82_FR_61410 82 FR 61163 - Medical Devices; Hematology and Pathology Devices; Classification of the Flow Cytometric Test System for Hematopoietic Neoplasms

82 FR 61163 - Medical Devices; Hematology and Pathology Devices; Classification of the Flow Cytometric Test System for Hematopoietic Neoplasms

DEPARTMENT OF HEALTH AND HUMAN SERVICES
Food and Drug Administration

Federal Register Volume 82, Issue 247 (December 27, 2017)

Page Range61163-61166
FR Document2017-27855

The Food and Drug Administration (FDA or we) is classifying the flow cytometric test system for hematopoietic neoplasms 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 flow cytometric test system for hematopoietic neoplasms' 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 247 (Wednesday, December 27, 2017)
[Federal Register Volume 82, Number 247 (Wednesday, December 27, 2017)]
[Rules and Regulations]
[Pages 61163-61166]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-27855]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

21 CFR Part 864

[Docket No. FDA-2017-N-6643]


Medical Devices; Hematology and Pathology Devices; Classification 
of the Flow Cytometric Test System for Hematopoietic Neoplasms

AGENCY: Food and Drug Administration, HHS.

ACTION: Final order.

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

SUMMARY: The Food and Drug Administration (FDA or we) is classifying 
the flow cytometric test system for hematopoietic neoplasms 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 flow cytometric test system for hematopoietic 
neoplasms' 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 December 27, 2017. The classification 
was applicable on June 29, 2017.

FOR FURTHER INFORMATION CONTACT: Ryan Lubert, Center for Devices and 
Radiological Health, Food and Drug Administration, 10903 New Hampshire 
Ave., Bldg. 66, Rm. 4545, Silver Spring, MD 20993-0002, 240-402-6357, 
[email protected].

SUPPLEMENTARY INFORMATION:

I. Background

    Upon request, FDA has classified the flow cytometric test system 
for hematopoietic neoplasms as class II (special controls), which we 
have

[[Page 61164]]

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 (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.
    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 shall 
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 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 3, 2016, Beckman Coulter submitted a request for De Novo 
classification of the ClearLLab Reagents (T1, T2, B1, B2, M). 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 the 
general controls, will provide reasonable assurance of the safety and 
effectiveness of the device.
    Therefore, on June 29, 2017, FDA issued an order to the requester 
classifying the device into class II. FDA is codifying the 
classification of the device by adding 21 CFR 864.7010. We have named 
the generic type of device flow cytometric test system for 
hematopoietic neoplasms, and it is identified as a device that consists 
of reagents for immunophenotyping of human cells in relation to the 
level of expression, antigen density, and distribution of specific 
cellular markers. These reagents are used as an aid in the differential 
diagnosis or monitoring of hematologically abnormal patients having or 
suspected of having hematopoietic neoplasms. The results should be 
interpreted by a pathologist or equivalent professional in conjunction 
with other clinical and laboratory findings.
    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--Flow Cytometric Test for Hematopoietic Neoplasms Risks and
                           Mitigation Measures
------------------------------------------------------------------------
                                            Mitigation measures/21 CFR
            Identified risks                         section
------------------------------------------------------------------------
Incorrect test results (false negatives  General Controls and Special
 or false positives).                     Controls (1) and (2) (21 CFR
                                          864.7010(b)(1) and (2)).
Incorrect interpretation of device       General Controls and Special
 results by the end user.                 Controls (1), (2), and (3) (21
                                          CFR 864.7010(b)(1), (2), and
                                          (3)).
Patient harm from specimen(s)            General Controls and Special
 collection.                              Control (1) (21 CFR
                                          864.7010(b)(1)).
------------------------------------------------------------------------

    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. 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

[[Page 61165]]

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 21 CFR 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; the collections of 
information in 21 CFR part 820 have been approved under OMB control 
number 0910-0073; 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 864

    Blood, Medical devices, Packaging and containers.

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

PART 864--HEMATOLOGY AND PATHOLOGY DEVICES

0
1. The authority citation for part 864 is revised to read as follows:

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


0
2. Add Sec.  864.7010 to subpart H to read as follows:


Sec.  864.7010  Flow cytometric test system for hematopoietic 
neoplasms.

    (a) Identification. A flow cytometric test for hematopoietic 
neoplasms is a device that consists of reagents for immunophenotyping 
of human cells in relation to the level of expression, antigen density, 
and distribution of specific cellular markers. These reagents are used 
as an aid in the differential diagnosis or monitoring of 
hematologically abnormal patients having or suspected of having 
hematopoietic neoplasms. The results should be interpreted by a 
pathologist or equivalent professional in conjunction with other 
clinical and laboratory findings.
    (b) Classification. Class II (special controls). The special 
controls for this device are:
    (1) Premarket notification submissions must include the following 
information:
    (i) The indications for use must indicate the clinical 
hematopoietic neoplasms for which the assay was designed and validated, 
for example, chronic leukemia or lymphoma.
    (ii) A detailed device description including the following:
    (A) A detailed description of all test components, all required 
reagents, and all 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) A detailed description of methodology and assay procedure.
    (D) A description of appropriate internal and external quality 
control materials that are recommended or provided. The description 
must identify those control elements that are incorporated into the 
testing procedure, if applicable.
    (E) Detailed specifications for sample collection, processing, and 
storage.
    (F) Detailed specification of the criteria for test results 
interpretation and reporting including pre-established templates.
    (G) If applicable, based on the output of the results, a 
description of the specific number of events to collect, result 
outputs, and analytical sensitivity of the assay that will be reported.
    (iii) Information that demonstrates the performance characteristics 
of the test, including:
    (A) Device performance data from either a method comparison study 
comparing the specific lymphocyte cell markers to a predicate device or 
data collected through a clinical study demonstrating clinical validity 
using well-characterized clinical specimens. Samples must be 
representative of the intended use population of the device including 
hematologic neoplasms and the specific sample types for which the test 
is indicated for use.
    (B) If applicable, device performance data from a clinical study 
demonstrating clinical validity for parameters not established in a 
predicate device of this generic type using well-characterized 
prospectively obtained clinical specimens including all hematologic 
neoplasms and the specific sample types for which the device is 
indicated for use.
    (C) Device precision data using clinical samples to evaluate the 
within-lot, between-lot, within-run, between run, site-to-site and 
total variation using a minimum of three sites, of which at least two 
sites must be external sites. Results shall be reported as the standard 
deviation and percentage coefficient of variation for each level 
tested.
    (D) Reproducibility data generated using a minimum of three lots of 
reagents to evaluate mean fluorescence intensity and variability of the 
recovery of the different markers and/or cell populations.
    (E) Data from specimen and reagent carryover testing performed 
using well-established methods (e.g., CLSI H26-A2).
    (F) Specimen and prepared sample stability data established for 
each specimen matrix in the anticoagulant combinations and storage/use 
conditions that will be indicated.
    (G) A study testing anticoagulant equivalency in all claimed 
specimen type/anticoagulant combinations using clinical specimens that 
are representative of the intended use population of the device.
    (H) Analytic sensitivity data using a dilution panel created from 
clinical samples.
    (I) Analytical specificity data, including interference and cross-
contamination.
    (J) Device stability data, including real-time stability of 
reagents under various storage times and temperatures.
    (K) For devices that include polyclonal antibodies, Fluorescence 
Minus One (FMO) studies to evaluate non-specific binding for all 
polyclonal antibodies. Each FMO tube is compared to reagent reference 
to demonstrate that no additional population appears when one marker is 
absent. Pre-specified acceptance criteria must be provided and 
followed.
    (L) For devices indicated for use as a semi-quantitative test, 
linearity data using a dilution panel created from clinical samples.
    (M) For devices indicated for use as a semi-quantitative test, 
clinically relevant analytical sensitivity data,

[[Page 61166]]

including limit of blank, limit of detection, and limit of 
quantification.
    (iv) Identification of risk mitigation elements used by the device, 
including a detailed description of all additional procedures, methods, 
and practices incorporated into the instructions for use that mitigate 
risks associated with testing the device.
    (2) The 21 CFR 809.10 compliant labeling must include the 
following:
    (i) The intended use statement in the 21 CFR 809.10(a)(2) and 
(b)(2) compliant labeling must include a statement that the results 
should be interpreted by a pathologist or equivalent professional in 
conjunction with other clinical and laboratory findings. The intended 
use statement must also include information on what the device detects 
and measures, whether the device is qualitative, semi-quantitative, 
and/or quantitative, the clinical indications for which the device is 
to be used, and the specific population(s) for which the device is 
intended.
    (ii) A detailed description of the performance studies conducted to 
comply with paragraph (b)(1)(iii) of this section and a summary of the 
results.
    (3) As part of the risk management activities performed under 21 
CFR 820.30 design controls, product labeling and instruction manuals 
must include clear examples of all expected phenotypic patterns and 
gating strategies using well-defined clinical samples representative of 
both abnormal and normal cellular populations. These samples must be 
selected based upon the indications described in paragraph (b)(1)(i) of 
this section.

    Dated: December 20, 2017.
Leslie Kux,
Associate Commissioner for Policy.
[FR Doc. 2017-27855 Filed 12-26-17; 8:45 am]
 BILLING CODE 4164-01-P



                                                          Federal Register / Vol. 82, No. 247 / Wednesday, December 27, 2017 / Rules and Regulations                                            61163

                                                Therefore, on November 19, 2013,                     instrument test systems, and it is                    to be used together, and labeled nucleic
                                             FDA issued an order to the requestor                    identified as reagents other than analyte             acid molecules.
                                             classifying the device into class I. FDA                specific reagents used as part of                       FDA has identified the following risks
                                             is codifying the classification of the                  molecular diagnostic test systems, such               to health associated specifically with
                                             device by adding 21 CFR 862.3800. We                    as polymerases, nucleotides and                       this type of device in table 1.
                                             have named the generic type of device                   nucleotide mixes, master mixes in
                                             reagents for molecular diagnostic                       which individual reagents are optimized

                                                 TABLE 1—REAGENTS FOR MOLECULAR DIAGNOSTIC INSTRUMENT TEST SYSTEMS RISKS AND MITIGATION MEASURES
                                                                             Identified risks                                                               Mitigation measures

                                             Inaccurate test results due to inconsistently manufactured test system               General controls, including current good manufacturing practices.
                                               reagents.



                                                Section 510(l)(1) of the FD&C Act                    the collections of information in 21 CFR              DEPARTMENT OF HEALTH AND
                                             provides that a device within a type that               part 820, regarding current good                      HUMAN SERVICES
                                             has been classified into class I under                  manufacturing practices, have been
                                             section 513 of the FD&C Act is exempt                   approved under OMB control number                     Food and Drug Administration
                                             from premarket notification under                       0910–0073.
                                             section 510(k), unless the device is of                                                                       21 CFR Part 864
                                             substantial importance in preventing                    List of Subjects in 21 CFR Part 862
                                                                                                                                                           [Docket No. FDA–2017–N–6643]
                                             impairment of human health or presents
                                                                                                         Medical devices.
                                             a potentially unreasonable risk of illness                                                                    Medical Devices; Hematology and
                                             or injury (21 U.S.C. 360(l)(1)). Devices                  Therefore, under the Federal Food,                  Pathology Devices; Classification of
                                             within this type are exempt from the                    Drug, and Cosmetic Act and under                      the Flow Cytometric Test System for
                                             premarket notification requirements                     authority delegated to the Commissioner               Hematopoietic Neoplasms
                                             under section 510(k), subject to the                    of Food and Drugs, 21 CFR part 862 is
                                             limitations of exemptions in 21 CFR                                                                           AGENCY:    Food and Drug Administration,
                                                                                                     amended as follows:                                   HHS.
                                             862.9.
                                                                                                     PART 862—CLINICAL CHEMISTRY                           ACTION:   Final order.
                                             III. Analysis of Environmental Impact
                                                                                                     AND CLINICAL TOXICOLOGY                               SUMMARY:   The Food and Drug
                                                The Agency has determined under 21                   DEVICES
                                             CFR 25.34(b) that this action is of a type                                                                    Administration (FDA or we) is
                                             that does not individually or                                                                                 classifying the flow cytometric test
                                                                                                     ■ 1. The authority citation for part 862              system for hematopoietic neoplasms
                                             cumulatively have a significant effect on
                                             the human environment. Therefore,                       continues to read as follows:                         into class II (special controls). The
                                             neither an environmental assessment                       Authority: 21 U.S.C. 351, 360, 360c, 360e,          special controls that apply to the device
                                             nor an environmental impact statement                   360j, 360l, 371.                                      type are identified in this order and will
                                             is required.                                                                                                  be part of the codified language for the
                                                                                                     ■ 2. Add § 862.3800 to subpart D to read              flow cytometric test system for
                                             IV. Paperwork Reduction Act of 1995                     as follows:                                           hematopoietic neoplasms’ classification.
                                               This final order refers to previously                                                                       We are taking this action because we
                                                                                                     § 862.3800 Reagents for molecular                     have determined that classifying the
                                             approved collections of information
                                                                                                     diagnostic instrument test systems.                   device into class II (special controls)
                                             found in other FDA regulations. These
                                             collections of information are subject to                 (a) Identification. Reagents for                    will provide a reasonable assurance of
                                             review by the Office of Management and                  molecular diagnostic test systems are                 safety and effectiveness of the device.
                                             Budget (OMB) under the Paperwork                        reagents other than analyte specific                  We believe this action will also enhance
                                             Reduction Act of 1995 (44 U.S.C. 3501–                  reagents used as part of molecular                    patients’ access to beneficial innovative
                                             3520). The collections of information in                diagnostic test systems, such as                      devices, in part by reducing regulatory
                                             the guidance document ‘‘De Novo                         polymerases, nucleotides and                          burdens.
                                             Classification Process (Evaluation of                   nucleotide mixes, master mixes in                     DATES: This order is effective December
                                             Automatic Class III Designation)’’ have                 which individual reagents are optimized               27, 2017. The classification was
                                             been approved under OMB control                         to be used together, and labeled nucleic              applicable on June 29, 2017.
                                             number 0910–0844; the collections of                    acid molecules.                                       FOR FURTHER INFORMATION CONTACT:
                                             information in 21 CFR parts 801 and                                                                           Ryan Lubert, Center for Devices and
                                             809, regarding labeling, have been                        (b) Classification. Class I (general                Radiological Health, Food and Drug
                                             approved under OMB control number                       controls). The device is exempt from the              Administration, 10903 New Hampshire
                                             0910–0485; the collections of                           premarket notification procedure in                   Ave., Bldg. 66, Rm. 4545, Silver Spring,
                                             information in 21 CFR part 814,                         subpart E of part 807 of this chapter,                MD 20993–0002, 240–402–6357,
                                             subparts A through E, regarding                         subject to the limitations in § 862.9.                ryan.lubert@fda.hhs.gov.
                                             premarket approval, have been
daltland on DSKBBV9HB2PROD with RULES




                                                                                                       Dated: December 20, 2017.                           SUPPLEMENTARY INFORMATION:
                                             approved under OMB control number                       Leslie Kux,
                                             0910–0231; the collections of                                                                                 I. Background
                                             information in part 807, subpart E,                     Associate Commissioner for Policy.                       Upon request, FDA has classified the
                                             regarding premarket notification                        [FR Doc. 2017–27853 Filed 12–26–17; 8:45 am]          flow cytometric test system for
                                             submissions, have been approved under                   BILLING CODE 4164–01–P                                hematopoietic neoplasms as class II
                                             OMB control number 0910–0120; and                                                                             (special controls), which we have


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                                             61164          Federal Register / Vol. 82, No. 247 / Wednesday, December 27, 2017 / Rules and Regulations

                                             determined will provide a reasonable                         (Pub. L. 112–144). A device sponsor                     request in order to classify the device
                                             assurance of safety and effectiveness. In                    may utilize either procedure for De                     under the criteria for classification set
                                             addition, we believe this action will                        Novo classification.                                    forth in section 513(a)(1) of the FD&C
                                             enhance patients’ access to beneficial                          Under the first procedure, the person                Act.
                                             innovation, in part by reducing                              submits a 510(k) for a device that has
                                                                                                                                                                     We classify devices into class II if
                                             regulatory burdens by placing the                            not previously been classified. After
                                                                                                                                                                  general controls by themselves are
                                             device into a lower device class than the                    receiving an order from FDA classifying
                                                                                                                                                                  insufficient to provide reasonable
                                             automatic class III assignment.                              the device into class III under section
                                                                                                                                                                  assurance of safety and effectiveness,
                                               The automatic assignment of class III                      513(f)(1) of the FD&C Act, the person
                                                                                                                                                                  but there is sufficient information to
                                             occurs by operation of law and without                       then requests a classification under
                                             any action by FDA, regardless of the                         section 513(f)(2).                                      establish special controls that, in
                                             level of risk posed by the new device.                          Under the second procedure, rather                   combination with the general controls,
                                             Any device that was not in commercial                        than first submitting a 510(k) and then                 provide reasonable assurance of the
                                             distribution before May 28, 1976, is                         a request for classification, if the person             safety and effectiveness of the device for
                                             automatically classified as, and remains                     determines that there is no legally                     its intended use (see 21 U.S.C.
                                             within, class III and requires premarket                     marketed device upon which to base a                    360c(a)(1)(B)). After review of the
                                             approval unless and until FDA takes an                       determination of substantial                            information submitted in the request,
                                             action to classify or reclassify the device                  equivalence, that person requests a                     we determined that the device can be
                                             (see 21 U.S.C. 360c(f)(1)). We refer to                      classification under section 513(f)(2) of               classified into class II with the
                                             these devices as ‘‘postamendments                            the FD&C Act.                                           establishment of special controls. FDA
                                             devices’’ because they were not in                              Under either procedure for De Novo                   has determined that these special
                                             commercial distribution prior to the                         classification, FDA shall classify the                  controls, in addition to the general
                                             date of enactment of the Medical Device                      device by written order within 120 days.                controls, will provide reasonable
                                             Amendments of 1976, which amended                            The classification will be according to                 assurance of the safety and effectiveness
                                             the Federal Food, Drug, and Cosmetic                         the criteria under section 513(a)(1) of                 of the device.
                                             Act (FD&C Act).                                              the FD&C Act. Although the device was                      Therefore, on June 29, 2017, FDA
                                               FDA may take a variety of actions in                       automatically placed within class III,                  issued an order to the requester
                                             appropriate circumstances to classify or                     the De Novo classification is considered                classifying the device into class II. FDA
                                             reclassify a device into class I or II. We                   to be the initial classification of the                 is codifying the classification of the
                                             may issue an order finding a new device                      device.                                                 device by adding 21 CFR 864.7010. We
                                             to be substantially equivalent under                            We believe this De Novo classification               have named the generic type of device
                                             section 513(i) of the FD&C Act (21                           will enhance patients’ access to                        flow cytometric test system for
                                             U.S.C. 360c(i)) to a predicate device that                   beneficial innovation, in part by                       hematopoietic neoplasms, and it is
                                             does not require premarket approval.                         reducing regulatory burdens. When FDA                   identified as a device that consists of
                                             We determine whether a new device is                         classifies a device into class I or II via              reagents for immunophenotyping of
                                             substantially equivalent to a predicate                      the De Novo process, the device can
                                                                                                                                                                  human cells in relation to the level of
                                             by means of the procedures for                               serve as a predicate for future devices of
                                                                                                                                                                  expression, antigen density, and
                                             premarket notification under section                         that type, including for 510(k)s (see 21
                                                                                                                                                                  distribution of specific cellular markers.
                                             510(k) of the FD&C Act and part 807 (21                      U.S.C. 360c(f)(2)(B)(i)). As a result, other
                                                                                                                                                                  These reagents are used as an aid in the
                                             U.S.C. 360(k) and 21 CFR part 807,                           device sponsors do not have to submit
                                                                                                                                                                  differential diagnosis or monitoring of
                                             respectively).                                               a De Novo request or premarket
                                               FDA may also classify a device                                                                                     hematologically abnormal patients
                                                                                                          approval application in order to market
                                             through ‘‘De Novo’’ classification, a                                                                                having or suspected of having
                                                                                                          a substantially equivalent device (see 21
                                             common name for the process                                                                                          hematopoietic neoplasms. The results
                                                                                                          U.S.C. 360c(i), defining ‘‘substantial
                                             authorized under section 513(f)(2) of the                                                                            should be interpreted by a pathologist or
                                                                                                          equivalence’’). Instead, sponsors can use
                                             FD&C Act. Section 207 of the Food and                                                                                equivalent professional in conjunction
                                                                                                          the less-burdensome 510(k) process,
                                             Drug Administration Modernization Act                                                                                with other clinical and laboratory
                                                                                                          when necessary, to market their device.
                                             of 1997 established the first procedure                                                                              findings.
                                             for De Novo classification (Pub. L. 105–                     II. De Novo Classification                                 FDA has identified the following risks
                                             115). Section 607 of the Food and Drug                          On October 3, 2016, Beckman Coulter                  to health associated specifically with
                                             Administration Safety and Innovation                         submitted a request for De Novo                         this type of device and the measures
                                             Act modified the De Novo application                         classification of the ClearLLab Reagents                required to mitigate these risks in table
                                             process by adding a second procedure                         (T1, T2, B1, B2, M). FDA reviewed the                   1.

                                                         TABLE 1—FLOW CYTOMETRIC TEST FOR HEMATOPOIETIC NEOPLASMS RISKS AND MITIGATION MEASURES
                                                                                Identified risks                                                           Mitigation measures/21 CFR section

                                             Incorrect test results (false negatives or false positives) .........................       General Controls and Special Controls (1) and (2) (21 CFR
                                                                                                                                          864.7010(b)(1) and (2)).
                                             Incorrect interpretation of device results by the end user .......................          General Controls and Special Controls (1), (2), and (3) (21 CFR
                                                                                                                                          864.7010(b)(1), (2), and (3)).
                                             Patient harm from specimen(s) collection ................................................   General Controls and Special Control (1) (21 CFR 864.7010(b)(1)).
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                                               FDA has determined that special                            of safety and effectiveness. For a device               the special controls named in this final
                                             controls, in combination with the                            to fall within this classification, and                 order. The necessary special controls
                                             general controls, address these risks to                     thus avoid automatic classification in                  appear in the regulation codified by this
                                             health and provide reasonable assurance                      class III, it would have to comply with                 order. This device is subject to



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                                                          Federal Register / Vol. 82, No. 247 / Wednesday, December 27, 2017 / Rules and Regulations                                          61165

                                             premarket notification requirements                     immunophenotyping of human cells in                   the specific sample types for which the
                                             under section 510(k) of the FD&C Act.                   relation to the level of expression,                  test is indicated for use.
                                                                                                     antigen density, and distribution of                     (B) If applicable, device performance
                                             III. Analysis of Environmental Impact
                                                                                                     specific cellular markers. These reagents             data from a clinical study demonstrating
                                                The Agency has determined under 21                   are used as an aid in the differential                clinical validity for parameters not
                                             CFR 25.34(b) that this action is of a type              diagnosis or monitoring of                            established in a predicate device of this
                                             that does not individually or                           hematologically abnormal patients                     generic type using well-characterized
                                             cumulatively have a significant effect on               having or suspected of having                         prospectively obtained clinical
                                             the human environment. Therefore,                       hematopoietic neoplasms. The results                  specimens including all hematologic
                                             neither an environmental assessment                     should be interpreted by a pathologist or             neoplasms and the specific sample
                                             nor an environmental impact statement                   equivalent professional in conjunction                types for which the device is indicated
                                             is required.                                            with other clinical and laboratory                    for use.
                                             IV. Paperwork Reduction Act of 1995                     findings.                                                (C) Device precision data using
                                                                                                        (b) Classification. Class II (special              clinical samples to evaluate the within-
                                               This final order establishes special                  controls). The special controls for this              lot, between-lot, within-run, between
                                             controls that refer to previously                       device are:                                           run, site-to-site and total variation using
                                             approved collections of information                        (1) Premarket notification                         a minimum of three sites, of which at
                                             found in other FDA regulations. These                   submissions must include the following                least two sites must be external sites.
                                             collections of information are subject to               information:                                          Results shall be reported as the standard
                                             review by the Office of Management and                     (i) The indications for use must                   deviation and percentage coefficient of
                                             Budget (OMB) under the Paperwork                        indicate the clinical hematopoietic                   variation for each level tested.
                                             Reduction Act of 1995 (44 U.S.C. 3501–                  neoplasms for which the assay was                        (D) Reproducibility data generated
                                             3520). The collections of information in                designed and validated, for example,                  using a minimum of three lots of
                                             the guidance document ‘‘De Novo                         chronic leukemia or lymphoma.                         reagents to evaluate mean fluorescence
                                             Classification Process (Evaluation of                      (ii) A detailed device description                 intensity and variability of the recovery
                                             Automatic Class III Designation)’’ have                 including the following:                              of the different markers and/or cell
                                             been approved under OMB control                            (A) A detailed description of all test             populations.
                                             number 0910–0844; the collections of                    components, all required reagents, and                   (E) Data from specimen and reagent
                                             information in 21 CFR part 814,                         all instrumentation and equipment,                    carryover testing performed using well-
                                             subparts A through E, regarding                         including illustrations or photographs of             established methods (e.g., CLSI H26–
                                             premarket approval, have been                           nonstandard equipment or methods.                     A2).
                                             approved under OMB control number                          (B) Detailed documentation of the
                                                                                                                                                              (F) Specimen and prepared sample
                                             0910–0231; the collections of                           device software including, but not
                                                                                                                                                           stability data established for each
                                             information in part 807, subpart E,                     limited to, standalone software
                                                                                                                                                           specimen matrix in the anticoagulant
                                             regarding premarket notification                        applications and hardware-based
                                                                                                                                                           combinations and storage/use
                                             submissions, have been approved under                   devices that incorporate software.
                                                                                                                                                           conditions that will be indicated.
                                             OMB control number 0910–0120; the                          (C) A detailed description of
                                                                                                                                                              (G) A study testing anticoagulant
                                             collections of information in 21 CFR                    methodology and assay procedure.
                                                                                                        (D) A description of appropriate                   equivalency in all claimed specimen
                                             part 820 have been approved under
                                                                                                     internal and external quality control                 type/anticoagulant combinations using
                                             OMB control number 0910–0073; and
                                                                                                     materials that are recommended or                     clinical specimens that are
                                             the collections of information in 21 CFR
                                                                                                     provided. The description must identify               representative of the intended use
                                             parts 801 and 809, regarding labeling,
                                                                                                     those control elements that are                       population of the device.
                                             have been approved under OMB control
                                                                                                     incorporated into the testing procedure,                 (H) Analytic sensitivity data using a
                                             number 0910–0485.
                                                                                                     if applicable.                                        dilution panel created from clinical
                                             List of Subjects in 21 CFR Part 864                        (E) Detailed specifications for sample             samples.
                                               Blood, Medical devices, Packaging                     collection, processing, and storage.                     (I) Analytical specificity data,
                                             and containers.                                            (F) Detailed specification of the                  including interference and cross-
                                               Therefore, under the Federal Food,                    criteria for test results interpretation and          contamination.
                                             Drug, and Cosmetic Act and under                        reporting including pre-established                      (J) Device stability data, including
                                             authority delegated to the Commissioner                 templates.                                            real-time stability of reagents under
                                             of Food and Drugs, 21 CFR part 864 is                      (G) If applicable, based on the output             various storage times and temperatures.
                                             amended as follows:                                     of the results, a description of the                     (K) For devices that include
                                                                                                     specific number of events to collect,                 polyclonal antibodies, Fluorescence
                                             PART 864—HEMATOLOGY AND                                 result outputs, and analytical sensitivity            Minus One (FMO) studies to evaluate
                                             PATHOLOGY DEVICES                                       of the assay that will be reported.                   non-specific binding for all polyclonal
                                                                                                        (iii) Information that demonstrates the            antibodies. Each FMO tube is compared
                                             ■  1. The authority citation for part 864               performance characteristics of the test,              to reagent reference to demonstrate that
                                             is revised to read as follows:                          including:                                            no additional population appears when
                                               Authority: 21 U.S.C. 351, 360, 360c, 360e,               (A) Device performance data from                   one marker is absent. Pre-specified
                                             360j, 360l, 371.                                        either a method comparison study                      acceptance criteria must be provided
                                             ■ 2. Add § 864.7010 to subpart H to read                comparing the specific lymphocyte cell                and followed.
                                                                                                     markers to a predicate device or data                    (L) For devices indicated for use as a
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                                             as follows:
                                                                                                     collected through a clinical study                    semi-quantitative test, linearity data
                                             § 864.7010 Flow cytometric test system for              demonstrating clinical validity using                 using a dilution panel created from
                                             hematopoietic neoplasms.                                well-characterized clinical specimens.                clinical samples.
                                               (a) Identification. A flow cytometric                 Samples must be representative of the                    (M) For devices indicated for use as
                                             test for hematopoietic neoplasms is a                   intended use population of the device                 a semi-quantitative test, clinically
                                             device that consists of reagents for                    including hematologic neoplasms and                   relevant analytical sensitivity data,


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                                             61166        Federal Register / Vol. 82, No. 247 / Wednesday, December 27, 2017 / Rules and Regulations

                                             including limit of blank, limit of                      classifying the computerized behavioral               We determine whether a new device is
                                             detection, and limit of quantification.                 therapy device for psychiatric disorders              substantially equivalent to a predicate
                                                (iv) Identification of risk mitigation               into class II (special controls). The                 by means of the procedures for
                                             elements used by the device, including                  special controls that apply to the device             premarket notification under section
                                             a detailed description of all additional                type are identified in this order and will            510(k) of the FD&C Act and part 807 (21
                                             procedures, methods, and practices                      be part of the codified language for the              U.S.C. 360(k) and 21 CFR part 807,
                                             incorporated into the instructions for                  computerized behavioral therapy device                respectively).
                                             use that mitigate risks associated with                 for psychiatric disorders’ classification.               FDA may also classify a device
                                             testing the device.                                     We are taking this action because we
                                                (2) The 21 CFR 809.10 compliant                                                                            through ‘‘De Novo’’ classification, a
                                                                                                     have determined that classifying the                  common name for the process
                                             labeling must include the following:                    device into class II (special controls)
                                                (i) The intended use statement in the                                                                      authorized under section 513(f)(2) of the
                                                                                                     will provide a reasonable assurance of                FD&C Act. Section 207 of the Food and
                                             21 CFR 809.10(a)(2) and (b)(2)                          safety and effectiveness of the device.
                                             compliant labeling must include a                                                                             Drug Administration Modernization Act
                                                                                                     We believe this action will also enhance              of 1997 established the first procedure
                                             statement that the results should be                    patients’ access to beneficial innovative
                                             interpreted by a pathologist or                                                                               for De Novo classification (Pub. L. 105–
                                                                                                     devices, in part by reducing regulatory
                                             equivalent professional in conjunction                                                                        115). Section 607 of the Food and Drug
                                                                                                     burdens.
                                             with other clinical and laboratory                                                                            Administration Safety and Innovation
                                                                                                     DATES: This order is effective December               Act modified the De Novo application
                                             findings. The intended use statement
                                                                                                     27, 2017. The classification was                      process by adding a second procedure
                                             must also include information on what
                                                                                                     applicable on September 14, 2017.                     (Pub. L. 112–144). A device sponsor
                                             the device detects and measures,
                                                                                                     FOR FURTHER INFORMATION CONTACT:                      may utilize either procedure for De
                                             whether the device is qualitative, semi-
                                             quantitative, and/or quantitative, the                  Patrick Antkowiak, Center for Devices                 Novo classification.
                                             clinical indications for which the device               and Radiological Health, Food and Drug
                                                                                                                                                              Under the first procedure, the person
                                             is to be used, and the specific                         Administration, 10903 New Hampshire
                                                                                                                                                           submits a 510(k) for a device that has
                                             population(s) for which the device is                   Ave., Bldg. 66, Rm. 2663, Silver Spring,
                                                                                                     MD 20993–0002, 240–402–3705,                          not previously been classified. After
                                             intended.                                                                                                     receiving an order from FDA classifying
                                                (ii) A detailed description of the                   Patrick.Antkowiak@fda.hhs.gov.
                                                                                                                                                           the device into class III under section
                                             performance studies conducted to                        SUPPLEMENTARY INFORMATION:
                                                                                                                                                           513(f)(1) of the FD&C Act, the person
                                             comply with paragraph (b)(1)(iii) of this               I. Background                                         then requests a classification under
                                             section and a summary of the results.                                                                         section 513(f)(2).
                                                (3) As part of the risk management                      Upon request, FDA has classified the
                                             activities performed under 21 CFR                       computerized behavioral therapy device                   Under the second procedure, rather
                                             820.30 design controls, product labeling                for psychiatric disorders as class II                 than first submitting a 510(k) and then
                                             and instruction manuals must include                    (special controls), which we have                     a request for classification, if the person
                                             clear examples of all expected                          determined will provide a reasonable                  determines that there is no legally
                                             phenotypic patterns and gating                          assurance of safety and effectiveness. In             marketed device upon which to base a
                                             strategies using well-defined clinical                  addition, we believe this action will                 determination of substantial
                                             samples representative of both abnormal                 enhance patients’ access to beneficial                equivalence, that person requests a
                                             and normal cellular populations. These                  innovation, in part by reducing                       classification under section 513(f)(2) of
                                             samples must be selected based upon                     regulatory burdens by placing the                     the FD&C Act.
                                             the indications described in paragraph                  device into a lower device class than the                Under either procedure for De Novo
                                             (b)(1)(i) of this section.                              automatic class III assignment.                       classification, FDA shall classify the
                                                                                                        The automatic assignment of class III              device by written order within 120 days.
                                               Dated: December 20, 2017.
                                                                                                     occurs by operation of law and without                The classification will be according to
                                             Leslie Kux,                                             any action by FDA, regardless of the
                                             Associate Commissioner for Policy.                                                                            the criteria under section 513(a)(1) of
                                                                                                     level of risk posed by the new device.                the FD&C Act. Although the device was
                                             [FR Doc. 2017–27855 Filed 12–26–17; 8:45 am]            Any device that was not in commercial                 automatically placed within class III,
                                             BILLING CODE 4164–01–P                                  distribution before May 28, 1976, is                  the De Novo classification is considered
                                                                                                     automatically classified as, and remains
                                                                                                                                                           to be the initial classification of the
                                                                                                     within, class III and requires premarket
                                             DEPARTMENT OF HEALTH AND                                                                                      device.
                                                                                                     approval unless and until FDA takes an
                                             HUMAN SERVICES                                          action to classify or reclassify the device              We believe this De Novo classification
                                                                                                     (see 21 U.S.C. 360c(f)(1)). We refer to               will enhance patients’ access to
                                             Food and Drug Administration                                                                                  beneficial innovation, in part by
                                                                                                     these devices as ‘‘postamendments
                                                                                                     devices’’ because they were not in                    reducing regulatory burdens. When FDA
                                             21 CFR Part 882                                                                                               classifies a device into class I or II via
                                                                                                     commercial distribution prior to the
                                             [Docket No. FDA–2017–N–6642]                            date of enactment of the Medical Device               the De Novo process, the device can
                                                                                                     Amendments of 1976, which amended                     serve as a predicate for future devices of
                                             Medical Devices; Neurological                           the Federal Food, Drug, and Cosmetic                  that type, including for 510(k)s (see 21
                                             Devices; Classification of the                          Act (FD&C Act).                                       U.S.C. 360c(f)(2)(B)(i)). As a result, other
                                             Computerized Behavioral Therapy                            FDA may take a variety of actions in               device sponsors do not have to submit
                                             Device for Psychiatric Disorders                        appropriate circumstances to classify or              a De Novo request or premarket
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                                             AGENCY:    Food and Drug Administration,                reclassify a device into class I or II. We            approval application in order to market
                                             HHS.                                                    may issue an order finding a new device               a substantially equivalent device (see 21
                                             ACTION:   Final order.                                  to be substantially equivalent under                  U.S.C. 360c(i), defining ‘‘substantial
                                                                                                     section 513(i) of the FD&C Act (21                    equivalence’’). Instead, sponsors can use
                                             SUMMARY: The Food and Drug                              U.S.C. 360c(i)) to a predicate device that            the less-burdensome 510(k) process,
                                             Administration (FDA or we) is                           does not require premarket approval.                  when necessary, to market their device.


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Document Created: 2017-12-27 02:23:46
Document Modified: 2017-12-27 02:23:46
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 December 27, 2017. The classification was applicable on June 29, 2017.
ContactRyan Lubert, Center for Devices and Radiological Health, Food and Drug Administration, 10903 New Hampshire Ave., Bldg. 66, Rm. 4545, Silver Spring, MD 20993-0002, 240-402-6357, [email protected]
FR Citation82 FR 61163 
CFR AssociatedBlood; Medical Devices and Packaging and Containers

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