediting review of 

biologics license applications, new drug applications, or abbreviated new drug applications. 

To respond to the recent increase in shortages, CBER has revised its standard operating policy 

and procedure titled, Management of Shortages of CBER-Regulated Products28; created a new, 

robust database for internal tracking purposes; and significantly revised the CBER shortage 

website. 

27 Contracts for the procurement of medical countermeasures against chemical, biological, nuclear and radiological 

threat agents (e.g. smallpox and anthrax vaccines) are administered by BARDA, part of the Office of the Assistant 

Secretary for Preparedness and Response in the U.S. Department of Health and Human Services (HHS). See 

http://www.hhs.gov/aspr. 

28 See CBER Standard Operation Policy and Procedure 8506. 
32 

3. CDER’s Drug Shortage Staff 

The CDER Drug Shortage Staff (DSS) is the primary contact for potential or actual shortages of 

products regulated by CDER. This group was established in 1999 and is located in the Office of 

the Center Director. DSS coordinates FDA’s response to drug shortages and engages in the dayto-day management of specific shortages. DSS also works to integrate up-to-date information 

across products, manufacturers, review activities, and pending compliance actions to monitor 

shortages, and vulnerability for shortage, on an ongoing basis. Although the staff serves as the 

primary point of contact for shortage-related issues, it works with a large number of other offices 

and divisions within CDER and FDA. 

To respond to the recent increase in shortages, CDER has made two major changes to the DSS. 

First, during the last two years, CDER has nearly tripled the number of staff directly responsible 

for shortages, from 4 employees in 2011 to 11 employees in 2013. Second, CDER elevated DSS 

from its original location within the Office of New Drugs to its current location in the Immediate 

Office of the Center Director. Now, DSS reports to the Deputy Director for Regulatory 

Programs. This location reflects the priority nature of responding to drug shortages for CDER 

and the reality that shortages affect both new drugs and generic products and require crossfunctional coordination across CDER. 

4. Office of Regulatory Affairs District Drug Shortage Coordinators 

Communication between ORA and FDA’s medical product centers is critical in effectively 

managing product shortages. District Drug Shortage Coordinators are the points of contact in 

each of the district offices. They are responsible for notifying the relevant center of any issue 

that has the potential to lead to a product shortage (e.g., information obtained during an 

inspection or other field activities). The creation of Field Management Directive (FMD) #15, 

Product Shortage Communication, in July 2012, established a mutual understanding of 

communication roles, responsibilities, and expectations involving both potential and current 

product shortage situations between ORA and the centers. Effective sharing of information and 

coordination of efforts has optimized the outcomes and use of resources by both ORA and center 

staff (e.g., when there is an emergency need to conduct an inspection to resolve a shortage issue). 

5. CDER and CBER Offices of Compliance 

Interaction and coordination with the Offices of Compliance in CDER and CBER (and ORA, as 

needed) are integral to the prevention and management of potential shortages. Located within 

CDER’s Office of Compliance is the Office of Drug Security, Integrity and Recalls (ODSIR), 

and within ODSIR is the Recalls and Shortages Branch Shortage Coordination Team. This team 

ensures that the relevant CDER Compliance and ORA personnel are involved in a shortage issue 

and works diligently to coordinate efforts for the evaluating and determining whether to use 

enforcement discretion, as warranted by medical necessity, clinical and chemistry review, and 

shortage need. 
33 

6. Other Center Offices 

The drug shortages staff in FDA centers also communicate extensively with other offices within 

CBER and CDER to determine the medical necessity of a product in shortage or at risk of 

shortage to assess whether there are pending applications in FDA that may address a shortage, to 

obtain information from clinicians and scientists to inform the risk–benefit calculation, and to 

work with communication specialists to alert the public about important drug shortage 

developments. 
34 

APPENDIX E: Coordinating Drug Shortage Efforts in CDER 

The following table highlights the extensive coordination and interaction that takes place in 

CDER to assess and address a drug shortage. 

Coordinating Offices Examples of Information Shared Examples of Decisions Made

Office of

DSS

New Drugs (OND)

DSS → OND29

 Shortage evaluation

 Marketing status, including

whether alternate manufacturers

are available

OND → DSS

 Evaluation of medical necessity,

including off‐label use and

potential alternative therapies

 Clinical perspective of risk–benefit

calculation to inform whether

enforcement discretion is

appropriate

 Information on review of

supplements related to the drug in

shortage

Medical necessity

Revisions to proposed labeling

and Dear Healthcare Provider

letter to mitigate shortage

Office of

DSS

Compliance (OC)

OC → DSS

 Compliance status of a foreign or

domestic site

 Compliance perspective of risk–

benefit calculus, which may

include a Health Hazard Evaluation

DSS → OC

 Medical necessity determination

from OND

 Shortage evaluation

 Marketing status, including

Warning Letter or other action

Need for product recall

Revisions to proposed labeling

and Dear Healthcare Provider

letter to mitigate shortage

Expediting inspections to

address shortage  

Temporary enforcement

whether alternate manufacturers

are available

 Shortage memo, which provides

the medical necessity

determination and what may be

discretion to maintain

availability of medically

necessary drugs

 

29 Arrows specify the direction of information flow. For example, in the first row, DSS → OND indicates that DSS 

shared with OND the shortage evaluation and marketing status. 
35 

the impact of an enforcement

action

DSS

OC

Office of Regulatory Affairs

(ORA)

ORA/OC → DSS

 Upcoming firm decisions to recall

that may impact an existing or

potential drug shortage

 Number of lots involved in recall,

estimated impact to market of

recall

 Alternative product availability

 Manufacturer assessment of risk

involved with product and

proposed risk mitigation strategy

 Alternatives to product recall, if

any

DSS → ORA/OC

 Shortage evaluation

 Marketing status, including

whether alternate manufacturers

are available

Need for product recall

DSS

Office of Generic Drugs

(OGD)

Office of Pharmaceutical

Science (OPS)

DSS → OGD/OPS

 Shortage evaluation

 Marketing status, including

whether alternate manufacturers

are available

 Medical necessity determination

from OND

 Pending shortage due to product

expiration (if applicable)

OGD/OPS → DSS

 Assessment of pending

applications in‐house for products

in shortage

 Chemistry and microbiology

perspective of risk–benefit

calculus

 Assessment of potential extension

Expediting review

Enforcement discretion on

supplement filing category

Enforcement discretion on post‐

market commitments

Extension of shelf life/expiration

dating
36 

of shelf life based on data from

manufacturer

DSS

OND

OGD

OPS

OC

ORA

DSS → OND/OGD/ OPS/OC/ORA

 Shortage evaluation  

 Marketing status, including

whether alternate manufacturers

are available

OND → DSS

 Medical necessity determination

 Clinical perspective of risk–benefit

calculus  

OGD/OPS → DSS

 Chemistry and microbiology

perspective of risk involved and

how to address

OC and/or ORA → DSS

 Compliance status of a foreign or

domestic site

 Compliance and ORA perspective

of risk involved and how to

address

Actions on import‐related issues

DSS

Office of Communications

(OCOMM)

DSS → OCOMM

Information relevant to shortage that

may need to be broadly

communicated to public, such as

recalls or resolution of the shortage

Press release, Frequently Asked

Questions (FAQ) document, or

other form of communication to

the public to convey necessary

information (in addition to

posting on DSS website)
37 

 

APPENDIX F: Communicating With External Groups 

1. Patients, Prescribers, and Pharmacists 

Keeping the public informed about shortages is essential to help support the fullest access 

possible to drugs in shortage and to ensure that patients, prescribers, and others are aware of 

progress in resolving each drug shortage. CBER and CDER maintain shortage websites as key 

resources for external stakeholders.30 Since they were first launched, these FDA websites have 

served as a vehicle for making publicly available the latest information provided by 

manufacturers on each shortage, including information about the reasons for the shortage, places 

where additional information can be found (e.g., company contacts for allocations of products in 

shortage), and any estimates on when a given shortage might be resolved. FDA updates this 

information daily. The websites also include links to resolved shortages (once FDA determines 

that the shortage is over). 

FDA also employs a wide range of other tools to communicate information about drug shortages 

to specific populations. These include collaborating with manufacturers on information sent 

directly to health care professionals in the form of Dear Healthcare Provider letters, press 

releases, and communications with groups representing specific patient populations affected by a 

particular drug shortage. For example, FDA worked closely with the American Society of 

Parenteral and Enteral Nutrition on recent shortages of components of total parenteral nutrition, 

including trace elements, which provide essential nutrients for patients (including neonates) who 

are unable to eat or drink by mouth. 

2. Clinical Researchers and Sponsors of Clinical Trials 

One particularly challenging issue that has confronted industry and the academic community is 

consistent access to products for use in clinical trials. FDA recognizes that shortages may affect 

clinical research and the conduct of clinical trials. Generally, shortages affect trials designed to 

compare a new product with an existing product. For example, according to comments in 

response to the Federal Register notice, many oncology trials and studies of new antibiotics use 

such a design—i.e., comparing a candidate drug to one already approved, rather than using a 

placebo controlled clinical trial. If the approved drug goes into shortage, the trial may need to be 

delayed or stopped, halting research on important new products. FDA is continuing to explore 

how shortages affect clinical trials and how best to address this issue. While FDA works to 

identify long-term solutions, we encourage trial sponsors to consider the possibility of shortages 

during initial trial design and to develop and implement contingency plans for handling a 

shortage, should one arise. 

30 For drugs and therapeutic biologics regulated in CDER, see 

http://www.fda.gov/Drugs/DrugSafety/DrugShortages/default.htm. For products regulated by CBER, see 

http://www.fda.gov/BiologicsBloodVaccines/SafetyAvailability/Shortages/default.htm. 
38 

 

3. Manufacturers 

Ultimately, shortages cannot be resolved until one or more manufacturers commit to fill in for 

lost production. FDA is in a unique position to coordinate such a response. 

FDA’s drug shortages staff interacts with manufacturers on an ongoing basis to understand 

specific issues related to possible or ongoing shortages. For example, when the shortage staff 

hears about a potential disruption in production, FDA contacts other manufacturers to see if they 

have experienced an increase in demand; determines the status of their on-hand supply; and 

when a shortage looms, determines if they are willing to initiate or increase production to cover 

expected gaps in supply. FDA then works with those manufacturers in their efforts to increase 

production. 

During a shortage, FDA continues to work with manufacturers to aide in recovery efforts. For 

instance, when a firm shuts down to address manufacturing and/or quality problems, FDA works 

with the firm as it remediates to maintain the availability of critical medicines. 

To maintain some level of supply during remediation, FDA may recommend creating a priority 

list that emphasizes continued manufacture of shortage products; encourage allocation programs 

to hold back supply of shortage products; or recommend third-party quality review for release of 

manufactured batches. FDA may also work with the manufacturer to assist it in providing drop 

shipments31 of available supply to hospitals to speed the delivery of the drug to patients. If new 

raw materials are needed, FDA can facilitate the qualification of new or additional sources of 

raw materials. 

4. Other Governmental Agencies 

FDA recognizes the important roles that other U.S. governmental agencies play in shortage 

mitigation efforts. For example, FDA worked closely with NIH to address a shortage of 

doxorubicin, a drug needed for clinical cancer trials. In another recent case, FDA alerted CDC 

as soon as we were informed of the potential shortage of rifampin injection, a drug used in the 

treatment of seriously ill patients with tuberculosis who require intravenous treatment. In 

addition, under the President’s Executive Order 13588 (October 2011), FDA has been sending 

information to the Department of Justice that could be indicative of stockpiling or exorbitant 

pricing. 

One particularly important interaction related to shortages is between FDA and DEA. Among 

other things with input from FDA, DEA is responsible for setting aggregate limits on the amount 

of each basic class of controlled substance that may be manufactured. DEA is also responsible 

for approving requests by manufacturers for a specific amount of the aggregate limit (a quota). 

This tight control over the manufacturing of controlled substances requires FDA and DEA to 

31 A drop shipment is a shipment directly from a manufacturer to the end purchaser or user (e.g., hospital or 

pharmacist) that bypasses the intermediate distributor from whom the end purchaser originally bought the product. 
39 

 

coordinate when there is a shortage of a controlled substance. Recognizing this need, FDASIA 

includes new provisions requiring improved coordination and communication between FDA and 

DEA when there is a shortage of a controlled substance. 

5. International Authorities 

FDA interactions with international authorities have been critical to successfully mitigating drug 

shortages. One important area of interaction has been around the importation of drugs from 

other countries to address shortages in the United States.32 Numerous comments to the Federal 

Register notice asked FDA to expand the use of temporary importation of unapproved drugs to 

address shortages. FDA has used this tool to address shortages a number of times in recent 

years. For example, in 2012, FDA worked to facilitate the importation of propofol injection, 

which was in critical shortage when two firms discontinued the drug because of quality 

problems, including contamination with particulates and endotoxin. 

Working through FDA’s Office of International Programs, FDA has established ties with many 

regulatory agencies in other countries and maintains ongoing dialogues with those agencies 

through existing confidentiality agreements. FDA has worked with these agencies on a variety 

of issues related to importation, for example, requesting recent documents from foreign 

regulatory authorities who have audited manufacturing sites and tested products. An example of 

the value of this international cooperation is the recent importation of sodium bicarbonate 

injection, a critical drug for use in the intensive care unit that was in shortage. With cooperation 

of the Australian authorities, this critical drug was temporarily imported by a firm willing and 

able to supply their Australian product to the United States to address the U.S. shortage. 

Not all drugs that are manufactured by foreign firms are appropriate for importation, and setting 

up a process to explore the possibility of importation required the cooperation of many 

stakeholders. When a foreign-registered drug manufacturer has been willing to supply a drug in 

shortage, FDA has worked closely with the company and assembled an internal cross-functional 

team to evaluate the drug and the facility in which it is made. Where the requested information 

has been found acceptable, considering risks associated with the drug and the risk to patients if it 

is not available, FDA has exercised enforcement discretion for temporary importation to provide 

treatment options for patients in critical need during the shortage.33 

In addition to contacting foreign authorities for assistance with importation to address a specific 

shortage, FDA has begun discussing shortages more broadly with regulatory agencies in other 

regions. For example, to harmonize the international approach to shortage communications, 

32 FDA is aware of the recent decision in Cook v. FDA (D.C. Circuit, Case No. 12-5176). We are currently 

reviewing the decision in the context of our drug shortages program. 

33 See also FDA’s Regulatory Procedures Manual Chapter 9, Section 2 available at 

http://www.fda.gov/downloads/ICECI/ComplianceManuals/RegulatoryProceduresManual/UCM074300.pdf; and 

CPG Sec. 440.100 Marketed New Drugs Without Approved NDAs and ANDAs available at 

http://www.fda.gov/ICECI/ComplianceManuals/CompliancePolicyGuidanceManual/ucm074382.htm 
40 

FDA meets regularly with the European Medicines Agency (EMA) to discuss various drug 

shortage issues. FDA has also spoken with the Canadian health authority about its approach to 

shortages, particularly those shortages that may cross U.S./Canadian borders and affect both 

countries.