82_FR_50285 82 FR 50077 - Medical Devices; Immunology and Microbiology Devices; Classification of the Newborn Screening Test for Severe Combined Immunodeficiency Disorder

82 FR 50077 - Medical Devices; Immunology and Microbiology Devices; Classification of the Newborn Screening Test for Severe Combined Immunodeficiency Disorder

DEPARTMENT OF HEALTH AND HUMAN SERVICES
Food and Drug Administration

Federal Register Volume 82, Issue 208 (October 30, 2017)

Page Range50077-50080
FR Document2017-23496

The Food and Drug Administration (FDA or we) is classifying the newborn screening test for severe combined immunodeficiency disorder (SCID) into class II (special controls). The special controls that apply to the device type are identified in this order and will be part of the codified language for the newborn screening test for SCID's classification. We are taking this action because we have determined that classifying the device into class II (special controls) will provide a reasonable assurance of safety and effectiveness of the device. We believe this action will also enhance patients' access to beneficial innovative devices, in part by reducing regulatory burdens.

Federal Register, Volume 82 Issue 208 (Monday, October 30, 2017)
[Federal Register Volume 82, Number 208 (Monday, October 30, 2017)]
[Rules and Regulations]
[Pages 50077-50080]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-23496]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

21 CFR Part 866

[Docket No. FDA-2017-N-5924]


Medical Devices; Immunology and Microbiology Devices; 
Classification of the Newborn Screening Test for Severe Combined 
Immunodeficiency Disorder

AGENCY: Food and Drug Administration, HHS.

ACTION: Final order.

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

SUMMARY: The Food and Drug Administration (FDA or we) is classifying 
the newborn screening test for severe combined immunodeficiency 
disorder (SCID) into class II (special controls). The special controls 
that apply to the device type are identified in this order and will be 
part of the codified language for the newborn screening test for SCID's 
classification. We are taking this action because we have determined 
that classifying the device into class II (special controls) will 
provide a reasonable assurance of safety and effectiveness of the 
device. We believe this action will also enhance patients' access to 
beneficial innovative devices, in part by reducing regulatory burdens.

DATES: This order is effective October 30, 2017. The classification was 
applicable on December 15, 2014.

FOR FURTHER INFORMATION CONTACT: Caryl Giuliano, Center for Devices and 
Radiological Health, Food and Drug Administration, 10903 New Hampshire 
Ave., Bldg. 66, Rm. 5664, Silver Spring, MD 20993-0002, 301-796-2478, 
[email protected].

SUPPLEMENTARY INFORMATION: 

I. Background

    Upon request, FDA has classified the newborn screening test for 
SCID as class II (special controls), which we have determined will 
provide a reasonable assurance of safety and effectiveness. In 
addition, we believe this action will enhance patients' access to 
beneficial innovation, in part by reducing regulatory burdens by 
placing the device into a lower device class than the automatic class 
III assignment.
    The automatic assignment of class III occurs by operation of law 
and without any action by FDA, regardless of the level of risk posed by 
the new device. Any device that was not in commercial distribution 
before May 28, 1976, is automatically classified as, and remains 
within, class III and requires premarket approval unless and until FDA 
takes an action to classify or reclassify the device (see 21 U.S.C. 
360c(f)(1)). We refer to these devices as ``postamendments devices'' 
because they were not in commercial distribution prior to the date of 
enactment of the Medical Device Amendments of 1976, which amended the 
Federal Food, Drug, and Cosmetic Act (the FD&C Act).
    FDA may take a variety of actions in appropriate circumstances to 
classify or reclassify a device into class I or II. We may issue an 
order finding a new device to be substantially equivalent under section 
513(i) of the FD&C Act (21 U.S.C. 360c(i)) to a predicate device that 
does not require premarket approval. We determine whether a new device 
is substantially equivalent to a predicate by means of the procedures 
for premarket notification under section 510(k) of the FD&C Act and 
part 807 (21 U.S.C. 360(k) and 21 CFR part 807, respectively).
    FDA may also classify a device through ``De Novo'' classification, 
a common name for the process authorized under section 513(f)(2) of the 
FD&C Act. Section 207 of the Food and Drug Administration Modernization 
Act of 1997 established the first procedure for De Novo classification 
(Pub. L. 105-115). Section 607 of the Food and Drug Administration 
Safety and Innovation Act modified the De Novo application process by 
adding a second procedure (Pub. L. 112-144). A device sponsor may 
utilize either procedure for De Novo classification.

[[Page 50078]]

    Under the first procedure, the person submits a 510(k) for a device 
that has not previously been classified. After receiving an order from 
FDA classifying the device into class III under section 513(f)(1) of 
the FD&C Act, the person then requests a classification under section 
513(f)(2).
    Under the second procedure, rather than first submitting a 510(k) 
and then a request for classification, if the person determines that 
there is no legally marketed device upon which to base a determination 
of substantial equivalence, that person requests a classification under 
section 513(f)(2) of the FD&C Act.
    Under either procedure for De Novo classification, FDA is required 
to classify the device by written order within 120 days. The 
classification will be according to the criteria under section 
513(a)(1) of the FD&C Act. Although the device was automatically placed 
within class III, the De Novo classification is considered to be the 
initial classification of the device.
    We believe this De Novo classification will enhance patients' 
access to beneficial innovation, in part by reducing regulatory 
burdens. When FDA classifies a device into class I or II via the De 
Novo process, the device can serve as a predicate for future devices of 
that type, including for 510(k)s (see 21 U.S.C. 360c(f)(2)(B)(i)). As a 
result, other device sponsors do not have to submit a De Novo request 
or premarket approval application (PMA) in order to market a 
substantially equivalent device (see 21 U.S.C. 360c(i), defining 
``substantial equivalence''). Instead, sponsors can use the less-
burdensome 510(k) process, when necessary, to market their device.

II. De Novo Classification

    On October 14, 2014, Wallac Oy, a subsidiary of PerkinElmer, Inc., 
submitted a request for De Novo classification of the EnLite Neonatal 
TREC Kit. FDA reviewed the request in order to classify the device 
under the criteria for classification set forth in section 513(a)(1) of 
the FD&C Act. We classify 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 that, in combination with the general controls, 
provide reasonable assurance of the safety and effectiveness of the 
device for its intended use (see 21 U.S.C. 360c(a)(1)(B)). After review 
of the information submitted in the request, we determined that the 
device can be classified into class II with the establishment of 
special controls. FDA has determined that these special controls, in 
addition to general controls, will provide reasonable assurance of the 
safety and effectiveness of the device.
    Therefore, on December 15, 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 866.5930. We have named 
the generic type of device newborn screening test for SCID, and it is 
identified as a prescription device intended to measure T-cell receptor 
excision circle (TREC) DNA obtained from dried blood spot specimens on 
filter paper using a polymerase chain reaction based test as an aid in 
screening newborns for SCID. Presumptive positive results must be 
followed up by diagnostic confirmatory testing. This test is not 
intended for use as a diagnostic test, or for screening of SCID-like 
syndromes, such as DiGeorge syndrome or Omenn syndrome. It is also not 
intended to screen for less acute SCID syndromes, such as leaky SCID or 
variant SCID.
    FDA has identified the following risks to health associated 
specifically with this type of device and the measures required to 
mitigate these risks in table 1.

 Table 1--Newborn Screening Test for SCID Risks and Mitigation Measures
------------------------------------------------------------------------
                                            Mitigation measures/21 CFR
            Identified risks                         section
------------------------------------------------------------------------
False negative results due to device or  Special controls (1) and (2)
 user error.                              (21 CFR 866.5930(b)(1) and 21
                                          CFR 866.5930(b)(2)).
False positive results due to device or  Special controls (1) and (2)
 user error.                              (21 CFR 866.5930(b)(1) and 21
                                          CFR 866.5930(b)(2)).
------------------------------------------------------------------------

    FDA has determined that special controls, in combination with the 
general controls, address these risks to health and provide reasonable 
assurance of safety and effectiveness. In order for a device to fall 
within this classification, and thus avoid automatic classification in 
class III, it would have to comply with the special controls named in 
this final order. The necessary special controls appear in the 
regulation codified by this order. This device is subject to premarket 
notification requirements under section 510(k) of the FD&C Act.

III. Analysis of Environmental 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.

IV. 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 
the guidance document ``De Novo Classification Process (Evaluation of 
Automatic Class III Designation)'' have been approved under OMB control 
number 0910-0844; the collections of information in part 814, subparts 
A through E, regarding premarket approval, have been approved under OMB 
control number 0910-0231; 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 parts 801 and 809, regarding labeling, have been 
approved under OMB control number 0910-0485.

List of Subjects in 21 CFR Part 866

    Biologics, Laboratories, 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 
866 is amended as follows:

PART 866--IMMUNOLOGY AND MICROBIOLOGY DEVICES

0
1. The authority citation for part 866 continues to read as follows:

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


[[Page 50079]]



0
2. Add Sec.  866.5930 to subpart F to read as follows:


Sec.  866.5930  Newborn screening test for severe combined 
immunodeficiency disorder (SCID).

    (a) Identification. A newborn screening test for SCID is a 
prescription device intended to measure T-cell receptor excision circle 
(TREC) DNA obtained from dried blood spot specimens on filter paper 
using a polymerase chain reaction based test as an aid in screening 
newborns for SCID. Presumptive positive results must be followed up by 
diagnostic confirmatory testing. This test is not intended for use as a 
diagnostic test, or for screening of SCID-like syndromes, such as 
DiGeorge syndrome or Omenn syndrome. It is also not intended to screen 
for less acute SCID syndromes, such as leaky SCID or variant SCID.
    (b) Classification. Class II (special controls). The special 
controls for this device are:
    (1) Premarket notification submissions must include the following 
information:
    (i) The intended use must indicate:
    (A) The test is not intended for diagnostic use, or for screening 
of SCID-like syndromes, such as DiGeorge syndrome or Omenn syndrome; 
and
    (B) The test is not intended to screen for less acute SCID 
syndromes, such as leaky SCID or variant SCID.
    (ii) A detailed description of all components in the test that 
includes:
    (A) A detailed description of the test components, all required 
reagents, instrumentation and equipment, including illustrations or 
photographs of nonstandard equipment or methods;
    (B) Detailed documentation of the device software including, but 
not limited to, standalone software applications and hardware-based 
devices that incorporate software;
    (C) Specifications for the filter paper, which must be 
appropriately labeled for in vitro diagnostic use, to be used in 
specimen collection and how it will be used in specimen collection 
validation. These specifications must include: descriptive 
characteristics of the filter paper, instructions on how a lab should 
choose the appropriate filter paper, chemical properties of the filter 
paper, interference concerns associated with the chemicals in the 
filter paper, absorption properties of the filter paper, punch size, 
absorption capacity, testing for homogeneity of punches, diameter of 
the circle for the dried blood spot aliquot, absorption time, physical 
composition, and number and size of punches to be tested;
    (D) Methodology and protocols for detection of T-cell receptor 
excision circles and methods for determination of results. The cutoff 
must be selected before conducting clinical and analytical studies;
    (E) A description of the result outputs along with sample reports. 
Sample reports must include the scale used in reporting of results 
(e.g., TREC copies/[mu]L) and the range of values that will be reported 
out; and
    (F) A description of appropriate internal and external controls 
that are recommended or provided. The description must identify those 
control elements that are incorporated into the testing procedure.
    (iii) Information that demonstrates the performance characteristics 
of the test, including:
    (A) Data that demonstrates the clinical validity of the device, 
using well characterized prospectively or retrospectively obtained 
clinical specimens representative of the intended use population. A 
minimum of 10 to 15 confirmed positive specimens must be obtained from 
more than 1 site, including relevant annotation, and, at 1 year or 
beyond, a SCID diagnosis by flow cytometry or clinically meaningful 
information regarding the status of the subject must be obtained. 
Additional specimens should have been obtained that are characterized 
by other disorders that can be found by screening specimens that have 
low or absent TREC (e.g., other T-cell lymphopenic disorders) to 
supplement the range of results. The clinical validation study must 
have a pre-specified clinical decision point (i.e., cutoff to 
distinguish positive and negative results). Results must be summarized 
in tabular format comparing interpretation of results to the reference 
method. Point estimates together with two-sided 95 percent confidence 
intervals must be provided for the positive percent agreement, negative 
percent agreement, and overall percent agreement. Data must include the 
retest rate, the false positive rate before retest, the final false 
positive rate, and the false negative rate;
    (B) Device reproducibility data generated, using a minimum of three 
sites of which at least two must be external sites, with two operators 
at each site. Each site must conduct a minimum of five runs per 
operator over five nonconsecutive days evaluating a minimum of six 
different relevant TREC concentrations that span and are well 
distributed over the measuring range and include the clinical cutoff. 
Specimens must include cord blood and cord blood diluted with ABO 
matched adult blood specimens. Identical specimens from the same sample 
panel must be tested at each site. Each specimen must be run in 
triplicate and include controls run in triplicate. Results must be 
reported as the standard deviation and percentage coefficient of 
variation for each level tested. Results must also be displayed as a 
dichotomous variable around the cutoff. Total variation must be 
partitioned into the sum of within-lab and between-lab variations with 
pre-specified acceptance criteria and 95 percent confidence intervals 
for all data. Pre-specified acceptance criteria must be provided and 
followed;
    (C) Device precision data using clinical samples to evaluate the 
within-lot, between-lot, within-run, between run, and total variation. 
A range of TREC levels of the specimen must include samples within the 
measuring range, samples above and below the measuring range, as well 
as with samples very near above and below the cutoff value. At least 
three replicates of each specimen must be tested with controls and 
calibrator(s) according to the device instructions for use. The 
precision study must use well characterized samples using different 
lots, instruments, and operators. Results must be summarized in tabular 
format. Pre-specified acceptance criteria must be provided and 
followed;
    (D) Linearity of the test must be demonstrated using a dilution 
panel from clinical samples. The range of dilution samples must include 
samples within the measuring range, samples above and below the 
measuring range, as well as with samples very near above and below the 
cutoff value. Results of the regression analysis must be summarized in 
tabular format and fitted into a linear regression model with the 
individual measurement results against the dilution factors. Pre-
specified acceptance criteria must be provided and followed;
    (E) Device analytic sensitivity data, including limit of blank, 
limit of detection, and limit of quantification;
    (F) Device specificity data, including interference, carryover, 
cross-contamination, and in silico analysis of potential off-target 
genomic sequences;
    (G) Device stability data, including real-time stability of samples 
under various storage times, temperatures, and freeze-thaw conditions. 
A separate shipping stability study must be performed;
    (H) Lot-to-lot reproducibility study of each filter paper that will 
be validated with the test. The lot-to-lot study must include a minimum 
of three lots of each blood spot card that will be validated with the 
test and be conducted over five nonconsecutive days. The sample panel 
must consist of specimens with a range

[[Page 50080]]

of TREC levels and include samples within the measuring range, samples 
above and below the measuring range, and samples very near above and 
below the cutoff value. Multiple punches must be obtained from each 
card for demonstration of homogeneity of the analyte across the dried 
blood spot. Comparability of the test performance for each filter paper 
must be demonstrated. Stability and storage of TREC DNA on each blood 
spot card must be demonstrated. Results of the lot-to-lot study must be 
summarized providing the mean, standard deviation, and percentage 
coefficient of variation in a tabular format. Data must be calculated 
for within-run, between-run, within-lot, and between-lot. Data 
demonstrating the concordance between results across different filter 
papers must be provided. Study acceptance criteria must be provided and 
followed; and
    (I) If applicable, a thermocycler reproducibility study must be 
performed using thermocyclers from three independent thermocyler 
manufacturers. The sample panel must consist of specimens with a range 
of TREC levels and must include samples within the measuring range, 
samples above and below the measuring range, and samples very near 
above and below the cutoff value. The study must be done using three 
filter paper lots and conducted over five nonconsecutive days. Results 
of the thermocycler reproducibility study must be summarized providing 
the mean, standard deviation, and percentage coefficient of variance in 
a tabular format. Data must be calculated for the within-run, between-
run, within-lot, between-lot, and between thermocycler manufacturer 
study results. Study acceptance criteria must be provided and followed.
    (iv) Identification of risk mitigation elements used by your 
device, including a description of all additional procedures, methods, 
and practices incorporated into the directions for use that mitigate 
risks associated with testing.
    (2) Your Sec.  809.10 compliant labeling must include:
    (i) A warning statement that reads ``This test is not intended for 
diagnostic use, preimplantation or prenatal testing, or for screening 
of SCID-like syndromes, such as DiGeorge syndrome or Omenn syndrome. It 
is also not intended to screen for less acute SCID syndromes, such as 
leaky SCID or variant SCID.'';
    (ii) A warning statement that reads ``Test results are intended to 
be used in conjunction with other clinical and diagnostic findings, 
consistent with professional standards of practice, including 
confirmation by alternative methods and clinical evaluation, as 
appropriate.'';
    (iii) A description of the performance studies listed in paragraph 
(b)(1)(iii) and a summary of the results; and
    (iv) A description of the filter paper specifications required for 
the test.

    Dated: October 24, 2017.
Anna K. Abram,
Deputy Commissioner for Policy, Planning, Legislation, and Analysis.
[FR Doc. 2017-23496 Filed 10-27-17; 8:45 am]
 BILLING CODE 4164-01-P



                                                              Federal Register / Vol. 82, No. 208 / Monday, October 30, 2017 / Rules and Regulations                                          50077

                                                (J) Specimen matrix comparison data,                    (ii) A warning statement that reads                FOR FURTHER INFORMATION CONTACT:
                                             if more than one specimen type or                       ‘‘The device is not to be used as a stand-            Caryl Giuliano, Center for Devices and
                                             anticoagulant can be tested with the                    alone device but as an adjunct to other               Radiological Health, Food and Drug
                                             device. Samples used for comparison                     clinical information. A diagnosis of                  Administration, 10903 New Hampshire
                                             must be from well-characterized patient                 Neuromyelitis Optica (NMO) and                        Ave., Bldg. 66, Rm. 5664, Silver Spring,
                                             samples covering the device measuring                   Neuromyelitis Optica Spectrum                         MD 20993–0002, 301–796–2478,
                                             range.                                                  Disorders (NMOSD) should not be made                  caryl.giuliano@fda.hhs.gov.
                                                (K) Clinical performance must be                     on a single test result. The clinical                 SUPPLEMENTARY INFORMATION:
                                             established by comparing data generated                 symptoms, results from physical
                                                                                                     examination, laboratory tests (e.g.,                  I. Background
                                             by testing samples from the indicated
                                             population and the differential                         serological tests), and radiological tests               Upon request, FDA has classified the
                                             diagnosis or non-target disease groups                  (e.g. Magnetic Resonance Imaging),                    newborn screening test for SCID as class
                                             with the device to the clinical                         when appropriate, should always be                    II (special controls), which we have
                                             diagnostic standard.                                    taken into account when considering                   determined will provide a reasonable
                                                (1) The diagnosis of NMO and                         the diagnosis of NMO and NMOSD.’’                     assurance of safety and effectiveness. In
                                             NMOSD must be based on clinical                            (3) The device’s 21 CFR 809.10(b)                  addition, we believe this action will
                                             findings, laboratory tests (e.g.,                       compliant labeling must include a                     enhance patients’ access to beneficial
                                             serological tests), and radiological tests              detailed description of the protocol and              innovation, in part by reducing
                                             (e.g., magnetic resonance imaging).                     performance studies performed in                      regulatory burdens by placing the
                                                (2) The differential diagnosis or non-               accordance with paragraph (b)(1)(ii) of               device into a lower device class than the
                                             target disease group must include the                   this section and a summary of the                     automatic class III assignment.
                                             applicable diseases or conditions,                      results.                                                 The automatic assignment of class III
                                             including but not be limited to the                       Dated: October 24, 2017.                            occurs by operation of law and without
                                             following: Multiple sclerosis, stroke,                  Anna K. Abram,
                                                                                                                                                           any action by FDA, regardless of the
                                             Lyme disease, shingles, syphilis, human                                                                       level of risk posed by the new device.
                                                                                                     Deputy Commissioner for Policy, Planning,
                                             immunodeficiency virus, hepatitis B,                    Legislation, and Analysis.
                                                                                                                                                           Any device that was not in commercial
                                             tuberculosis, Srgen’s syndrome,                                                                               distribution before May 28, 1976, is
                                                                                                     [FR Doc. 2017–23489 Filed 10–27–17; 8:45 am]
                                             systemic lupus erythematous, systemic                                                                         automatically classified as, and remains
                                                                                                     BILLING CODE 4164–01–P
                                             vasculitis, sarcoidosis, Graves’ disease,                                                                     within, class III and requires premarket
                                                                                                                                                           approval unless and until FDA takes an
                                             Hashimoto’s disease, Type I diabetes,
                                                                                                                                                           action to classify or reclassify the device
                                             rheumatoid arthritis, Addison’s disease,                DEPARTMENT OF HEALTH AND
                                                                                                                                                           (see 21 U.S.C. 360c(f)(1)). We refer to
                                             and myasthenia gravis.                                  HUMAN SERVICES
                                                                                                                                                           these devices as ‘‘postamendments
                                                (3) Diagnosis of diseases or conditions
                                                                                                     Food and Drug Administration                          devices’’ because they were not in
                                             for the differential or non-target disease
                                                                                                                                                           commercial distribution prior to the
                                             groups must be based on established
                                                                                                     21 CFR Part 866                                       date of enactment of the Medical Device
                                             diagnostic criteria and clinical
                                                                                                                                                           Amendments of 1976, which amended
                                             evaluation.                                             [Docket No. FDA–2017–N–5924]                          the Federal Food, Drug, and Cosmetic
                                                (4) For all samples, the diagnostic                                                                        Act (the FD&C Act).
                                             clinical criteria and the demographic                   Medical Devices; Immunology and                          FDA may take a variety of actions in
                                             information must be collected and                       Microbiology Devices; Classification of               appropriate circumstances to classify or
                                             provided.                                               the Newborn Screening Test for Severe                 reclassify a device into class I or II. We
                                                (5) The clinical validation results                  Combined Immunodeficiency Disorder                    may issue an order finding a new device
                                             must demonstrate clinical sensitivity                   AGENCY:    Food and Drug Administration,              to be substantially equivalent under
                                             and clinical specificity for the test                   HHS.                                                  section 513(i) of the FD&C Act (21
                                             values based on the presence or absence                                                                       U.S.C. 360c(i)) to a predicate device that
                                                                                                     ACTION:   Final order.
                                             of NMO and NMOSD.                                                                                             does not require premarket approval.
                                                (6) The data must be summarized in                   SUMMARY:   The Food and Drug                          We determine whether a new device is
                                             tabular format comparing the                            Administration (FDA or we) is                         substantially equivalent to a predicate
                                             interpretation of results to the disease                classifying the newborn screening test                by means of the procedures for
                                             status.                                                 for severe combined immunodeficiency                  premarket notification under section
                                                (L) Expected/reference values                        disorder (SCID) into class II (special                510(k) of the FD&C Act and part 807 (21
                                             generated by testing an adequate                        controls). The special controls that                  U.S.C. 360(k) and 21 CFR part 807,
                                             number of samples from apparently                       apply to the device type are identified               respectively).
                                             healthy normal individuals.                             in this order and will be part of the                    FDA may also classify a device
                                                (iii) Identification of risk mitigation              codified language for the newborn                     through ‘‘De Novo’’ classification, a
                                             elements used by the device, including                  screening test for SCID’s classification.             common name for the process
                                             description of all additional procedures,               We are taking this action because we                  authorized under section 513(f)(2) of the
                                             methods, and practices incorporated                     have determined that classifying the                  FD&C Act. Section 207 of the Food and
                                             into the directions for use that mitigate               device into class II (special controls)               Drug Administration Modernization Act
                                             risks associated with testing.                          will provide a reasonable assurance of                of 1997 established the first procedure
                                                (2) The device’s 21 CFR 809.10(b)                    safety and effectiveness of the device.               for De Novo classification (Pub. L. 105–
                                             compliant labeling must include                         We believe this action will also enhance              115). Section 607 of the Food and Drug
nlaroche on DSK9F9SC42PROD with RULES




                                             warnings relevant to the device                         patients’ access to beneficial innovative             Administration Safety and Innovation
                                             including:                                              devices, in part by reducing regulatory               Act modified the De Novo application
                                                (i) A warning statement that reads                   burdens.                                              process by adding a second procedure
                                             ‘‘The device is for use by laboratory                   DATES: This order is effective October                (Pub. L. 112–144). A device sponsor
                                             professionals in a clinical laboratory                  30, 2017. The classification was                      may utilize either procedure for De
                                             setting’’; and                                          applicable on December 15, 2014.                      Novo classification.


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                                             50078              Federal Register / Vol. 82, No. 208 / Monday, October 30, 2017 / Rules and Regulations

                                                Under the first procedure, the person                   that type, including for 510(k)s (see 21               classified into class II with the
                                             submits a 510(k) for a device that has                     U.S.C. 360c(f)(2)(B)(i)). As a result, other           establishment of special controls. FDA
                                             not previously been classified. After                      device sponsors do not have to submit                  has determined that these special
                                             receiving an order from FDA classifying                    a De Novo request or premarket                         controls, in addition to general controls,
                                             the device into class III under section                    approval application (PMA) in order to                 will provide reasonable assurance of the
                                             513(f)(1) of the FD&C Act, the person                      market a substantially equivalent device               safety and effectiveness of the device.
                                             then requests a classification under                       (see 21 U.S.C. 360c(i), defining                          Therefore, on December 15, 2014,
                                             section 513(f)(2).                                         ‘‘substantial equivalence’’). Instead,                 FDA issued an order to the requestor
                                                Under the second procedure, rather                      sponsors can use the less-burdensome                   classifying the device into class II. FDA
                                             than first submitting a 510(k) and then                    510(k) process, when necessary, to                     is codifying the classification of the
                                             a request for classification, if the person                market their device.                                   device by adding 21 CFR 866.5930. We
                                             determines that there is no legally                                                                               have named the generic type of device
                                                                                                        II. De Novo Classification
                                             marketed device upon which to base a                                                                              newborn screening test for SCID, and it
                                             determination of substantial                                  On October 14, 2014, Wallac Oy, a                   is identified as a prescription device
                                             equivalence, that person requests a                        subsidiary of PerkinElmer, Inc.,                       intended to measure T-cell receptor
                                             classification under section 513(f)(2) of                  submitted a request for De Novo                        excision circle (TREC) DNA obtained
                                             the FD&C Act.                                              classification of the EnLite Neonatal                  from dried blood spot specimens on
                                                Under either procedure for De Novo                      TREC Kit. FDA reviewed the request in                  filter paper using a polymerase chain
                                             classification, FDA is required to                         order to classify the device under the                 reaction based test as an aid in
                                             classify the device by written order                       criteria for classification set forth in               screening newborns for SCID.
                                             within 120 days. The classification will                   section 513(a)(1) of the FD&C Act. We                  Presumptive positive results must be
                                             be according to the criteria under                         classify devices into class II if general              followed up by diagnostic confirmatory
                                             section 513(a)(1) of the FD&C Act.                         controls by themselves are insufficient                testing. This test is not intended for use
                                             Although the device was automatically                      to provide reasonable assurance of                     as a diagnostic test, or for screening of
                                             placed within class III, the De Novo                       safety and effectiveness, but there is                 SCID-like syndromes, such as DiGeorge
                                             classification is considered to be the                     sufficient information to establish                    syndrome or Omenn syndrome. It is also
                                             initial classification of the device.                      special controls that, in combination                  not intended to screen for less acute
                                                We believe this De Novo classification                  with the general controls, provide                     SCID syndromes, such as leaky SCID or
                                             will enhance patients’ access to                           reasonable assurance of the safety and                 variant SCID.
                                             beneficial innovation, in part by                          effectiveness of the device for its                       FDA has identified the following risks
                                             reducing regulatory burdens. When FDA                      intended use (see 21 U.S.C.                            to health associated specifically with
                                             classifies a device into class I or II via                 360c(a)(1)(B)). After review of the                    this type of device and the measures
                                             the De Novo process, the device can                        information submitted in the request,                  required to mitigate these risks in
                                             serve as a predicate for future devices of                 we determined that the device can be                   table 1.

                                                                       TABLE 1—NEWBORN SCREENING TEST FOR SCID RISKS AND MITIGATION MEASURES
                                                                               Identified risks                                                          Mitigation measures/21 CFR section

                                             False negative results due to device or user error ..................................    Special controls (1) and (2) (21 CFR 866.5930(b)(1) and 21 CFR
                                                                                                                                        866.5930(b)(2)).
                                             False positive results due to device or user error ...................................   Special controls (1) and (2) (21 CFR 866.5930(b)(1) and 21 CFR
                                                                                                                                        866.5930(b)(2)).



                                                FDA has determined that special                         nor an environmental impact statement                  notification submissions, have been
                                             controls, in combination with the                          is required.                                           approved under OMB control number
                                             general controls, address these risks to                                                                          0910–0120; and the collections of
                                                                                                        IV. Paperwork Reduction Act of 1995
                                             health and provide reasonable assurance                                                                           information in 21 CFR parts 801 and
                                             of safety and effectiveness. In order for                    This final order establishes special                 809, regarding labeling, have been
                                             a device to fall within this classification,               controls that refer to previously                      approved under OMB control number
                                             and thus avoid automatic classification                    approved collections of information                    0910–0485.
                                             in class III, it would have to comply                      found in other FDA regulations. These
                                                                                                        collections of information are subject to              List of Subjects in 21 CFR Part 866
                                             with the special controls named in this
                                                                                                        review by the Office of Management and                   Biologics, Laboratories, Medical
                                             final order. The necessary special
                                                                                                        Budget (OMB) under the Paperwork                       devices.
                                             controls appear in the regulation
                                                                                                        Reduction Act of 1995 (44 U.S.C. 3501–                   Therefore, under the Federal Food,
                                             codified by this order. This device is
                                                                                                        3520). The collections of information in               Drug, and Cosmetic Act and under
                                             subject to premarket notification                          the guidance document ‘‘De Novo
                                             requirements under section 510(k) of the                                                                          authority delegated to the Commissioner
                                                                                                        Classification Process (Evaluation of                  of Food and Drugs, 21 CFR part 866 is
                                             FD&C Act.                                                  Automatic Class III Designation)’’ have                amended as follows:
                                             III. Analysis of Environmental Impact                      been approved under OMB control
                                                                                                        number 0910–0844; the collections of
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                                                                                                                                                               PART 866—IMMUNOLOGY AND
                                               The Agency has determined under 21                       information in part 814, subparts A                    MICROBIOLOGY DEVICES
                                             CFR 25.34(b) that this action is of a type                 through E, regarding premarket
                                             that does not individually or                              approval, have been approved under                     ■ 1. The authority citation for part 866
                                             cumulatively have a significant effect on                  OMB control number 0910–0231; the                      continues to read as follows:
                                             the human environment. Therefore,                          collections of information in part 807,                  Authority: 21 U.S.C. 351, 360, 360c, 360e,
                                             neither an environmental assessment                        subpart E, regarding premarket                         360j, 360l, 371.



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                                                              Federal Register / Vol. 82, No. 208 / Monday, October 30, 2017 / Rules and Regulations                                         50079

                                             ■ 2. Add § 866.5930 to subpart F to read                circles and methods for determination                 specimen must be run in triplicate and
                                             as follows:                                             of results. The cutoff must be selected               include controls run in triplicate.
                                                                                                     before conducting clinical and                        Results must be reported as the standard
                                             § 866.5930 Newborn screening test for                   analytical studies;                                   deviation and percentage coefficient of
                                             severe combined immunodeficiency
                                                                                                        (E) A description of the result outputs            variation for each level tested. Results
                                             disorder (SCID).
                                                                                                     along with sample reports. Sample                     must also be displayed as a
                                                (a) Identification. A newborn                        reports must include the scale used in                dichotomous variable around the cutoff.
                                             screening test for SCID is a prescription               reporting of results (e.g., TREC copies/              Total variation must be partitioned into
                                             device intended to measure T-cell                       mL) and the range of values that will be              the sum of within-lab and between-lab
                                             receptor excision circle (TREC) DNA                     reported out; and                                     variations with pre-specified acceptance
                                             obtained from dried blood spot                             (F) A description of appropriate                   criteria and 95 percent confidence
                                             specimens on filter paper using a                       internal and external controls that are               intervals for all data. Pre-specified
                                             polymerase chain reaction based test as                 recommended or provided. The                          acceptance criteria must be provided
                                             an aid in screening newborns for SCID.                  description must identify those control               and followed;
                                             Presumptive positive results must be                    elements that are incorporated into the                  (C) Device precision data using
                                             followed up by diagnostic confirmatory                  testing procedure.                                    clinical samples to evaluate the within-
                                             testing. This test is not intended for use                 (iii) Information that demonstrates the            lot, between-lot, within-run, between
                                             as a diagnostic test, or for screening of               performance characteristics of the test,              run, and total variation. A range of
                                             SCID-like syndromes, such as DiGeorge                   including:                                            TREC levels of the specimen must
                                             syndrome or Omenn syndrome. It is also                     (A) Data that demonstrates the clinical            include samples within the measuring
                                             not intended to screen for less acute                   validity of the device, using well                    range, samples above and below the
                                             SCID syndromes, such as leaky SCID or                   characterized prospectively or                        measuring range, as well as with
                                             variant SCID.                                           retrospectively obtained clinical                     samples very near above and below the
                                                (b) Classification. Class II (special                specimens representative of the                       cutoff value. At least three replicates of
                                             controls). The special controls for this                intended use population. A minimum of                 each specimen must be tested with
                                             device are:                                             10 to 15 confirmed positive specimens                 controls and calibrator(s) according to
                                                (1) Premarket notification                           must be obtained from more than 1 site,               the device instructions for use. The
                                             submissions must include the following                  including relevant annotation, and, at 1              precision study must use well
                                             information:                                            year or beyond, a SCID diagnosis by
                                                (i) The intended use must indicate:                                                                        characterized samples using different
                                                                                                     flow cytometry or clinically meaningful               lots, instruments, and operators. Results
                                                (A) The test is not intended for
                                                                                                     information regarding the status of the               must be summarized in tabular format.
                                             diagnostic use, or for screening of SCID-
                                                                                                     subject must be obtained. Additional                  Pre-specified acceptance criteria must
                                             like syndromes, such as DiGeorge
                                                                                                     specimens should have been obtained                   be provided and followed;
                                             syndrome or Omenn syndrome; and
                                                                                                     that are characterized by other disorders                (D) Linearity of the test must be
                                                (B) The test is not intended to screen
                                                                                                     that can be found by screening                        demonstrated using a dilution panel
                                             for less acute SCID syndromes, such as
                                                                                                     specimens that have low or absent TREC                from clinical samples. The range of
                                             leaky SCID or variant SCID.
                                                (ii) A detailed description of all                   (e.g., other T-cell lymphopenic                       dilution samples must include samples
                                             components in the test that includes:                   disorders) to supplement the range of                 within the measuring range, samples
                                                (A) A detailed description of the test               results. The clinical validation study                above and below the measuring range,
                                             components, all required reagents,                      must have a pre-specified clinical                    as well as with samples very near above
                                             instrumentation and equipment,                          decision point (i.e., cutoff to distinguish           and below the cutoff value. Results of
                                             including illustrations or photographs of               positive and negative results). Results               the regression analysis must be
                                             nonstandard equipment or methods;                       must be summarized in tabular format                  summarized in tabular format and fitted
                                                (B) Detailed documentation of the                    comparing interpretation of results to                into a linear regression model with the
                                             device software including, but not                      the reference method. Point estimates                 individual measurement results against
                                             limited to, standalone software                         together with two-sided 95 percent                    the dilution factors. Pre-specified
                                             applications and hardware-based                         confidence intervals must be provided                 acceptance criteria must be provided
                                             devices that incorporate software;                      for the positive percent agreement,                   and followed;
                                                (C) Specifications for the filter paper,             negative percent agreement, and overall                  (E) Device analytic sensitivity data,
                                             which must be appropriately labeled for                 percent agreement. Data must include                  including limit of blank, limit of
                                             in vitro diagnostic use, to be used in                  the retest rate, the false positive rate              detection, and limit of quantification;
                                             specimen collection and how it will be                  before retest, the final false positive rate,            (F) Device specificity data, including
                                             used in specimen collection validation.                 and the false negative rate;                          interference, carryover, cross-
                                             These specifications must include:                         (B) Device reproducibility data                    contamination, and in silico analysis of
                                             descriptive characteristics of the filter               generated, using a minimum of three                   potential off-target genomic sequences;
                                             paper, instructions on how a lab should                 sites of which at least two must be                      (G) Device stability data, including
                                             choose the appropriate filter paper,                    external sites, with two operators at                 real-time stability of samples under
                                             chemical properties of the filter paper,                each site. Each site must conduct a                   various storage times, temperatures, and
                                             interference concerns associated with                   minimum of five runs per operator over                freeze-thaw conditions. A separate
                                             the chemicals in the filter paper,                      five nonconsecutive days evaluating a                 shipping stability study must be
                                             absorption properties of the filter paper,              minimum of six different relevant TREC                performed;
                                             punch size, absorption capacity, testing                concentrations that span and are well                    (H) Lot-to-lot reproducibility study of
                                                                                                     distributed over the measuring range                  each filter paper that will be validated
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                                             for homogeneity of punches, diameter of
                                             the circle for the dried blood spot                     and include the clinical cutoff.                      with the test. The lot-to-lot study must
                                             aliquot, absorption time, physical                      Specimens must include cord blood and                 include a minimum of three lots of each
                                             composition, and number and size of                     cord blood diluted with ABO matched                   blood spot card that will be validated
                                             punches to be tested;                                   adult blood specimens. Identical                      with the test and be conducted over five
                                                (D) Methodology and protocols for                    specimens from the same sample panel                  nonconsecutive days. The sample panel
                                             detection of T-cell receptor excision                   must be tested at each site. Each                     must consist of specimens with a range


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                                             50080            Federal Register / Vol. 82, No. 208 / Monday, October 30, 2017 / Rules and Regulations

                                             of TREC levels and include samples                      professional standards of practice,                   whether FDA planned to exempt the
                                             within the measuring range, samples                     including confirmation by alternative                 device from premarket notification
                                             above and below the measuring range,                    methods and clinical evaluation, as                   requirements under section 510(k) of the
                                             and samples very near above and below                   appropriate.’’;                                       FD&C Act.
                                             the cutoff value. Multiple punches must                    (iii) A description of the performance                In the Federal Register of July 28,
                                             be obtained from each card for                          studies listed in paragraph (b)(1)(iii) and           2017, (82 FR 35067), the following
                                             demonstration of homogeneity of the                     a summary of the results; and                         correction is made: On page 35069, in
                                             analyte across the dried blood spot.                       (iv) A description of the filter paper             the first column, the first paragraph is
                                             Comparability of the test performance                   specifications required for the test.                 corrected as follows:
                                             for each filter paper must be                             Dated: October 24, 2017.
                                                                                                                                                              ‘‘Section 510(m) of the FD&C Act
                                             demonstrated. Stability and storage of                                                                        provides that FDA may exempt a class
                                                                                                     Anna K. Abram,
                                             TREC DNA on each blood spot card                                                                              II device from the premarket notification
                                                                                                     Deputy Commissioner for Policy, Planning,             requirements under section 510(k), if
                                             must be demonstrated. Results of the                    Legislation, and Analysis.
                                             lot-to-lot study must be summarized                                                                           FDA determines that premarket
                                                                                                     [FR Doc. 2017–23496 Filed 10–27–17; 8:45 am]          notification is not necessary to provide
                                             providing the mean, standard deviation,
                                             and percentage coefficient of variation                 BILLING CODE 4164–01–P                                reasonable assurance of the safety and
                                             in a tabular format. Data must be                                                                             effectiveness of the device. For this type
                                             calculated for within-run, between-run,                                                                       of device, FDA has determined that
                                                                                                     DEPARTMENT OF HEALTH AND                              premarket notification is necessary to
                                             within-lot, and between-lot. Data
                                                                                                     HUMAN SERVICES                                        provide reasonable assurance of the
                                             demonstrating the concordance between
                                             results across different filter papers                                                                        safety and effectiveness of the device.
                                                                                                     Food and Drug Administration
                                             must be provided. Study acceptance                                                                            Therefore, this device type is not
                                             criteria must be provided and followed;                                                                       exempt from premarket notification
                                                                                                     21 CFR Part 876
                                             and                                                                                                           requirements. Persons who intend to
                                                (I) If applicable, a thermocycler                    [Docket No. FDA–2017–N–1609]                          market this type of device must submit
                                             reproducibility study must be                                                                                 to FDA a premarket notification, prior to
                                             performed using thermocyclers from                      Medical Devices; Gastroenterology-                    marketing the device, which contains
                                             three independent thermocyler                           Urology Devices; Classification of the                information about the oral removable
                                             manufacturers. The sample panel must                    Oral Removable Palatal Space                          palatal space occupying device for
                                             consist of specimens with a range of                    Occupying Device for Weight                           weight management and/or weight loss
                                             TREC levels and must include samples                    Management and/or Weight Loss                         they intend to market.’’
                                             within the measuring range, samples                     AGENCY:    Food and Drug Administration,                Dated: October 24, 2017.
                                             above and below the measuring range,                    HHS.                                                  Anna K. Abram,
                                             and samples very near above and below
                                                                                                     ACTION:   Final order; correction.                    Deputy Commissioner for Policy, Planning,
                                             the cutoff value. The study must be                                                                           Legislation, and Analysis.
                                             done using three filter paper lots and                  SUMMARY:    The Food and Drug                         [FR Doc. 2017–23490 Filed 10–27–17; 8:45 am]
                                             conducted over five nonconsecutive                      Administration (FDA) is correcting a                  BILLING CODE 4164–01–P
                                             days. Results of the thermocycler                       final order entitled ‘‘Medical Devices;
                                             reproducibility study must be                           Gastroenterology-Urology Devices;
                                             summarized providing the mean,                          Classification of the Oral Removable                  DEPARTMENT OF HEALTH AND
                                             standard deviation, and percentage                      Palatal Space Occupying Device for                    HUMAN SERVICES
                                             coefficient of variance in a tabular                    Weight Management and/or Weight
                                             format. Data must be calculated for the                 Loss’’ that appeared in the Federal                   Food and Drug Administration
                                             within-run, between-run, within-lot,                    Register of July 28, 2017. The final order
                                             between-lot, and between thermocycler                   was published with an incorrect                       21 CFR Part 882
                                             manufacturer study results. Study                       statement in the preamble about
                                             acceptance criteria must be provided                                                                          [Docket No. FDA–2017–N–5934]
                                                                                                     whether FDA planned to exempt the
                                             and followed.                                           device from premarket notification                    Medical Devices; Neurological
                                                (iv) Identification of risk mitigation               requirements. This document corrects                  Devices; Classification of the Non-
                                             elements used by your device, including                 that error.                                           Electroencephalogram Physiological
                                             a description of all additional
                                                                                                     DATES: Effective October 30, 2017                     Signal Based Seizure Monitoring
                                             procedures, methods, and practices
                                                                                                     FOR FURTHER INFORMATION CONTACT:                      System
                                             incorporated into the directions for use
                                             that mitigate risks associated with                     Mark Antonino, Center for Devices and                 AGENCY:    Food and Drug Administration,
                                             testing.                                                Radiological Health, Food and Drug                    HHS.
                                                (2) Your § 809.10 compliant labeling                 Administration, 10903 New Hampshire
                                                                                                                                                           ACTION:   Final order.
                                             must include:                                           Ave., Bldg. 66, Rm. G208, Silver Spring,
                                                (i) A warning statement that reads                   MD 20993–0002, 240–402–9980,                          SUMMARY:   The Food and Drug
                                             ‘‘This test is not intended for diagnostic              mark.antonino@fda.hhs.gov.                            Administration (FDA or we) is
                                             use, preimplantation or prenatal testing,               SUPPLEMENTARY INFORMATION: In the                     classifying the non-
                                             or for screening of SCID-like syndromes,                Federal Register of July 28, 2017 (82 FR              electroencephalogram (non-EEG)
                                             such as DiGeorge syndrome or Omenn                      35067), FDA published the final order                 physiological signal based seizure
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                                             syndrome. It is also not intended to                    ‘‘Medical Devices; Gastroenterology-                  monitoring system into class II (special
                                             screen for less acute SCID syndromes,                   Urology Devices; Classification of the                controls). The special controls that
                                             such as leaky SCID or variant SCID.’’;                  Oral Removable Palatal Space                          apply to the device type are identified
                                                (ii) A warning statement that reads                  Occupying Device for Weight                           in this order and will be part of the
                                             ‘‘Test results are intended to be used in               Management and/or Weight Loss.’’ The                  codified language for the non-EEG
                                             conjunction with other clinical and                     final order published with an incorrect               physiological signal based seizure
                                             diagnostic findings, consistent with                    statement in the preamble about                       monitoring system’s classification. We


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Document Created: 2017-10-28 00:29:06
Document Modified: 2017-10-28 00:29:06
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 30, 2017. The classification was applicable on December 15, 2014.
ContactCaryl Giuliano, Center for Devices and Radiological Health, Food and Drug Administration, 10903 New Hampshire Ave., Bldg. 66, Rm. 5664, Silver Spring, MD 20993-0002, 301-796-2478, [email protected]
FR Citation82 FR 50077 
CFR AssociatedBiologics; Laboratories and Medical Devices

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