83_FR_29115 83 FR 28994 - Medical Devices; Immunology and Microbiology Devices; Classification of the Next Generation Sequencing Based Tumor Profiling Test

83 FR 28994 - Medical Devices; Immunology and Microbiology Devices; Classification of the Next Generation Sequencing Based Tumor Profiling Test

DEPARTMENT OF HEALTH AND HUMAN SERVICES
Food and Drug Administration

Federal Register Volume 83, Issue 121 (June 22, 2018)

Page Range28994-28996
FR Document2018-13406

The Food and Drug Administration (FDA or we) is classifying the next generation sequencing based tumor profiling test 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 next generation sequencing based tumor profiling test'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 83 Issue 121 (Friday, June 22, 2018)
[Federal Register Volume 83, Number 121 (Friday, June 22, 2018)]
[Rules and Regulations]
[Pages 28994-28996]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-13406]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

21 CFR Part 866

[Docket No. FDA-2018-N-1929]


Medical Devices; Immunology and Microbiology Devices; 
Classification of the Next Generation Sequencing Based Tumor Profiling 
Test

AGENCY: Food and Drug Administration, HHS.

ACTION: Final order.

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

SUMMARY: The Food and Drug Administration (FDA or we) is classifying 
the next generation sequencing based tumor profiling test 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 next generation sequencing based tumor profiling test'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 June 22, 2018. The classification was 
applicable on November 15, 2017.

FOR FURTHER INFORMATION CONTACT: Scott McFarland, Center for Devices 
and Radiological Health, Food and Drug Administration, 10903 New 
Hampshire Ave., Bldg. 66, Rm. 4676, Silver Spring, MD, 20993-0002, 301-
796-6217, [email protected].

SUPPLEMENTARY INFORMATION: 

I. Background

    Upon request, FDA has classified the next generation sequencing 
based tumor profiling test 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 (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 to a predicate device that does not require 
premarket approval (see 21 U.S.C. 360c(i)). 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) & 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 (21 U.S.C. 360c(f)(2)). 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 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 (21 U.S.C. 360c(a)(1)). Although the device 
was automatically 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 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 September 25, 2017, Memorial Sloan-Kettering Cancer Center 
Department of Pathology submitted a request for De Novo classification 
of the MSK-IMPACT (Integrated Mutation Profiling of Actionable Cancer 
Targets). 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 November 15, 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 866.6080. We have named 
the generic type of device next generation sequencing (NGS) based tumor 
profiling test, and it is identified as a qualitative in vitro 
diagnostic test intended for NGS analysis of tissue

[[Page 28995]]

specimens from malignant solid neoplasms to detect somatic mutations in 
a broad panel of targeted genes to aid in the management of previously 
diagnosed cancer patients by qualified health care professionals.
    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--Next Generation Sequencing Based Tumor Profiling Test Risks and
                           Mitigation Measures
------------------------------------------------------------------------
            Identified risk                    Mitigation measures
------------------------------------------------------------------------
Incorrect performance of the test        General controls and Special
 leading to false positives, false        control (1) (21 CFR
 negatives.                               866.6080(b)(1)).
Incorrect interpretation of test         General controls; Special
 results.                                 control (1)(21 CFR
                                          866.6080(b)(1)(iii)(E)); and
                                          Special control (2) (21 CFR
                                          866.6080(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).

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 and guidance. 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 collection of 
information in part 814, subparts A through E, regarding premarket 
approval, have been approved under OMB control number 0910-0231; the 
collection 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.


0
2. Add Sec.  866.6080 to subpart G to read as follows:


Sec.  866.6080  Next generation sequencing based tumor profiling test.

    (a) Identification. A next generation sequencing (NGS) based tumor 
profiling test is a qualitative in vitro diagnostic test intended for 
NGS analysis of tissue specimens from malignant solid neoplasms to 
detect somatic mutations in a broad panel of targeted genes to aid in 
the management of previously diagnosed cancer patients by qualified 
health care professionals.
    (b) Classification. Class II (special controls). The special 
controls for this device are:
    (1) Premarket notification submissions must include the following 
information:
    (i) A detailed description of all somatic mutations that are 
intended to be detected by the test and that are adequately supported 
in accordance with paragraph (b)(1)(v) of this section and reported in 
the test results in accordance with paragraph (b)(2)(iv) of this 
section, including:
    (A) A listing of mutations that are cancer mutations with evidence 
of clinical significance.
    (B) As appropriate, a listing of mutations that are cancer 
mutations with potential clinical significance.
    (ii) The indications for use must specify the following:
    (A) The test is indicated for previously diagnosed cancer patients.
    (B) The intended specimen type(s) and matrix (e.g., formalin-fixed, 
paraffin-embedded tumor tissue).
    (C) The mutation types (e.g., single nucleotide variant, insertion, 
deletion, copy number variation or gene rearrangement) for which 
validation data has been provided.
    (D) The name of the testing facility or facilities, as applicable.
    (iii) A detailed device description including the following:
    (A) A description of the test in terms of genomic coverage, as 
follows:
    (1) Tabulated summary of all mutations reported, grouped according 
to gene and target region within each gene, along with the specific 
cDNA and amino acid positions for each mutation.
    (2) A description of any within-gene targeted regions that cannot 
be reported and the data behind such conclusion.
    (B) Specifications for specimen requirements including any specimen 
collection devices and preservatives, specimen volume, minimum tumor 
content, specimen handling, DNA extraction, and criteria for DNA 
quality and quantity metrics that are prerequisite to performing the 
assay.
    (C) A detailed description of all test components, reagents, 
instrumentation, and software required. Detailed documentation of the 
device software including but not limited to, software applications and 
hardware-based devices that incorporate software.
    (D) A detailed description of the methodology and protocols for 
each step of the test, including description of the quality metrics, 
thresholds, and filters at each step of the test that are implemented 
for final result reporting and a description of the metrics for run-
failures, specimen-failures, invalids, as applicable.
    (E) A list of links provided by the device to the user or accessed 
by the device for internal or external information (e.g., decision 
rules or databases) supporting clinical significance of test results 
for the panel

[[Page 28996]]

or its elements in accordance with paragraphs (b)(1)(v) and (b)(2)(vi) 
of this section.
    (F) A description of internal and external controls that are 
recommended or provided and control procedures. The description must 
identify those control elements that are incorporated into the testing 
procedure.
    (iv) Information demonstrating analytical validity of the device 
according to analytical performance characteristics, evaluated either 
specifically for each gene/mutation or, when clinically and practically 
justified, using a representative approach based on other mutations of 
the same type, including:
    (A) Data that adequately supports the intended specimen type (e.g., 
formalin-fixed, paraffin-embedded tumor tissue), specimen handling 
protocol, and nucleic acid purification for specific tumor types or for 
a pan-tumor claim.
    (B) A summary of the empirical evidence obtained to demonstrate how 
the analytical quality metrics and thresholds were optimized.
    (C) Device precision data using clinical samples to adequately 
evaluate intra-run, inter-run, and total variability. The samples must 
cover all mutation types tested (both positive and negative samples) 
and include samples near the limit of detection of the device. 
Precision must be assessed by agreement within replicates on the assay 
final result for each representative mutation, as applicable, and also 
supported by sequencing quality metrics for targeted regions across the 
panel.
    (D) Description of the protocols and/or data adequately 
demonstrating the interchangeability of reagent lots and multiplexing 
barcodes.
    (E) A description of the nucleic acid assay input concentration 
range and the evidence to adequately support the range.
    (F) A description of the data adequately supporting the limit of 
detection of the device.
    (G) A description of the data to adequately support device accuracy 
using clinical specimens representing the intended specimen type and 
range of tumor types, as applicable.
    (1) Clinical specimens tested to support device accuracy must 
adequately represent the list of cancer mutations with evidence of 
clinical significance to be detected by the device.
    (2) For mutations that are designated as cancer mutations with 
evidence of clinical significance and that are based on evidence 
established in the intended specimen type (e.g., tumor tissues) but for 
a different analyte type (e.g., protein, RNA) and/or a measurement 
(e.g., incorporating a score or copy number) and/or with an alternative 
technology (e.g., IHC, RT-qPCR, FISH), evidence of accuracy must 
include clinically adequate concordance between results for the 
mutation and the medically established biomarker test (e.g., evidence 
generated from an appropriately sized method comparison study using 
clinical specimens from the target population).
    (3) For qualitative DNA mutations not described in paragraph 
(b)(1)(iv)(G)(2) of this section, accuracy studies must include both 
mutation-positive and wild-type results.
    (H) Adequate device stability information.
    (v) Information that adequately supports the clinical significance 
of the panel must include:
    (A) Criteria established on what types and levels of evidence will 
clinically validate a mutation as a cancer mutation with evidence of 
clinical significance versus a cancer mutation with potential clinical 
significance.
    (B) For representative mutations of those designated as cancer 
mutations with evidence of clinical significance, a description of the 
clinical evidence associated with such mutations, such as clinical 
evidence presented in professional guidelines, as appropriate, with 
method comparison performance data as described in paragraph 
(b)(1)(iv)(G) of this section.
    (C) For all other mutations designated as cancer mutations with 
potential clinical significance, a description of the rationale for 
reporting.
    (2) The 21 CFR 809.10 compliant labeling and any product 
information and test report generated, must include the following, as 
applicable:
    (i) The intended use statement must specify the following:
    (A) The test is indicated for previously diagnosed cancer patients.
    (B) The intended specimen type(s) and matrix (e.g., formalin-fixed, 
paraffin-embedded tumor tissue).
    (C) The mutation types (e.g., single nucleotide variant, insertion, 
deletion, copy number variation or gene rearrangement) for which 
validation data has been provided.
    (D) The name of the testing facility or facilities, as applicable.
    (ii) A description of the device and summary of the results of the 
performance studies performed in accordance with paragraphs 
(b)(1)(iii), (b)(1)(iv), and (b)(1)(v) of this section.
    (iii) A description of applicable test limitations, including, for 
device specific mutations validated with method comparison data to a 
medically established test in the same intended specimen type, 
appropriate description of the level of evidence and/or the differences 
between next generation sequencing results and results from the 
medically established test (e.g., as described in professional 
guidelines).
    (iv) A listing of all somatic mutations that are intended to be 
detected by the device and that are reported in the test results under 
the following two categories or equivalent designations, as 
appropriate: ``cancer mutations panel with evidence of clinical 
significance'' or ``cancer mutations panel with potential clinical 
significance.''
    (v) For mutations reported under the category of ``cancer mutations 
panel with potential clinical significance,'' a limiting statement that 
states ``For the mutations listed in [cancer mutations panel with 
potential clinical significance or equivalent designation], the 
clinical significance has not been demonstrated [with adequate clinical 
evidence (e.g., by professional guidelines) in accordance with 
paragraph (b)(1)(v) of this section] or with this test.''
    (vi) For mutations under the category of ``cancer mutations panel 
with evidence of clinical significance,'' or equivalent designation, 
link(s) for physicians to access internal or external information 
concerning decision rules or conclusions about the level of evidence 
for clinical significance that is associated with the marker in 
accordance with paragraph (b)(1)(v) of this section.

    Dated: June 18, 2018.
Leslie Kux,
Associate Commissioner for Policy.
[FR Doc. 2018-13406 Filed 6-21-18; 8:45 am]
 BILLING CODE 4164-01-P



                                             28994                Federal Register / Vol. 83, No. 121 / Friday, June 22, 2018 / Rules and Regulations

                                               (g) Sunset provision. The provisions                  by placing the device into a lower                        Under either procedure for De Novo
                                             of this section will no longer be effective             device class than the automatic class III              classification, FDA is required to
                                             on August 2, 2019, unless we terminate                  assignment.                                            classify the device by written order
                                             them earlier or extend them beyond that                    The automatic assignment of class III               within 120 days. The classification will
                                             date by notice of a final rule in the                   occurs by operation of law and without                 be according to the criteria under
                                             Federal Register.                                       any action by FDA, regardless of the                   section 513(a)(1) of the FD&C Act (21
                                             [FR Doc. 2018–13359 Filed 6–21–18; 8:45 am]             level of risk posed by the new device.                 U.S.C. 360c(a)(1)). Although the device
                                             BILLING CODE 4191–02–P
                                                                                                     Any device that was not in commercial                  was automatically within class III, the
                                                                                                     distribution before May 28, 1976, is                   De Novo classification is considered to
                                                                                                     automatically classified as, and remains               be the initial classification of the device.
                                                                                                     within, class III and requires premarket                  We believe this De Novo classification
                                             DEPARTMENT OF HEALTH AND                                approval unless and until FDA takes an                 will enhance patients’ access to
                                             HUMAN SERVICES                                          action to classify or reclassify the device            beneficial innovation, in part by
                                             Food and Drug Administration                            (see 21 U.S.C. 360c(f)(1)). We refer to                reducing regulatory burdens. When FDA
                                                                                                     these devices as ‘‘postamendments                      classifies a device into class I or II via
                                             21 CFR Part 866                                         devices’’ because they were not in                     the De Novo process, the device can
                                                                                                     commercial distribution prior to the                   serve as a predicate for future devices of
                                             [Docket No. FDA–2018–N–1929]                            date of enactment of the Medical Device                that type, including for 510(k)s (see 21
                                                                                                     Amendments of 1976, which amended                      U.S.C. 360c(f)(2)(B)(i)). As a result, other
                                             Medical Devices; Immunology and                         the Federal Food, Drug, and Cosmetic                   device sponsors do not have to submit
                                             Microbiology Devices; Classification of                 Act (FD&C Act).                                        a De Novo request or PMA in order to
                                             the Next Generation Sequencing                             FDA may take a variety of actions in                market a substantially equivalent device
                                             Based Tumor Profiling Test                              appropriate circumstances to classify or               (see 21 U.S.C. 360c(i), defining
                                             AGENCY:    Food and Drug Administration,                reclassify a device into class I or II. We             ‘‘substantial equivalence’’). Instead,
                                             HHS.                                                    may issue an order finding a new device                sponsors can use the less-burdensome
                                                                                                     to be substantially equivalent under                   510(k) process, when necessary, to
                                             ACTION:   Final order.                                  section 513(i) of the FD&C Act to a                    market their device.
                                             SUMMARY:   The Food and Drug                            predicate device that does not require
                                                                                                     premarket approval (see 21 U.S.C.                      II. De Novo Classification
                                             Administration (FDA or we) is
                                             classifying the next generation                         360c(i)). We determine whether a new                      On September 25, 2017, Memorial
                                             sequencing based tumor profiling test                   device is substantially equivalent to a                Sloan-Kettering Cancer Center
                                             into class II (special controls). The                   predicate by means of the procedures                   Department of Pathology submitted a
                                             special controls that apply to the device               for premarket notification under section               request for De Novo classification of the
                                             type are identified in this order and will              510(k) of the FD&C Act and Part 807 (21                MSK–IMPACT (Integrated Mutation
                                             be part of the codified language for the                U.S.C. 360(k) & 21 CFR part 807,                       Profiling of Actionable Cancer Targets).
                                             next generation sequencing based tumor                  respectively).                                         FDA reviewed the request in order to
                                             profiling test’s classification. We are                    FDA may also classify a device                      classify the device under the criteria for
                                                                                                     through ‘‘De Novo’’ classification, a                  classification set forth in section
                                             taking this action because we have
                                                                                                     common name for the process                            513(a)(1) of the FD&C Act.
                                             determined that classifying the device
                                                                                                     authorized under section 513(f)(2) of the                 We classify devices into class II if
                                             into class II (special controls) will                                                                          general controls by themselves are
                                                                                                     FD&C Act (21 U.S.C. 360c(f)(2)). Section
                                             provide a reasonable assurance of safety                                                                       insufficient to provide reasonable
                                                                                                     207 of the Food and Drug
                                             and effectiveness of the device. We                                                                            assurance of safety and effectiveness,
                                                                                                     Administration Modernization Act of
                                             believe this action will also enhance                                                                          but there is sufficient information to
                                                                                                     1997 established the first procedure for
                                             patients’ access to beneficial innovative                                                                      establish special controls that, in
                                                                                                     De Novo classification (Pub. L. 105–
                                             devices, in part by reducing regulatory                                                                        combination with the general controls,
                                                                                                     115). Section 607 of the Food and Drug
                                             burdens.                                                                                                       provide reasonable assurance of the
                                                                                                     Administration Safety and Innovation
                                             DATES: This order is effective June 22,                 Act modified the De Novo application                   safety and effectiveness of the device for
                                             2018. The classification was applicable                 process by adding a second procedure                   its intended use (see 21 U.S.C.
                                             on November 15, 2017.                                   (Pub. L. 112–144). A device sponsor                    360c(a)(1)(B)). After review of the
                                             FOR FURTHER INFORMATION CONTACT:                        may utilize either procedure for De                    information submitted in the request,
                                             Scott McFarland, Center for Devices and                 Novo classification.                                   we determined that the device can be
                                             Radiological Health, Food and Drug                         Under the first procedure, the person               classified into class II with the
                                             Administration, 10903 New Hampshire                     submits a 510(k) for a device that has                 establishment of special controls. FDA
                                             Ave., Bldg. 66, Rm. 4676, Silver Spring,                not previously been classified. After                  has determined that these special
                                             MD, 20993–0002, 301–796–6217,                           receiving an order from FDA classifying                controls, in addition to the general
                                             Scott.McFarland@fda.hhs.gov.                            the device into class III under section                controls, will provide reasonable
                                             SUPPLEMENTARY INFORMATION:                              513(f)(1) of the FD&C Act, the person                  assurance of the safety and effectiveness
                                                                                                     then requests a classification under                   of the device.
                                             I. Background                                           section 513(f)(2).                                        Therefore, on November 15, 2017,
                                               Upon request, FDA has classified the                     Under the second procedure, rather                  FDA issued an order to the requester
                                             next generation sequencing based tumor                  than first submitting a 510(k) and then                classifying the device into class II. FDA
                                             profiling test as class II (special                     a request for classification, if the person            is codifying the classification of the
daltland on DSKBBV9HB2PROD with RULES




                                             controls), which we have determined                     determines that there is no legally                    device by adding 21 CFR 866.6080. We
                                             will provide a reasonable assurance of                  marketed device upon which to base a                   have named the generic type of device
                                             safety and effectiveness. In addition, we               determination of substantial                           next generation sequencing (NGS) based
                                             believe this action will enhance                        equivalence, that person requests a                    tumor profiling test, and it is identified
                                             patients’ access to beneficial innovation,              classification under section 513(f)(2) of              as a qualitative in vitro diagnostic test
                                             in part by reducing regulatory burdens                  the FD&C Act.                                          intended for NGS analysis of tissue


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                                                                      Federal Register / Vol. 83, No. 121 / Friday, June 22, 2018 / Rules and Regulations                                                    28995

                                             specimens from malignant solid                                    diagnosed cancer patients by qualified                     this type of device and the measures
                                             neoplasms to detect somatic mutations                             health care professionals.                                 required to mitigate these risks in table
                                             in a broad panel of targeted genes to aid                           FDA has identified the following risks                   1.
                                             in the management of previously                                   to health associated specifically with

                                                     TABLE 1—NEXT GENERATION SEQUENCING BASED TUMOR PROFILING TEST RISKS AND MITIGATION MEASURES
                                                                                    Identified risk                                                                        Mitigation measures

                                             Incorrect performance of the test leading to false positives, false nega-                          General controls and Special control (1) (21 CFR 866.6080(b)(1)).
                                               tives.
                                             Incorrect interpretation of test results .......................................................   General controls; Special control (1)(21 CFR 866.6080(b)(1)(iii)(E));
                                                                                                                                                 and Special control (2) (21 CFR 866.6080(b)(2)).



                                                FDA has determined that special                                List of Subjects in 21 CFR Part 866                           (A) The test is indicated for
                                             controls, in combination with the                                   Biologics, Laboratories, Medical                         previously diagnosed cancer patients.
                                             general controls, address these risks to                          devices.                                                      (B) The intended specimen type(s)
                                             health and provide reasonable assurance                                                                                      and matrix (e.g., formalin-fixed,
                                             of safety and effectiveness. In order for                           Therefore, under the Federal Food,                       paraffin-embedded tumor tissue).
                                             a device to fall within this classification,                      Drug, and Cosmetic Act and under                              (C) The mutation types (e.g., single
                                             and thus avoid automatic classification                           authority delegated to the Commissioner                    nucleotide variant, insertion, deletion,
                                             in class III, it would have to comply                             of Food and Drugs, 21 CFR part 866 is                      copy number variation or gene
                                             with the special controls named in this                           amended as follows:                                        rearrangement) for which validation
                                             final order. The necessary special                                                                                           data has been provided.
                                                                                                               PART 866—IMMUNOLOGY AND
                                             controls appear in the regulation                                                                                               (D) The name of the testing facility or
                                                                                                               MICROBIOLOGY DEVICES
                                             codified by this order. This device is                                                                                       facilities, as applicable.
                                             subject to premarket notification                                 ■ 1. The authority citation for part 866                      (iii) A detailed device description
                                             requirements under section 510(k).                                continues to read as follows:                              including the following:
                                                                                                                                                                             (A) A description of the test in terms
                                             III. Analysis of Environmental Impact                               Authority: 21 U.S.C. 351, 360, 360c, 360e,               of genomic coverage, as follows:
                                                The Agency has determined under 21                             360j, 360l, 371.                                              (1) Tabulated summary of all
                                             CFR 25.34(b) that this action is of a type                        ■ 2. Add § 866.6080 to subpart G to read                   mutations reported, grouped according
                                             that does not individually or                                     as follows:                                                to gene and target region within each
                                             cumulatively have a significant effect on                                                                                    gene, along with the specific cDNA and
                                             the human environment. Therefore,                                 § 866.6080 Next generation sequencing                      amino acid positions for each mutation.
                                                                                                               based tumor profiling test.
                                             neither an environmental assessment                                                                                             (2) A description of any within-gene
                                             nor an environmental impact statement                               (a) Identification. A next generation                    targeted regions that cannot be reported
                                             is required.                                                      sequencing (NGS) based tumor profiling                     and the data behind such conclusion.
                                                                                                               test is a qualitative in vitro diagnostic                     (B) Specifications for specimen
                                             IV. Paperwork Reduction Act of 1995                               test intended for NGS analysis of tissue                   requirements including any specimen
                                               This final order establishes special                            specimens from malignant solid                             collection devices and preservatives,
                                             controls that refer to previously                                 neoplasms to detect somatic mutations                      specimen volume, minimum tumor
                                             approved collections of information                               in a broad panel of targeted genes to aid                  content, specimen handling, DNA
                                             found in other FDA regulations and                                in the management of previously                            extraction, and criteria for DNA quality
                                             guidance. These collections of                                    diagnosed cancer patients by qualified                     and quantity metrics that are
                                             information are subject to review by the                          health care professionals.                                 prerequisite to performing the assay.
                                             Office of Management and Budget                                     (b) Classification. Class II (special                       (C) A detailed description of all test
                                             (OMB) under the Paperwork Reduction                               controls). The special controls for this                   components, reagents, instrumentation,
                                             Act of 1995 (44 U.S.C. 3501–3520). The                            device are:                                                and software required. Detailed
                                             collections of information in the                                    (1) Premarket notification                              documentation of the device software
                                             guidance document ‘‘De Novo                                       submissions must include the following                     including but not limited to, software
                                             Classification Process (Evaluation of                             information:                                               applications and hardware-based
                                             Automatic Class III Designation)’’ have                              (i) A detailed description of all                       devices that incorporate software.
                                             been approved under OMB control                                   somatic mutations that are intended to                        (D) A detailed description of the
                                             number 0910–0844; the collection of                               be detected by the test and that are                       methodology and protocols for each step
                                             information in part 814, subparts A                               adequately supported in accordance                         of the test, including description of the
                                             through E, regarding premarket                                    with paragraph (b)(1)(v) of this section                   quality metrics, thresholds, and filters at
                                             approval, have been approved under                                and reported in the test results in                        each step of the test that are
                                             OMB control number 0910–0231; the                                 accordance with paragraph (b)(2)(iv) of                    implemented for final result reporting
                                             collection of information in part 807,                            this section, including:                                   and a description of the metrics for run-
                                             subpart E, regarding premarket                                       (A) A listing of mutations that are                     failures, specimen-failures, invalids, as
                                             notification submissions have been                                cancer mutations with evidence of                          applicable.
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                                             approved under OMB control number                                 clinical significance.                                        (E) A list of links provided by the
                                             0910–0120, and the collections of                                    (B) As appropriate, a listing of                        device to the user or accessed by the
                                             information in 21 CFR parts 801 and                               mutations that are cancer mutations                        device for internal or external
                                             809, regarding labeling have been                                 with potential clinical significance.                      information (e.g., decision rules or
                                             approved under OMB control number                                    (ii) The indications for use must                       databases) supporting clinical
                                             0910–0485.                                                        specify the following:                                     significance of test results for the panel


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                                             28996                Federal Register / Vol. 83, No. 121 / Friday, June 22, 2018 / Rules and Regulations

                                             or its elements in accordance with                      RNA) and/or a measurement (e.g.,                       established test in the same intended
                                             paragraphs (b)(1)(v) and (b)(2)(vi) of this             incorporating a score or copy number)                  specimen type, appropriate description
                                             section.                                                and/or with an alternative technology                  of the level of evidence and/or the
                                                (F) A description of internal and                    (e.g., IHC, RT-qPCR, FISH), evidence of                differences between next generation
                                             external controls that are recommended                  accuracy must include clinically                       sequencing results and results from the
                                             or provided and control procedures. The                 adequate concordance between results                   medically established test (e.g., as
                                             description must identify those control                 for the mutation and the medically                     described in professional guidelines).
                                             elements that are incorporated into the                 established biomarker test (e.g.,                        (iv) A listing of all somatic mutations
                                             testing procedure.                                      evidence generated from an                             that are intended to be detected by the
                                                (iv) Information demonstrating                       appropriately sized method comparison                  device and that are reported in the test
                                             analytical validity of the device                       study using clinical specimens from the                results under the following two
                                             according to analytical performance                     target population).                                    categories or equivalent designations, as
                                             characteristics, evaluated either                          (3) For qualitative DNA mutations not               appropriate: ‘‘cancer mutations panel
                                             specifically for each gene/mutation or,                 described in paragraph (b)(1)(iv)(G)(2) of             with evidence of clinical significance’’
                                             when clinically and practically justified,              this section, accuracy studies must                    or ‘‘cancer mutations panel with
                                             using a representative approach based                   include both mutation-positive and                     potential clinical significance.’’
                                             on other mutations of the same type,                    wild-type results.                                       (v) For mutations reported under the
                                             including:                                                 (H) Adequate device stability                       category of ‘‘cancer mutations panel
                                                (A) Data that adequately supports the                information.                                           with potential clinical significance,’’ a
                                             intended specimen type (e.g., formalin-                    (v) Information that adequately                     limiting statement that states ‘‘For the
                                             fixed, paraffin-embedded tumor tissue),                 supports the clinical significance of the              mutations listed in [cancer mutations
                                             specimen handling protocol, and                         panel must include:                                    panel with potential clinical
                                             nucleic acid purification for specific                     (A) Criteria established on what types              significance or equivalent designation],
                                             tumor types or for a pan-tumor claim.                   and levels of evidence will clinically                 the clinical significance has not been
                                                (B) A summary of the empirical                       validate a mutation as a cancer mutation               demonstrated [with adequate clinical
                                             evidence obtained to demonstrate how                    with evidence of clinical significance                 evidence (e.g., by professional
                                             the analytical quality metrics and                      versus a cancer mutation with potential                guidelines) in accordance with
                                             thresholds were optimized.                              clinical significance.                                 paragraph (b)(1)(v) of this section] or
                                                (C) Device precision data using                         (B) For representative mutations of                 with this test.’’
                                             clinical samples to adequately evaluate                 those designated as cancer mutations                     (vi) For mutations under the category
                                             intra-run, inter-run, and total variability.            with evidence of clinical significance, a              of ‘‘cancer mutations panel with
                                             The samples must cover all mutation                     description of the clinical evidence                   evidence of clinical significance,’’ or
                                             types tested (both positive and negative                associated with such mutations, such as                equivalent designation, link(s) for
                                             samples) and include samples near the                   clinical evidence presented in                         physicians to access internal or external
                                             limit of detection of the device.                       professional guidelines, as appropriate,               information concerning decision rules
                                             Precision must be assessed by                           with method comparison performance                     or conclusions about the level of
                                             agreement within replicates on the assay                data as described in paragraph                         evidence for clinical significance that is
                                             final result for each representative                    (b)(1)(iv)(G) of this section.                         associated with the marker in
                                             mutation, as applicable, and also                          (C) For all other mutations designated              accordance with paragraph (b)(1)(v) of
                                             supported by sequencing quality metrics                 as cancer mutations with potential                     this section.
                                             for targeted regions across the panel.                  clinical significance, a description of the
                                                (D) Description of the protocols and/                rationale for reporting.                                 Dated: June 18, 2018.
                                             or data adequately demonstrating the                       (2) The 21 CFR 809.10 compliant                     Leslie Kux,
                                             interchangeability of reagent lots and                  labeling and any product information                   Associate Commissioner for Policy.
                                             multiplexing barcodes.                                  and test report generated, must include                [FR Doc. 2018–13406 Filed 6–21–18; 8:45 am]
                                                (E) A description of the nucleic acid                the following, as applicable:                          BILLING CODE 4164–01–P
                                             assay input concentration range and the                    (i) The intended use statement must
                                             evidence to adequately support the                      specify the following:
                                             range.                                                     (A) The test is indicated for                       DEPARTMENT OF THE INTERIOR
                                                (F) A description of the data                        previously diagnosed cancer patients.
                                             adequately supporting the limit of                         (B) The intended specimen type(s)                   Office of Surface Mining Reclamation
                                             detection of the device.                                and matrix (e.g., formalin-fixed,                      and Enforcement
                                                (G) A description of the data to                     paraffin-embedded tumor tissue).
                                             adequately support device accuracy                         (C) The mutation types (e.g., single                30 CFR Part 901
                                             using clinical specimens representing                   nucleotide variant, insertion, deletion,
                                             the intended specimen type and range                    copy number variation or gene                          [SATS No. AL–080–FOR; Docket ID: OSM–
                                             of tumor types, as applicable.                          rearrangement) for which validation                    2016–0011; S1D1S SS08011000 SX064A000
                                                (1) Clinical specimens tested to                     data has been provided.                                189S180110; S2D2S SS08011000
                                             support device accuracy must                                                                                   SX064A000 18XS501520]
                                                                                                        (D) The name of the testing facility or
                                             adequately represent the list of cancer                 facilities, as applicable.                             Alabama Abandoned Mine Land
                                             mutations with evidence of clinical                        (ii) A description of the device and                Reclamation Plan
                                             significance to be detected by the                      summary of the results of the
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                                             device.                                                 performance studies performed in                       AGENCY:  Office of Surface Mining
                                                (2) For mutations that are designated                accordance with paragraphs (b)(1)(iii),                Reclamation and Enforcement, Interior.
                                             as cancer mutations with evidence of                    (b)(1)(iv), and (b)(1)(v) of this section.             ACTION: Final rule; approval of
                                             clinical significance and that are based                   (iii) A description of applicable test              amendment.
                                             on evidence established in the intended                 limitations, including, for device
                                             specimen type (e.g., tumor tissues) but                 specific mutations validated with                      SUMMARY: We, the Office of Surface
                                             for a different analyte type (e.g., protein,            method comparison data to a medically                  Mining Reclamation and Enforcement


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Document Created: 2018-11-06 09:50:40
Document Modified: 2018-11-06 09:50:40
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 June 22, 2018. The classification was applicable on November 15, 2017.
ContactScott McFarland, Center for Devices and Radiological Health, Food and Drug Administration, 10903 New Hampshire Ave., Bldg. 66, Rm. 4676, Silver Spring, MD, 20993-0002, 301- 796-6217, [email protected]
FR Citation83 FR 28994 
CFR AssociatedBiologics; Laboratories and Medical Devices

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