80_FR_63874 80 FR 63671 - Medical Devices; Cardiovascular Devices; Classification of the Coronary Vascular Physiologic Simulation Software Device

80 FR 63671 - Medical Devices; Cardiovascular Devices; Classification of the Coronary Vascular Physiologic Simulation Software Device

DEPARTMENT OF HEALTH AND HUMAN SERVICES
Food and Drug Administration

Federal Register Volume 80, Issue 203 (October 21, 2015)

Page Range63671-63674
FR Document2015-26658

The Food and Drug Administration (FDA) is classifying the coronary vascular physiologic simulation software device into class II (special controls). The special controls that will apply to the device are identified in this order and will be part of the codified language for the coronary vascular physiologic simulation software device's classification. The Agency is classifying the device into class II (special controls) in order to provide a reasonable assurance of safety and effectiveness of the device.

Federal Register, Volume 80 Issue 203 (Wednesday, October 21, 2015)
[Federal Register Volume 80, Number 203 (Wednesday, October 21, 2015)]
[Rules and Regulations]
[Pages 63671-63674]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-26658]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

21 CFR Part 870

[Docket No. FDA-2015-N-3387]


Medical Devices; Cardiovascular Devices; Classification of the 
Coronary Vascular Physiologic Simulation Software Device

AGENCY: Food and Drug Administration, HHS.

ACTION: Final order.

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

SUMMARY: The Food and Drug Administration (FDA) is classifying the 
coronary vascular physiologic simulation software device into class II 
(special controls). The special controls that will apply to the device 
are identified in this order and will be part of the codified language 
for the coronary vascular physiologic simulation software device's 
classification. The Agency is classifying the device into class II 
(special controls) in order to provide a reasonable assurance of safety 
and effectiveness of the device.

DATES: This order is effective October 21, 2015. The classification was 
applicable on November 26, 2014.

FOR FURTHER INFORMATION CONTACT: Shawn Forrest, Center for Devices and 
Radiological Health, Food and Drug Administration, 10903 New Hampshire 
Ave., Bldg. 66, Rm. 1326, Silver Spring, MD 20993-0002, 301-796-5554.

SUPPLEMENTARY INFORMATION:

I. Background

    In accordance with section 513(f)(1) of the Federal Food, Drug, and 
Cosmetic Act (the FD&C Act) (21 U.S.C. 360c(f)(1)), devices that were 
not in commercial distribution before May 28, 1976 (the date of 
enactment of the Medical Device Amendments of 1976), generally referred 
to as postamendments devices, are classified automatically by statute 
into class III without any FDA rulemaking process. These devices remain 
in class III and require premarket approval, unless and until the 
device is classified or reclassified into class I or II, or FDA issues 
an order finding the device to be substantially equivalent, in 
accordance with section 513(i) of the FD&C Act, to a predicate device 
that does not require premarket approval. The Agency determines whether 
new devices are substantially equivalent to predicate devices by means 
of premarket notification procedures in section 510(k) of the FD&C Act 
(21 U.S.C. 360(k)) and part 807 (21 CFR part 807) of the regulations.
    Section 513(f)(2) of the FD&C Act, as amended by section 607 of the 
Food and Drug Administration Safety and Innovation Act (Pub. L. 112-
144), provides two procedures by which a person may request FDA to 
classify a device under the criteria set forth in section 513(a)(1). 
Under the first procedure, the person submits a premarket notification 
under section 510(k) of the FD&C Act for a device that has not 
previously been classified and, within 30 days of receiving an order 
classifying the device into class III under section 513(f)(1) of the 
FD&C Act, the person requests a classification under section 513(f)(2). 
Under the second procedure, rather than first submitting a premarket 
notification under section 510(k) of the FD&C Act and then a request 
for classification under the first procedure, the person determines 
that there is no legally marketed device upon which to base a 
determination of substantial equivalence and requests a classification 
under section 513(f)(2) of the FD&C Act. If the person submits a 
request to classify the device under this second procedure, FDA may 
decline to undertake the classification request if FDA identifies a 
legally marketed device that could provide a reasonable basis for 
review of substantial equivalence with the device or if FDA determines 
that the device submitted is not of ``low-moderate risk'' or that 
general controls would be inadequate to control the risks and special 
controls to mitigate the risks cannot be developed.
    In response to a request to classify a device under either 
procedure provided by section 513(f)(2) of the FD&C Act, FDA will 
classify the device by written order within 120 days. This 
classification will be the initial classification of the device.
    On November 6, 2013, HeartFlow, Inc. submitted a request for 
classification of the FFRCT v.1.4 under section 513(f)(2) of 
the FD&C Act. The manufacturer recommended that the device be 
classified into class II (Ref. 1).
    In accordance with section 513(f)(2) of the FD&C Act, FDA reviewed 
the request in order to classify the device under the criteria for 
classification set forth in section 513(a)(1). FDA classifies devices 
into class II if general controls by themselves are insufficient to 
provide reasonable assurance of safety and effectiveness, but there is 
sufficient information to establish special controls to provide 
reasonable assurance of the safety and effectiveness of the device for 
its intended use. After review of the information submitted in the 
request, FDA determined that the device can be classified into class II 
with the

[[Page 63672]]

establishment of special controls. FDA believes these special controls, 
in addition to general controls, will provide reasonable assurance of 
the safety and effectiveness of the device.
    Therefore, on November 26, 2014, FDA issued an order to the 
requestor classifying the device into class II. FDA is codifying the 
classification of the device by adding 21 CFR 870.1415.
    Following the effective date of this final classification order, 
any firm submitting a premarket notification (510(k)) for a coronary 
vascular physiologic simulation software device will need to comply 
with the special controls named in this final order.
    The device is assigned the generic name coronary vascular 
physiologic simulation software device, and it is identified as a 
prescription device that provides simulated functional assessment of 
blood flow in the coronary vascular system using data extracted from 
medical device imaging to solve algorithms and yield simulated metrics 
of physiologic information (e.g., blood flow, coronary flow reserve, 
fractional flow reserve, myocardial perfusion). A coronary vascular 
physiologic simulation software device is intended to generate results 
for use and review by a qualified clinician.
    FDA has identified the following risks to health associated with 
this type of device, as well as the mitigation measures required to 
mitigate these risks, in table 1.

 Table 1--Coronary Vascular Physiologic Simulation Software Device Risks
                         and Mitigation Measures
------------------------------------------------------------------------
              Identified risk                    Mitigation measure
------------------------------------------------------------------------
False negative results improperly           Software verification,
 indicating diseased vessel as low           validation, and hazard
 probability for significant disease leads   analysis.
 to delay of further evaluation/treatment.  Non-clinical performance
                                             testing.
False positive results improperly           Clinical testing.
 indicating diseased vessel as high
 probability for significant disease leads
 to incorrect patient management.
Delayed delivery of results leading to      Consistency (repeatability/
 delay of further evaluation/treatment.      reproducibility)
                                             evaluation.
                                            Labeling.
Failure to properly interpret device        Human factors testing.
 results leads to incorrect patient         Labeling.
 management.
------------------------------------------------------------------------

    FDA believes that the following special controls, in combination 
with the general controls, address these risks to health and provide 
reasonable assurance of safety and effectiveness:
     Adequate software verification and validation based on 
comprehensive hazard analysis with identification of appropriate 
mitigations, must be performed including:
    [cir] Full characterization of the technical parameters of the 
software, including any proprietary algorithm(s) used to model the 
vascular anatomy;
    [ssquf] Adequate description of the expected impact of all 
applicable image acquisition hardware features and characteristics on 
performance and any associated minimum specifications;
    [cir] Adequate consideration of privacy and security issues in the 
system design; and
    [ssquf] Adequate mitigation of the impact of failure of any 
subsystem components (e.g., signal detection and analysis, data 
storage, system communications and cybersecurity) with respect to 
incorrect patient reports and operator failures.
     Adequate non-clinical performance testing must be provided 
to demonstrate the validity of computational modeling methods for flow 
measurement.
     Clinical data supporting the proposed intended use must be 
provided, including the following:
    [cir] Output measure(s) must be compared to a clinically acceptable 
method and must adequately represent the simulated measure(s) the 
device provides in an accurate and reproducible manner;
    [cir] Clinical utility of the device measurement accuracy must be 
demonstrated by comparison to that of other available diagnostic tests 
(e.g., from literature analysis);
    [cir] Statistical performance of the device within clinical risk 
strata (e.g., age, relevant comorbidities, disease stability) must be 
reported;
    [cir] The dataset must be adequately representative of the intended 
use population for the device (e.g., patients, range of vessel sizes, 
imaging device models). Any selection criteria or limitations of the 
samples must be fully described and justified;
    [cir] Statistical methods must consider the predefined endpoints;
    [ssquf] Estimates of probabilities of incorrect results must be 
provided for each endpoint;
    [ssquf] Where multiple samples from the same patient are used, 
statistical analysis must not assume statistical independence without 
adequate justification;
    [ssquf] The report must provide appropriate confidence intervals 
for each performance metric;
    [cir] Sensitivity and specificity must be characterized across the 
range of available measurements;
    [cir] Agreement of the simulated measure(s) with clinically 
acceptable measure(s) must be assessed across the full range of 
measurements;
    [cir] Comparison of the measurement performance must be provided 
across the range of intended image acquisition hardware; and
    [cir] If the device uses a cutoff threshold or operates across a 
spectrum of disease, it must be established prior to validation and it 
must be justified as to how it was determined and clinically validated.
     Adequate validation must be performed and controls 
implemented to characterize and ensure consistency (i.e., repeatability 
and reproducibility) of measurement outputs;
    [cir] Acceptable incoming image quality control measures and the 
resulting image rejection rate for the clinical data must be specified;
    [cir] Data must be provided within the clinical validation study or 
using equivalent datasets demonstrating the consistency (i.e., 
repeatability and reproducibility) of the output that is representative 
of the range of data quality likely to be encountered in the intended 
use population and relevant use conditions in the intended use 
environment;
    [ssquf] Testing must be performed using multiple operators meeting 
planned qualification criteria and using the procedure that will be 
implemented in the production use of the device; and
    [ssquf] The factors (e.g., medical imaging data set, operator) must 
be identified regarding which were held constant and which were varied 
during the evaluation, and a description must be provided for the 
computations and statistical analyses used to evaluate the data.
     Human factors evaluation and validation must be provided 
to demonstrate adequate performance of the user interface to allow for 
users to accurately measure intended parameters, particularly where 
parameter settings that have impact on

[[Page 63673]]

measurements require significant user intervention.
     Device labeling must be provided that adequately describes 
the following:
    [cir] The device's intended use, including the type of imaging data 
used, what the device measures and outputs to the user, whether the 
measure is qualitative or quantitative, the clinical indications for 
which it is to be used, and the specific population for which the 
device use is intended;
    [cir] Appropriate warnings specifying the intended patient 
population, identifying anatomy and image acquisition factors that may 
impact measurement results, and providing cautionary guidance for 
interpretation of the provided measurements;
    [cir] Key assumptions made in the calculation and determination of 
simulated measurements;
    [cir] The measurement performance of the device for all presented 
parameters, with appropriate confidence intervals, and the supporting 
evidence for this performance. Per-vessel clinical performance, 
including where applicable localized performance according to vessel 
and segment, must be included as well as a characterization of the 
measurement error across the expected range of measurement for key 
parameters based on the clinical data;
    [cir] A detailed description of the patients studied in the 
clinical validation (e.g., age, gender, race or ethnicity, clinical 
stability, current treatment regimen) as well as procedural details of 
the clinical study (e.g., scanner representation, calcium scores, use 
of beta-blockers or nitrates); and
    [cir] Where significant human interface is necessary for accurate 
analysis, adequately detailed description of the analysis procedure 
using the device and any data features that could affect accuracy of 
results.
    A coronary vascular physiologic simulation software device is not 
safe for use except under the supervision of a practitioner licensed by 
law to direct the use of the device. As such, the device is a 
prescription device and must satisfy prescription labeling requirements 
(see 21 CFR 801.109, Prescription devices).
    Section 510(m) of the FD&C Act provides that FDA may exempt a class 
II device from the premarket notification requirements under section 
510(k) of the FD&C Act if FDA determines that premarket notification is 
not necessary to provide reasonable assurance of the safety and 
effectiveness of the device. For this type of device, FDA has 
determined that premarket notification is necessary to provide 
reasonable assurance of the safety and effectiveness of the device. 
Therefore, this device type is not exempt from premarket notification 
requirements. Persons who intend to market this type of device must 
submit to FDA a premarket notification, prior to marketing the device, 
which contains information about the coronary vascular physiologic 
simulation software device they intend to market.

II. Environmental Impact, No Significant Impact

    The Agency has determined under 21 CFR 25.34(b) that this action is 
of a type that does not individually or cumulatively have a significant 
effect on the human environment. Therefore, neither an environmental 
assessment nor an environmental impact statement is required.

III. Paperwork Reduction Act of 1995

    This final order establishes special controls that refer to 
previously approved collections of information found in other FDA 
regulations. These collections of information are subject to review by 
the Office of Management and Budget (OMB) under the Paperwork Reduction 
Act of 1995 (44 U.S.C. 3501-3520). The collections of information in 
part 807, subpart E, regarding premarket notification submissions have 
been approved under OMB control number 0910-0120, and the collections 
of information in 21 CFR part 801, regarding labeling have been 
approved under OMB control number 0910-0485.

IV. Reference

    The following reference has been placed on display in the Division 
of Dockets Management (HFA-305), Food and Drug Administration, 5630 
Fishers Lane, Rm. 1061, Rockville, MD 20852, and may be seen by 
interested persons between 9 a.m. and 4 p.m., Monday through Friday, 
and is available electronically at http://www.regulations.gov.

1. DEN130045: De Novo Request from HeartFlow, Inc., dated November 
1, 2013.

List of Subjects in 21 CFR Part 870

    Medical devices.

    Therefore, under the Federal Food, Drug, and Cosmetic Act and under 
authority delegated to the Commissioner of Food and Drugs, 21 CFR part 
870 is amended as follows:

PART 870--CARDIOVASCULAR DEVICES

0
1. The authority citation for 21 CFR part 870 continues to read as 
follows:

    Authority:  21 U.S.C. 351, 360, 360c, 360e, 360j, 371.


0
2. Add Sec.  870.1415 to subpart B to read as follows:


Sec.  870.1415  Coronary vascular physiologic simulation software 
device.

    (a) Identification. A coronary vascular physiologic simulation 
software device is a prescription device that provides simulated 
functional assessment of blood flow in the coronary vascular system 
using data extracted from medical device imaging to solve algorithms 
and yield simulated metrics of physiologic information (e.g., blood 
flow, coronary flow reserve, fractional flow reserve, myocardial 
perfusion). A coronary vascular physiologic simulation software device 
is intended to generate results for use and review by a qualified 
clinician.
    (b) Classification. Class II (special controls). The special 
controls for this device are:
    (1) Adequate software verification and validation based on 
comprehensive hazard analysis, with identification of appropriate 
mitigations, must be performed, including:
    (i) Full characterization of the technical parameters of the 
software, including:
    (A) Any proprietary algorithm(s) used to model the vascular 
anatomy; and
    (B) Adequate description of the expected impact of all applicable 
image acquisition hardware features and characteristics on performance 
and any associated minimum specifications;
    (ii) Adequate consideration of privacy and security issues in the 
system design; and
    (iii) Adequate mitigation of the impact of failure of any subsystem 
components (e.g., signal detection and analysis, data storage, system 
communications and cybersecurity) with respect to incorrect patient 
reports and operator failures.
    (2) Adequate non-clinical performance testing must be provided to 
demonstrate the validity of computational modeling methods for flow 
measurement; and
    (3) Clinical data supporting the proposed intended use must be 
provided, including the following:
    (i) Output measure(s) must be compared to a clinically acceptable 
method and must adequately represent the simulated measure(s) the 
device provides in an accurate and reproducible manner;
    (ii) Clinical utility of the device measurement accuracy must be 
demonstrated by comparison to that of other available diagnostic tests 
(e.g., from literature analysis);

[[Page 63674]]

    (iii) Statistical performance of the device within clinical risk 
strata (e.g., age, relevant comorbidities, disease stability) must be 
reported;
    (iv) The dataset must be adequately representative of the intended 
use population for the device (e.g., patients, range of vessel sizes, 
imaging device models). Any selection criteria or limitations of the 
samples must be fully described and justified;
    (v) Statistical methods must consider the predefined endpoints:
    (A) Estimates of probabilities of incorrect results must be 
provided for each endpoint,
    (B) Where multiple samples from the same patient are used, 
statistical analysis must not assume statistical independence without 
adequate justification, and
    (C) The report must provide appropriate confidence intervals for 
each performance metric;
    (vi) Sensitivity and specificity must be characterized across the 
range of available measurements;
    (vii) Agreement of the simulated measure(s) with clinically 
acceptable measure(s) must be assessed across the full range of 
measurements;
    (viii) Comparison of the measurement performance must be provided 
across the range of intended image acquisition hardware; and
    (ix) If the device uses a cutoff threshold or operates across a 
spectrum of disease, it must be established prior to validation, and it 
must be justified as to how it was determined and clinically validated;
    (4) Adequate validation must be performed and controls implemented 
to characterize and ensure consistency (i.e., repeatability and 
reproducibility) of measurement outputs:
    (i) Acceptable incoming image quality control measures and the 
resulting image rejection rate for the clinical data must be specified, 
and
    (ii) Data must be provided within the clinical validation study or 
using equivalent datasets demonstrating the consistency (i.e., 
repeatability and reproducibility) of the output that is representative 
of the range of data quality likely to be encountered in the intended 
use population and relevant use conditions in the intended use 
environment;
    (A) Testing must be performed using multiple operators meeting 
planned qualification criteria and using the procedure that will be 
implemented in the production use of the device, and
    (B) The factors (e.g., medical imaging dataset, operator) must be 
identified regarding which were held constant and which were varied 
during the evaluation, and a description must be provided for the 
computations and statistical analyses used to evaluate the data;
    (5) Human factors evaluation and validation must be provided to 
demonstrate adequate performance of the user interface to allow for 
users to accurately measure intended parameters, particularly where 
parameter settings that have impact on measurements require significant 
user intervention; and
    (6) Device labeling must be provided that adequately describes the 
following:
    (i) The device's intended use, including the type of imaging data 
used, what the device measures and outputs to the user, whether the 
measure is qualitative or quantitative, the clinical indications for 
which it is to be used, and the specific population for which the 
device use is intended;
    (ii) Appropriate warnings specifying the intended patient 
population, identifying anatomy and image acquisition factors that may 
impact measurement results, and providing cautionary guidance for 
interpretation of the provided measurements;
    (iii) Key assumptions made in the calculation and determination of 
simulated measurements;
    (iv) The measurement performance of the device for all presented 
parameters, with appropriate confidence intervals, and the supporting 
evidence for this performance. Per-vessel clinical performance, 
including where applicable localized performance according to vessel 
and segment, must be included as well as a characterization of the 
measurement error across the expected range of measurement for key 
parameters based on the clinical data;
    (v) A detailed description of the patients studied in the clinical 
validation (e.g., age, gender, race or ethnicity, clinical stability, 
current treatment regimen) as well as procedural details of the 
clinical study (e.g., scanner representation, calcium scores, use of 
beta-blockers or nitrates); and
    (vi) Where significant human interface is necessary for accurate 
analysis, adequately detailed description of the analysis procedure 
using the device and any data features that could affect accuracy of 
results.

    Dated: October 14, 2015.
Leslie Kux,
Associate Commissioner for Policy.
[FR Doc. 2015-26658 Filed 10-20-15; 8:45 am]
 BILLING CODE 4164-01-P



                                                                Federal Register / Vol. 80, No. 203 / Wednesday, October 21, 2015 / Rules and Regulations                                        63671

                                            E. Effective Date and Congressional                          DEPARTMENT OF HEALTH AND                                 Section 513(f)(2) of the FD&C Act, as
                                            Notification                                                 HUMAN SERVICES                                        amended by section 607 of the Food and
                                                                                                                                                               Drug Administration Safety and
                                            31. This regulation is effective                             Food and Drug Administration                          Innovation Act (Pub. L. 112–144),
                                            December 21, 2015. The Commission                                                                                  provides two procedures by which a
                                            has determined, with concurrence of the                      21 CFR Part 870                                       person may request FDA to classify a
                                            Administrator of the Office of                                                                                     device under the criteria set forth in
                                                                                                         [Docket No. FDA–2015–N–3387]
                                            Information and Regulatory Affairs of                                                                              section 513(a)(1). Under the first
                                            OMB, that this rule is not a ‘‘major rule’’                  Medical Devices; Cardiovascular                       procedure, the person submits a
                                            as defined in section 251 of the Small                       Devices; Classification of the Coronary               premarket notification under section
                                            Business Regulatory Enforcement                              Vascular Physiologic Simulation                       510(k) of the FD&C Act for a device that
                                            Fairness Act of 1996.41 This rule is                         Software Device                                       has not previously been classified and,
                                            being submitted to the Senate, House,                                                                              within 30 days of receiving an order
                                            and Government Accountability Office.                        AGENCY:    Food and Drug Administration,              classifying the device into class III
                                                                                                         HHS.                                                  under section 513(f)(1) of the FD&C Act,
                                            List of Subjects in 18 CFR Part 11                           ACTION:   Final order.                                the person requests a classification
                                              Electric power, Reporting and                                                                                    under section 513(f)(2). Under the
                                                                                                         SUMMARY:    The Food and Drug
                                            recordkeeping requirements.                                                                                        second procedure, rather than first
                                                                                                         Administration (FDA) is classifying the
                                                                                                                                                               submitting a premarket notification
                                              By the Commission.                                         coronary vascular physiologic
                                                                                                                                                               under section 510(k) of the FD&C Act
                                                                                                         simulation software device into class II
                                              Issued: October 15, 2015.                                                                                        and then a request for classification
                                                                                                         (special controls). The special controls
                                            Kimberly D. Bose,                                                                                                  under the first procedure, the person
                                                                                                         that will apply to the device are
                                                                                                                                                               determines that there is no legally
                                            Secretary.                                                   identified in this order and will be part
                                                                                                                                                               marketed device upon which to base a
                                               In consideration of the foregoing, the                    of the codified language for the coronary
                                                                                                                                                               determination of substantial
                                            Commission amends part 11, chapter I,                        vascular physiologic simulation
                                                                                                                                                               equivalence and requests a classification
                                            title 18, Code of Federal Regulations, as                    software device’s classification. The
                                                                                                                                                               under section 513(f)(2) of the FD&C Act.
                                                                                                         Agency is classifying the device into
                                            follows:                                                                                                           If the person submits a request to
                                                                                                         class II (special controls) in order to
                                                                                                                                                               classify the device under this second
                                            PART 11—ANNUAL CHARGES UNDER                                 provide a reasonable assurance of safety
                                                                                                                                                               procedure, FDA may decline to
                                            PART I OF THE FEDERAL POWER ACT                              and effectiveness of the device.
                                                                                                                                                               undertake the classification request if
                                                                                                         DATES: This order is effective October
                                                                                                                                                               FDA identifies a legally marketed device
                                            ■ 1. The authority citation for part 11                      21, 2015. The classification was                      that could provide a reasonable basis for
                                            continues to read as follows:                                applicable on November 26, 2014.                      review of substantial equivalence with
                                                                                                         FOR FURTHER INFORMATION CONTACT:                      the device or if FDA determines that the
                                              Authority: 16 U.S.C. 792–828c; 42 U.S.C.                   Shawn Forrest, Center for Devices and
                                            7101–7352.
                                                                                                                                                               device submitted is not of ‘‘low-
                                                                                                         Radiological Health, Food and Drug                    moderate risk’’ or that general controls
                                            ■ 2. Revise § 11.1(c)(5) to read as                          Administration, 10903 New Hampshire                   would be inadequate to control the risks
                                            follows:                                                     Ave., Bldg. 66, Rm. 1326, Silver Spring,              and special controls to mitigate the risks
                                                                                                         MD 20993–0002, 301–796–5554.                          cannot be developed.
                                            § 11.1       Costs of administration.                        SUPPLEMENTARY INFORMATION:                               In response to a request to classify a
                                            *      *    *     *    *                                     I. Background                                         device under either procedure provided
                                                                                                                                                               by section 513(f)(2) of the FD&C Act,
                                               (c) * * *                                                    In accordance with section 513(f)(1) of            FDA will classify the device by written
                                               (5) For unconstructed projects, the                       the Federal Food, Drug, and Cosmetic                  order within 120 days. This
                                            assessments begin on the date by which                       Act (the FD&C Act) (21 U.S.C.                         classification will be the initial
                                            the licensee or exemptee is required to                      360c(f)(1)), devices that were not in                 classification of the device.
                                            commence project construction, or as                         commercial distribution before May 28,                   On November 6, 2013, HeartFlow, Inc.
                                            that deadline may be extended, but in                        1976 (the date of enactment of the                    submitted a request for classification of
                                            no case longer than four years after the                     Medical Device Amendments of 1976),                   the FFRCT v.1.4 under section 513(f)(2)
                                            issuance date of the license or                              generally referred to as postamendments               of the FD&C Act. The manufacturer
                                            exemption. For constructed projects, the                     devices, are classified automatically by              recommended that the device be
                                            assessments begin on the effective date                      statute into class III without any FDA                classified into class II (Ref. 1).
                                            of the license or exemption, except for                      rulemaking process. These devices                        In accordance with section 513(f)(2) of
                                            any new capacity authorized therein.                         remain in class III and require                       the FD&C Act, FDA reviewed the
                                            The assessments for new authorized                           premarket approval, unless and until                  request in order to classify the device
                                            capacity at licensed or exempted                             the device is classified or reclassified              under the criteria for classification set
                                                                                                         into class I or II, or FDA issues an order            forth in section 513(a)(1). FDA classifies
                                            projects begin on the date by which the
                                                                                                         finding the device to be substantially                devices into class II if general controls
                                            licensee or exemptee is required to
                                                                                                         equivalent, in accordance with section                by themselves are insufficient to
                                            commence construction of the new
                                                                                                         513(i) of the FD&C Act, to a predicate                provide reasonable assurance of safety
                                            capacity. In the event that assessments
                                                                                                         device that does not require premarket                and effectiveness, but there is sufficient
                                            begin during a fiscal year, the charges
                                                                                                         approval. The Agency determines                       information to establish special controls
tkelley on DSK3SPTVN1PROD with RULES




                                            will be prorated.
                                                                                                         whether new devices are substantially                 to provide reasonable assurance of the
                                            *      *    *     *    *                                     equivalent to predicate devices by                    safety and effectiveness of the device for
                                            [FR Doc. 2015–26726 Filed 10–20–15; 8:45 am]                 means of premarket notification                       its intended use. After review of the
                                            BILLING CODE 6717–01–P                                       procedures in section 510(k) of the                   information submitted in the request,
                                                                                                         FD&C Act (21 U.S.C. 360(k)) and part                  FDA determined that the device can be
                                                41 5   U.S.C. 804(2) (2012).                             807 (21 CFR part 807) of the regulations.             classified into class II with the


                                       VerDate Sep<11>2014        16:24 Oct 20, 2015   Jkt 238001   PO 00000   Frm 00005   Fmt 4700   Sfmt 4700   E:\FR\FM\21OCR1.SGM   21OCR1


                                            63672            Federal Register / Vol. 80, No. 203 / Wednesday, October 21, 2015 / Rules and Regulations

                                            establishment of special controls. FDA                           TABLE 1—CORONARY VASCULAR     Æ Statistical methods must consider
                                            believes these special controls, in                            PHYSIOLOGIC SIMULATION SOFT- the predefined endpoints;
                                            addition to general controls, will                             WARE DEVICE RISKS AND MITIGA-   D Estimates of probabilities of
                                            provide reasonable assurance of the                            TION MEASURES—Continued       incorrect results must be provided for
                                            safety and effectiveness of the device.                                                                         each endpoint;
                                               Therefore, on November 26, 2014,                             Identified risk         Mitigation measure         D Where multiple samples from the
                                            FDA issued an order to the requestor                                                                            same patient are used, statistical
                                            classifying the device into class II. FDA                Failure to properly in-       Human factors test-      analysis must not assume statistical
                                                                                                       terpret device re-            ing.                   independence without adequate
                                            is codifying the classification of the
                                                                                                       sults leads to incor-       Labeling.                justification;
                                            device by adding 21 CFR 870.1415.                          rect patient man-                                       D The report must provide
                                               Following the effective date of this                    agement.
                                                                                                                                                            appropriate confidence intervals for
                                            final classification order, any firm                                                                            each performance metric;
                                            submitting a premarket notification                 FDA believes that the following
                                                                                             special controls, in combination with                             Æ Sensitivity and specificity must be
                                            (510(k)) for a coronary vascular                                                                                characterized across the range of
                                            physiologic simulation software device           the general controls, address these risks
                                                                                             to health and provide reasonable                               available measurements;
                                            will need to comply with the special
                                                                                             assurance of safety and effectiveness:                            Æ Agreement of the simulated
                                            controls named in this final order.
                                                                                                • Adequate software verification and                        measure(s) with clinically acceptable
                                               The device is assigned the generic            validation based on comprehensive                              measure(s) must be assessed across the
                                            name coronary vascular physiologic               hazard analysis with identification of                         full range of measurements;
                                            simulation software device, and it is            appropriate mitigations, must be                                  Æ Comparison of the measurement
                                            identified as a prescription device that         performed including:                                           performance must be provided across
                                            provides simulated functional                       Æ Full characterization of the                              the range of intended image acquisition
                                            assessment of blood flow in the                  technical parameters of the software,                          hardware; and
                                            coronary vascular system using data              including any proprietary algorithm(s)                            Æ If the device uses a cutoff threshold
                                            extracted from medical device imaging            used to model the vascular anatomy;                            or operates across a spectrum of disease,
                                            to solve algorithms and yield simulated             D Adequate description of the                               it must be established prior to validation
                                            metrics of physiologic information (e.g.,        expected impact of all applicable image                        and it must be justified as to how it was
                                            blood flow, coronary flow reserve,               acquisition hardware features and                              determined and clinically validated.
                                            fractional flow reserve, myocardial              characteristics on performance and any                            • Adequate validation must be
                                            perfusion). A coronary vascular                  associated minimum specifications;                             performed and controls implemented to
                                            physiologic simulation software device              Æ Adequate consideration of privacy                         characterize and ensure consistency
                                            is intended to generate results for use          and security issues in the system design;                      (i.e., repeatability and reproducibility)
                                            and review by a qualified clinician.             and                                                            of measurement outputs;
                                               FDA has identified the following risks           D Adequate mitigation of the impact                            Æ Acceptable incoming image quality
                                            to health associated with this type of           of failure of any subsystem components                         control measures and the resulting
                                            device, as well as the mitigation                (e.g., signal detection and analysis, data                     image rejection rate for the clinical data
                                            measures required to mitigate these              storage, system communications and                             must be specified;
                                            risks, in table 1.                               cybersecurity) with respect to incorrect                          Æ Data must be provided within the
                                                                                             patient reports and operator failures.                         clinical validation study or using
                                                                                                • Adequate non-clinical performance                         equivalent datasets demonstrating the
                                                 TABLE 1—CORONARY VASCULAR                   testing must be provided to demonstrate
                                               PHYSIOLOGIC SIMULATION SOFT- the validity of computational modeling                                          consistency (i.e., repeatability and
                                               WARE DEVICE RISKS AND MITIGA- methods for flow measurement.                                                  reproducibility) of the output that is
                                                                                                                                                            representative of the range of data
                                               TION MEASURES                                    • Clinical data supporting the
                                                                                                                                                            quality likely to be encountered in the
                                                                                             proposed intended use must be
                                                 Identified risk       Mitigation measure                                                                   intended use population and relevant
                                                                                             provided, including the following:
                                                                                                Æ Output measure(s) must be                                 use conditions in the intended use
                                            False negative results Software verification,    compared to a clinically acceptable                            environment;
                                              improperly indi-          validation, and haz- method and must adequately represent                              D Testing must be performed using
                                              cating diseased           ard analysis.
                                                                                             the simulated measure(s) the device                            multiple operators meeting planned
                                              vessel as low prob- Non-clinical perform-                                                                     qualification criteria and using the
                                              ability for significant   ance testing.        provides in an accurate and
                                                                                             reproducible manner;                                           procedure that will be implemented in
                                              disease leads to                                                                                              the production use of the device; and
                                              delay of further                                  Æ Clinical utility of the device
                                              evaluation/treat-                              measurement accuracy must be                                      D The factors (e.g., medical imaging
                                              ment.                                          demonstrated by comparison to that of                          data set, operator) must be identified
                                            False positive results    Clinical testing.      other available diagnostic tests (e.g.,                        regarding which were held constant and
                                              improperly indi-                               from literature analysis);                                     which were varied during the
                                              cating diseased                                   Æ Statistical performance of the                            evaluation, and a description must be
                                              vessel as high                                 device within clinical risk strata (e.g.,                      provided for the computations and
                                              probability for sig-                           age, relevant comorbidities, disease                           statistical analyses used to evaluate the
                                              nificant disease                               stability) must be reported;                                   data.
                                              leads to incorrect                                Æ The dataset must be adequately                               • Human factors evaluation and
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                                              patient manage-
                                              ment.
                                                                                             representative   of the intended use                           validation must be provided to
                                            Delayed delivery of       Consistency (repeat-   population for the device (e.g., patients,                     demonstrate adequate performance of
                                              results leading to        ability/reproduc-    range of vessel sizes, imaging device                          the user interface to allow for users to
                                              delay of further          ibility) evaluation. models). Any selection criteria or                             accurately measure intended
                                              evaluation/treat-       Labeling.              limitations of the samples must be fully                       parameters, particularly where
                                              ment.                                          described and justified;                                       parameter settings that have impact on


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                                                             Federal Register / Vol. 80, No. 203 / Wednesday, October 21, 2015 / Rules and Regulations                                          63673

                                            measurements require significant user                    assurance of the safety and effectiveness               Authority: 21 U.S.C. 351, 360, 360c, 360e,
                                            intervention.                                            of the device. Therefore, this device                 360j, 371.
                                               • Device labeling must be provided                    type is not exempt from premarket                     ■ 2. Add § 870.1415 to subpart B to read
                                            that adequately describes the following:                 notification requirements. Persons who
                                               Æ The device’s intended use,                                                                                as follows:
                                                                                                     intend to market this type of device
                                            including the type of imaging data used,                 must submit to FDA a premarket                        § 870.1415 Coronary vascular physiologic
                                            what the device measures and outputs                     notification, prior to marketing the                  simulation software device.
                                            to the user, whether the measure is                      device, which contains information                       (a) Identification. A coronary vascular
                                            qualitative or quantitative, the clinical                about the coronary vascular physiologic               physiologic simulation software device
                                            indications for which it is to be used,                  simulation software device they intend                is a prescription device that provides
                                            and the specific population for which                    to market.                                            simulated functional assessment of
                                            the device use is intended;                                                                                    blood flow in the coronary vascular
                                               Æ Appropriate warnings specifying                     II. Environmental Impact, No
                                                                                                     Significant Impact                                    system using data extracted from
                                            the intended patient population,                                                                               medical device imaging to solve
                                            identifying anatomy and image                               The Agency has determined under 21                 algorithms and yield simulated metrics
                                            acquisition factors that may impact                      CFR 25.34(b) that this action is of a type            of physiologic information (e.g., blood
                                            measurement results, and providing                       that does not individually or                         flow, coronary flow reserve, fractional
                                            cautionary guidance for interpretation of                cumulatively have a significant effect on             flow reserve, myocardial perfusion). A
                                            the provided measurements;                               the human environment. Therefore,                     coronary vascular physiologic
                                               Æ Key assumptions made in the                         neither an environmental assessment                   simulation software device is intended
                                            calculation and determination of                         nor an environmental impact statement                 to generate results for use and review by
                                            simulated measurements;                                  is required.
                                               Æ The measurement performance of                                                                            a qualified clinician.
                                            the device for all presented parameters,                 III. Paperwork Reduction Act of 1995                     (b) Classification. Class II (special
                                            with appropriate confidence intervals,                                                                         controls). The special controls for this
                                                                                                        This final order establishes special               device are:
                                            and the supporting evidence for this                     controls that refer to previously
                                            performance. Per-vessel clinical                                                                                  (1) Adequate software verification and
                                                                                                     approved collections of information                   validation based on comprehensive
                                            performance, including where                             found in other FDA regulations. These
                                            applicable localized performance                                                                               hazard analysis, with identification of
                                                                                                     collections of information are subject to             appropriate mitigations, must be
                                            according to vessel and segment, must                    review by the Office of Management and
                                            be included as well as a characterization                                                                      performed, including:
                                                                                                     Budget (OMB) under the Paperwork
                                            of the measurement error across the                                                                               (i) Full characterization of the
                                                                                                     Reduction Act of 1995 (44 U.S.C. 3501–
                                            expected range of measurement for key                                                                          technical parameters of the software,
                                                                                                     3520). The collections of information in
                                            parameters based on the clinical data;                                                                         including:
                                                                                                     part 807, subpart E, regarding premarket
                                               Æ A detailed description of the                                                                                (A) Any proprietary algorithm(s) used
                                                                                                     notification submissions have been
                                            patients studied in the clinical                                                                               to model the vascular anatomy; and
                                                                                                     approved under OMB control number
                                            validation (e.g., age, gender, race or                                                                            (B) Adequate description of the
                                                                                                     0910–0120, and the collections of
                                            ethnicity, clinical stability, current                                                                         expected impact of all applicable image
                                                                                                     information in 21 CFR part 801,
                                            treatment regimen) as well as                                                                                  acquisition hardware features and
                                                                                                     regarding labeling have been approved
                                            procedural details of the clinical study                                                                       characteristics on performance and any
                                                                                                     under OMB control number 0910–0485.
                                            (e.g., scanner representation, calcium                                                                         associated minimum specifications;
                                            scores, use of beta-blockers or nitrates);               IV. Reference                                            (ii) Adequate consideration of privacy
                                            and                                                        The following reference has been                    and security issues in the system design;
                                               Æ Where significant human interface                   placed on display in the Division of                  and
                                            is necessary for accurate analysis,                      Dockets Management (HFA–305), Food                       (iii) Adequate mitigation of the impact
                                            adequately detailed description of the                   and Drug Administration, 5630 Fishers                 of failure of any subsystem components
                                            analysis procedure using the device and                  Lane, Rm. 1061, Rockville, MD 20852,                  (e.g., signal detection and analysis, data
                                            any data features that could affect                      and may be seen by interested persons                 storage, system communications and
                                            accuracy of results.                                     between 9 a.m. and 4 p.m., Monday                     cybersecurity) with respect to incorrect
                                               A coronary vascular physiologic                       through Friday, and is available                      patient reports and operator failures.
                                            simulation software device is not safe                   electronically at http://                                (2) Adequate non-clinical
                                            for use except under the supervision of                  www.regulations.gov.                                  performance testing must be provided to
                                            a practitioner licensed by law to direct                                                                       demonstrate the validity of
                                                                                                     1. DEN130045: De Novo Request from                    computational modeling methods for
                                            the use of the device. As such, the
                                                                                                         HeartFlow, Inc., dated November 1,
                                            device is a prescription device and must                                                                       flow measurement; and
                                                                                                         2013.
                                            satisfy prescription labeling                                                                                     (3) Clinical data supporting the
                                            requirements (see 21 CFR 801.109,                        List of Subjects in 21 CFR Part 870                   proposed intended use must be
                                            Prescription devices).                                     Medical devices.                                    provided, including the following:
                                               Section 510(m) of the FD&C Act                                                                                 (i) Output measure(s) must be
                                                                                                       Therefore, under the Federal Food,
                                            provides that FDA may exempt a class                                                                           compared to a clinically acceptable
                                                                                                     Drug, and Cosmetic Act and under
                                            II device from the premarket notification                                                                      method and must adequately represent
                                                                                                     authority delegated to the Commissioner
                                            requirements under section 510(k) of the                                                                       the simulated measure(s) the device
                                                                                                     of Food and Drugs, 21 CFR part 870 is
                                            FD&C Act if FDA determines that                                                                                provides in an accurate and
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                                                                                                     amended as follows:
                                            premarket notification is not necessary                                                                        reproducible manner;
                                            to provide reasonable assurance of the                   PART 870—CARDIOVASCULAR                                  (ii) Clinical utility of the device
                                            safety and effectiveness of the device.                  DEVICES                                               measurement accuracy must be
                                            For this type of device, FDA has                                                                               demonstrated by comparison to that of
                                            determined that premarket notification                   ■ 1. The authority citation for 21 CFR                other available diagnostic tests (e.g.,
                                            is necessary to provide reasonable                       part 870 continues to read as follows:                from literature analysis);


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                                            63674            Federal Register / Vol. 80, No. 203 / Wednesday, October 21, 2015 / Rules and Regulations

                                               (iii) Statistical performance of the                  evaluation, and a description must be                 DEPARTMENT OF HOMELAND
                                            device within clinical risk strata (e.g.,                provided for the computations and                     SECURITY
                                            age, relevant comorbidities, disease                     statistical analyses used to evaluate the
                                            stability) must be reported;                             data;                                                 Coast Guard
                                               (iv) The dataset must be adequately                      (5) Human factors evaluation and
                                            representative of the intended use                       validation must be provided to                        33 CFR Parts 100, 117, 147, and 165
                                            population for the device (e.g., patients,               demonstrate adequate performance of                   [USCG–2015–0242]
                                            range of vessel sizes, imaging device                    the user interface to allow for users to
                                            models). Any selection criteria or                       accurately measure intended                           Quarterly Listings; Safety Zones,
                                            limitations of the samples must be fully                 parameters, particularly where                        Security Zones, Special Local
                                            described and justified;                                 parameter settings that have impact on                Regulations, Drawbridge Operation
                                               (v) Statistical methods must consider                 measurements require significant user                 Regulations and Regulated Navigation
                                            the predefined endpoints:                                intervention; and                                     Areas
                                               (A) Estimates of probabilities of
                                            incorrect results must be provided for                      (6) Device labeling must be provided               AGENCY:  Coast Guard, DHS.
                                            each endpoint,                                           that adequately describes the following:              ACTION:  Notice of expired temporary
                                               (B) Where multiple samples from the                      (i) The device’s intended use,                     rules issued.
                                            same patient are used, statistical                       including the type of imaging data used,
                                            analysis must not assume statistical                     what the device measures and outputs                  SUMMARY:    This document provides
                                            independence without adequate                            to the user, whether the measure is                   notice of substantive rules issued by the
                                            justification, and                                       qualitative or quantitative, the clinical             Coast Guard that were made temporarily
                                               (C) The report must provide                           indications for which it is to be used,               effective between January 2015 and
                                            appropriate confidence intervals for                     and the specific population for which                 March 2015 but expired before they
                                            each performance metric;                                 the device use is intended;                           could be published in the Federal
                                               (vi) Sensitivity and specificity must                                                                       Register. This notice lists temporary
                                            be characterized across the range of                        (ii) Appropriate warnings specifying               safety zones, security zones, special
                                            available measurements;                                  the intended patient population,                      local regulations, drawbridge operation
                                               (vii) Agreement of the simulated                      identifying anatomy and image                         regulations and regulated navigation
                                            measure(s) with clinically acceptable                    acquisition factors that may impact                   areas, all of limited duration and for
                                            measure(s) must be assessed across the                   measurement results, and providing                    which timely publication in the Federal
                                            full range of measurements;                              cautionary guidance for interpretation of             Register was not possible.
                                               (viii) Comparison of the measurement                  the provided measurements;
                                                                                                                                                           DATES: This document lists temporary
                                            performance must be provided across                         (iii) Key assumptions made in the                  Coast Guard rules that became effective
                                            the range of intended image acquisition                  calculation and determination of                      between January 2015 and March 2015
                                            hardware; and                                            simulated measurements;                               and were terminated before they could
                                               (ix) If the device uses a cutoff                         (iv) The measurement performance of                be published in the Federal Register.
                                            threshold or operates across a spectrum                  the device for all presented parameters,              ADDRESSES: Temporary rules listed in
                                            of disease, it must be established prior                 with appropriate confidence intervals,                this document may be viewed online,
                                            to validation, and it must be justified as               and the supporting evidence for this                  under their respective docket numbers,
                                            to how it was determined and clinically                  performance. Per-vessel clinical                      using the Federal eRulemaking Portal at
                                            validated;                                               performance, including where                          http://www.regulations.gov.
                                               (4) Adequate validation must be
                                                                                                     applicable localized performance                      FOR FURTHER INFORMATION CONTACT: For
                                            performed and controls implemented to
                                                                                                     according to vessel and segment, must                 questions on this notice contact Yeoman
                                            characterize and ensure consistency
                                                                                                     be included as well as a characterization             First Class Maria Fiorella Villanueva,
                                            (i.e., repeatability and reproducibility)
                                                                                                     of the measurement error across the                   Office of Regulations and
                                            of measurement outputs:
                                                                                                     expected range of measurement for key                 Administrative Law, telephone (202)
                                               (i) Acceptable incoming image quality
                                                                                                     parameters based on the clinical data;                372–3862.
                                            control measures and the resulting
                                            image rejection rate for the clinical data                  (v) A detailed description of the                  SUPPLEMENTARY INFORMATION: Coast
                                            must be specified, and                                   patients studied in the clinical                      Guard District Commanders and
                                               (ii) Data must be provided within the                 validation (e.g., age, gender, race or                Captains of the Port (COTP) must be
                                            clinical validation study or using                       ethnicity, clinical stability, current                immediately responsive to the safety
                                            equivalent datasets demonstrating the                    treatment regimen) as well as                         and security needs within their
                                            consistency (i.e., repeatability and                     procedural details of the clinical study              jurisdiction; therefore, District
                                            reproducibility) of the output that is                   (e.g., scanner representation, calcium                Commanders and COTPs have been
                                            representative of the range of data                      scores, use of beta-blockers or nitrates);            delegated the authority to issue certain
                                            quality likely to be encountered in the                  and                                                   local regulations. Safety zones may be
                                            intended use population and relevant                        (vi) Where significant human                       established for safety or environmental
                                            use conditions in the intended use                       interface is necessary for accurate                   purposes. A safety zone may be
                                            environment;                                             analysis, adequately detailed                         stationary and described by fixed limits
                                               (A) Testing must be performed using                   description of the analysis procedure                 or it may be described as a zone around
                                            multiple operators meeting planned                       using the device and any data features                a vessel in motion. Security zones limit
                                            qualification criteria and using the                     that could affect accuracy of results.                access to prevent injury or damage to
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                                            procedure that will be implemented in                                                                          vessels, ports, or waterfront facilities.
                                                                                                       Dated: October 14, 2015.                            Special local regulations are issued to
                                            the production use of the device, and
                                               (B) The factors (e.g., medical imaging                Leslie Kux,                                           enhance the safety of participants and
                                            dataset, operator) must be identified                    Associate Commissioner for Policy.                    spectators at regattas and other marine
                                            regarding which were held constant and                   [FR Doc. 2015–26658 Filed 10–20–15; 8:45 am]          events. Drawbridge operation
                                            which were varied during the                             BILLING CODE 4164–01–P                                regulations authorize changes to


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Document Created: 2018-02-27 08:54:03
Document Modified: 2018-02-27 08:54:03
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionRules and Regulations
ActionFinal order.
DatesThis order is effective October 21, 2015. The classification was applicable on November 26, 2014.
ContactShawn Forrest, Center for Devices and Radiological Health, Food and Drug Administration, 10903 New Hampshire Ave., Bldg. 66, Rm. 1326, Silver Spring, MD 20993-0002, 301-796-5554.
FR Citation80 FR 63671 

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