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21 U.S.C. § 360ePremarket approval

submitted 88 years ago by Pub. L. 94-295 to r/title-21-FOOD-AND-DRUGS · 5,991 words · no verdicts yet

in plain englishAI-generated · not legal advice

Class III medical devices generally need FDA premarket approval before they can be sold. This law explains how to apply, how the FDA reviews applications, and how approval can end. It also covers an alternative product development protocol path and how manufacturers can appeal FDA decisions.

(a) General requirement A class III device needs an approved application for premarket approval before it can be sold, unless it's exempt under section 360j(g). This applies to a device that (1) is subject to an order issued under subsection (b) (or an older regulation), or (2) is a class III device because of section 360c(f). Depending on the device, the required approval may be of a full premarket approval application, or of a report filed under subsection (c)(2). (b) Order requiring premarket approval (1) For a class III device that was already on the market before May 28, 1976, or is the same type as one that was and is substantially equivalent to it, the Secretary can issue an administrative order requiring premarket approval. Before issuing it, the Secretary must publish a proposed order in the Federal Register, hold a device classification panel meeting, and consider comments from patients, payors, providers, and other affected stakeholders. Only the Director of the Center for Devices and Radiological Health, working with the Commissioner, can issue this order — that authority cannot be delegated further down. (2) The proposed order must include: (A) the order itself, (B) proposed findings about the illness or injury risk the requirement would reduce and the device's public benefit, (C) a chance for the public to comment, and (D) a chance to request a classification change based on new information. (3) After the comment period ends, and after considering the comments and holding the panel meeting, the Secretary must either (A) issue the order and publish the required findings, or (B) publish a notice ending the process, with reasons. If the process ends and the device isn't a banned device, the Secretary must start a proceeding to reclassify it. (c) Application for premarket approval (1) Anyone can file a premarket approval application for a class III device. It must include: (A) full reports of all known or reasonably knowable safety and effectiveness investigations; (B) a full description of the device's components, ingredients, properties, and how it works; (C) a full description of the manufacturing, processing, packing, and installation methods and facilities used; (D) a reference to any applicable class II performance standard, with proof the device meets it or justification for any deviation; (E) samples the Secretary reasonably requires, or, if that's impractical, information on where devices can be examined and tested; (F) the proposed labeling; (G) the certification required under section 282(j)(5)(B) of title 42, which doesn't count as part of the application itself; and (H) any other relevant information the Secretary requires, with the agreement of the relevant advisory panel. (2)(A) For a reprocessed single-use device, a person may instead file a report containing: the device's trade and common names; the submitter's establishment registration number; actions taken to meet performance standards; proposed labels, labeling, and advertising; full reports of known safety and effectiveness investigations; a description of the device's components, ingredients, and properties; a full description of the reprocessing and packing methods and facilities used; samples the Secretary reasonably requires; a financial certification or disclosure statement; a statement certifying the submission is truthful and complete; any additional information the Secretary needs; and validation data showing the device stays reasonably safe and effective through the maximum number of times it's meant to be reprocessed. (B) For this kind of device, this report replaces the standard application described in paragraph (1), and the law treats a report the same way it treats an application in almost every other section that refers to premarket approval applications or approved, denied, suspended, or withdrawn devices — except in two specific fee-related sections. (3) After receiving a complete application, the Secretary may, on the Secretary's own initiative, or generally must, if the applicant asks, send it to the relevant advisory panel for study and a recommendation, including one or more pediatric experts where appropriate. (4)(A) Before a full application is submitted, the Secretary must accept and review any part of it that both the applicant and the Secretary agree is complete and ready — except the Secretary has discretion to skip this during any period when the FDA lacks authority to collect its usual review fees. (B) A part that's already been reviewed and accepted this way will not be reviewed again after the full application arrives, unless a significant safety or effectiveness issue gives the Secretary reason to revisit it. (C) If the Secretary finds a submitted part unacceptable, the Secretary must explain in writing what's wrong with it and what's needed to fix it, unless the applicant has dropped the application. (5) When asking for more information on an application, the Secretary must use the least burdensome approach that still shows the device is reasonably safe and effective — meaning only the minimum information truly needed for that determination, taking into account how postmarket information can help. This does not lower the actual standard for approval. (d) Deciding on the application (1)(A) Within 180 days of receiving a complete application (with limited exceptions), the Secretary must either issue an order approving it, if none of the denial grounds in paragraph (2) apply, or deny it and explain why, if one or more of those grounds do apply. In deciding, the Secretary relies on the conditions of use in the proposed labeling to judge safety and effectiveness, as long as that labeling isn't false or misleading — and the Secretary must fairly weigh all the relevant facts in deciding whether it is. (B)(i) The Secretary cannot agree to extend the review deadline for a device covered by a subsection (b) regulation unless keeping the device available is necessary for public health. (ii) An approval order can restrict how a device is sold and distributed, but only as far as a regulation under section 360j(e) would allow. (iii) The Secretary must accept valid, reliable data from investigations done under section 360j(g) to help decide whether a pending application shows reasonable assurance of safety and effectiveness, if: (I) the data comes from an earlier version of the device that was later modified, and the modification does not significantly change the device's design or basic operating principles, or (II) the data concerns a device already approved under this section, is available for use under this law, and is relevant to the pending device's design and intended use. (2) The Secretary must deny an application if the Secretary finds: (A) there's no reasonable assurance the device is safe under its proposed labeling; (B) there's no reasonable assurance it's effective under its proposed labeling; (C) its manufacturing, processing, packing, or installation methods and facilities don't meet the requirements of section 360j(f); (D) the proposed labeling is false or misleading based on a fair evaluation of the facts; or (E) the device doesn't conform to an applicable performance standard under section 360d, and there's no adequate justification for the deviation. Wherever practical, a denial must explain what the applicant would need to do to make the application approvable. (3)(A)(i) On written request, the Secretary must meet with the applicant, no later than 100 days after a complete application is filed, to discuss the review's status. (ii) Before that meeting, the Secretary must give the applicant a written description of any deficiencies identified so far, based on an interim review, and what's needed to fix them. (iii) The Secretary must promptly tell the applicant about any additional deficiency, or additional information needed to finish the review, that wasn't already described in that written list. (B) The Secretary and the applicant can agree to a different meeting schedule. (4) An applicant whose application is denied can petition for review, within 30 days of the denial notice, under subsection (g). Any interested person can likewise seek review of an order approving an application, also under subsection (g). (5)(A)(i) Unless a change fits a predetermined change control plan already approved under section 360e–4, a supplemental application is required for any change to an approved device that affects safety or effectiveness — unless the change is a manufacturing change, and the approval holder sends the Secretary written notice describing the change in detail, summarizing the supporting data, and confirming the change was made following section 360j(f). (ii) After sending that notice, the holder may start distributing the changed device 30 days later, unless the Secretary notifies the holder within that 30 days that the notice is inadequate and says what further information or action is needed. If the Secretary decides a supplemental application is required instead, the Secretary must review it within 135 days of receiving it — with the time already spent reviewing the manufacturing-change notice subtracted, if that notice met the usual content requirements for a supplement. (B)(i) For a supplement covering an incremental design change that affects safety or effectiveness, the Secretary must approve it if: (I) nonclinical data show the design change achieves the intended additional capacity, function, or performance, and (II) clinical data from the original approved application and any supplements provide reasonable assurance of safety and effectiveness for the changed device. (ii) The Secretary may still require additional clinical data, when necessary, to evaluate the design change and confirm reasonable assurance of safety and effectiveness. (e) Withdrawing or suspending approval (1) After getting scientific advice from an advisory panel where appropriate, and after giving the approval holder notice and a chance for an informal hearing, the Secretary must issue an order withdrawing approval of a device if the Secretary finds: (A) the device is unsafe or ineffective under the conditions of use in its labeling; (B) new information, combined with the evidence available at approval, shows there's no longer reasonable assurance the device is safe or effective as labeled; (C) the application contained or came with an untrue statement of a material fact; (D) the applicant failed to set up or keep required records, refused to allow inspection or copying of records, or didn't comply with the requirements of section 360; (E) new information shows the manufacturing, processing, packing, or installation methods don't meet section 360j(f), and weren't fixed within a reasonable time after written notice; (F) new information shows the labeling is false or misleading, based on a fair evaluation of the facts, and wasn't corrected within a reasonable time after written notice; or (G) new information shows the device doesn't conform to an applicable performance standard, and there's no adequate justification for the deviation. (2) The approval holder can petition for review, within 30 days of the withdrawal notice, under subsection (g). (3) If, after an opportunity for an informal hearing, the Secretary decides there's a reasonable probability that continued distribution of the device would cause serious, adverse health consequences or death, the Secretary must temporarily suspend the approval by order, and must then move quickly to withdraw the approval fully under paragraph (1). (f) Product development protocol (1) A class III device is treated as having an approved application if a notice that its testing, done under an approved product development protocol, is complete has been declared “completed” under paragraph (6). (2) Anyone can submit a proposed product development protocol to the Secretary, along with supporting data. If, within 30 days, the Secretary decides this approach appears appropriate for the device, the Secretary may, on the Secretary's own initiative, or generally must, if the submitter asks, refer the proposed protocol to the relevant advisory panel for its recommendation. (3) A proposed protocol can be approved only if (A) the Secretary determines this approach is appropriate for the device instead of the regular application requirement, and (B) the proposed protocol includes: (i) a description of the device and any changes that may be made to it; (ii) a description of any preclinical trials, the results required before clinical trials can start, and any permissible variations in the trials or results; (iii) the same information for clinical trials, including results required before a notice of completion can be filed; (iv) a description of the manufacturing, processing, packing, and installation methods and facilities to be used; (v) a reference to any applicable performance standard under section 360d; (vi) proposed labeling, if appropriate; (vii) any other relevant information the Secretary, with the relevant panel's agreement, may require; and (viii) a requirement to submit progress reports and, once complete, trial records adequate to show compliance with the protocol. (4) The Secretary must approve or deny a proposed protocol within 120 days of receiving it, unless the Secretary and the submitter agree to a longer period. Approving or denying a protocol is a final agency action, reviewable in court. (5) At any time after a protocol is approved, the person it was approved for can submit a notice of completion, stating: (A) their determination that the protocol's requirements have been met and that, to the best of their knowledge, there's no safety or effectiveness reason the notice shouldn't take effect, along with the data supporting that determination; and (B) the results of the required trials and all the information that would otherwise be required in a regular application under subsection (c)(1). (6)(A) The Secretary may, after giving the protocol holder a chance for an informal hearing, and at any point before receiving a notice of completion, issue a final order revoking the protocol if the Secretary finds: (i) the holder substantially failed to comply with the protocol's requirements, (ii) the trial results differ so much from what the protocol required that further trials cannot be justified, or (iii) the trial results, or other available new information, don't show the device is free of an unreasonable risk to health and safety. (B) Within 90 days of receiving a notice of completion, the Secretary must, by order, declare the protocol either completed or not completed. An order declaring it not completed only takes effect after the holder has had a chance for an informal hearing, and only if the Secretary finds: (i) the holder substantially failed to comply with the protocol, (ii) the trial results differ substantially from what the protocol required, or (iii) there's no reasonable assurance of safety and effectiveness under the proposed labeling's conditions of use. (C) A final order issued under (A) or (B) must be in writing and must explain the reasons for its conclusions. (7) After a notice of completion has taken effect, the Secretary may — after giving the person due notice and a chance for an informal hearing — issue an order revoking the device's approval, if any of the grounds listed in subsection (e)(1)(A) through (G) apply. For this purpose, references in those grounds to “application” mean the protocol and notice of completion, and references to the time an application was approved mean the time the notice of completion took effect. (8) A person whose protocol was revoked under paragraph (6)(A), who received a “not completed” order under paragraph (6)(B), or whose device approval was revoked under paragraph (7), can petition for review, within 30 days of the order, under subsection (g). (g) Review (1) On a petition to review an approval or denial order, a withdrawal order, or an order under subsection (f) about a protocol, the Secretary must hold a formal hearing — unless the Secretary finds the petition lacks good cause, or a review was already requested under paragraph (2). The panel that reviewed the underlying application, protocol, or device must send a member to testify at the hearing on request. After the hearing, and considering the hearing record, the Secretary must issue an order affirming or reversing the original order, and take the appropriate follow-up action — approving or denying the application, reinstating its approval, approving the protocol, or putting a notice of completion into effect, as fits the case. (2)(A) Alternatively, on such a petition, the Secretary must refer the application or protocol, and the basis for the order, to an advisory committee for a report and recommendation. The committee studies the data independently and reports back to the Secretary with its recommendation, the underlying data, and its reasoning. The Secretary must promptly send a copy of that report to whoever petitioned for the referral. (B) The Secretary must set up these advisory committees separately from the panels under section 360c, following the same membership, pay, and procedure rules described for the advisory committees in subsection (b)(5)(B): qualified members with varied professional backgrounds, no full-time federal employees who administer this law, compensation capped at the GS–18 daily rate plus travel expenses for non-federal members, a Secretary-appointed chairperson, staff support, and procedures set by regulation. (C) The Secretary must make the committee's report public, and must then issue an order, with reasons, either affirming or reversing the original order and taking the appropriate follow-up action, as in paragraph (1). (h) Serving orders The Secretary must deliver orders issued under this section either (1) in person, through an officer or employee of the department the Secretary designates, or (2) by registered or certified mail, addressed to the applicant's last known address in the Secretary's records. (i) Revising old classifications (1) Before December 1, 1995, the Secretary had to order manufacturers of devices that were on the market before May 28, 1976, and that were subject to reclassification under paragraph (2), to submit a summary of and citation to any known or available information about those devices, including adverse safety or effectiveness information not already reported under section 360i. The Secretary could also require the manufacturer to submit the underlying data behind that summary, if the manufacturer had it. (2) After issuing that order, but before the date 2 years after July 9, 2012, the Secretary had to issue an administrative order — following a proposed order in the Federal Register, a device classification panel meeting, and consideration of stakeholder comments — for each device that (A) the Secretary had classified as class III, and (B) had no administrative order issued for it under subsection (b) (and no older regulation), moving that device into class I or class II, unless the order said the device must stay in class III. In deciding whether to reclassify a device or keep it in class III, the Secretary had to apply the criteria in section 360c(a). (3) As promptly as reasonably possible, but no later than 12 months after an order requiring a device to stay in class III took effect, the Secretary had to set a schedule for issuing a subsection (b) order for that device.
the actual law source: uscode.house.gov ↗public domain
(a) General requirement

A class III device—

(1)

which is subject to an order issued under subsection (b) (or a regulation promulgated under such subsection prior to July 9, 2012); or

(2)

which is a class III device because of section 360c(f) of this title,

is required to have, unless exempt under section 360j(g) of this title, an approval under this section of an application for premarket approval or, as applicable, an approval under subsection (c)(2) of a report seeking premarket approval.

(b) Order to require premarket approval
(1)

In the case of a class III device which—

(A)

was introduced or delivered for introduction into interstate commerce for commercial distribution before May 28, 1976; or

(B)

is (i) of a type so introduced or delivered, and (ii) is substantially equivalent to another device within that type,

the Secretary shall by administrative order following publication of a proposed order in the Federal Register, a meeting of a device classification panel described in section 360c(b) of this title, and consideration of comments from all affected stakeholders, including patients, payors, and providers, notwithstanding subchapter II of chapter 5 of title 5, require that such device have an approval under this section of an application for premarket approval. Authority to issue such administrative order shall not be delegated below the Director of the Center for Devices and Radiological Health, acting in consultation with the Commissioner.

(2)

A proposed order required under paragraph (1) shall contain—

(A)

the proposed order;

(B)

proposed findings with respect to the degree of risk of illness or injury designed to be eliminated or reduced by requiring the device to have an approved application for premarket approval and the benefit to the public from use of the device;

(C)

opportunity for the submission of comments on the proposed order and the proposed findings; and

(D)

opportunity to request a change in the classification of the device based on new information relevant to the classification of the device.

(3)

After the expiration of the period for comment on a proposed order and proposed findings published under paragraph (2), consideration of comments submitted on such proposed order and findings, and a meeting of a device classification panel described in section 360c(b) of this title, the Secretary shall (A) issue an administrative order under paragraph (1) and publish in the Federal Register findings on the matters referred to in paragraph (2)(B), or (B) publish a notice terminating the proceeding for the issuance of the administrative order together with the reasons for such termination. If a notice of termination is published, the Secretary shall (unless such notice is issued because the device is a banned device under section 360f of this title) initiate a proceeding under section 360c(e) of this title to reclassify the device subject to the proceeding terminated by such notice.

(c) Application for premarket approval
(1)

Any person may file with the Secretary an application for premarket approval for a class III device. Such an application for a device shall contain—

(A)

full reports of all information, published or known to or which should reasonably be known to the applicant, concerning investigations which have been made to show whether or not such device is safe and effective;

(B)

a full statement of the components, ingredients, and properties and of the principle or principles of operation, of such device;

(C)

a full description of the methods used in, and the facilities and controls used for, the manufacture, processing, and, when relevant, packing and installation of, such device;

(D)

an identifying reference to any performance standard under section 360d of this title which would be applicable to any aspect of such device if it were a class II device, and either adequate information to show that such aspect of such device fully meets such performance standard or adequate information to justify any deviation from such standard;

(E)

such samples of such device and of components thereof as the Secretary may reasonably require, except that where the submission of such samples is impracticable or unduly burdensome, the requirement of this subparagraph may be met by the submission of complete information concerning the location of one or more such devices readily available for examination and testing;

(F)

specimens of the labeling proposed to be used for such device;

(G)

the certification required under section 282(j)(5)(B) of title 42 (which shall not be considered an element of such application); and

(H)

such other information relevant to the subject matter of the application as the Secretary, with the concurrence of the appropriate panel under section 360c of this title, may require.

(2)
(A)

Any person may file with the Secretary a report seeking premarket approval for a class III device referred to in subsection (a) that is a reprocessed single-use device. Such a report shall contain the following:

(i)

The device name, including both the trade or proprietary name and the common or usual name.

(ii)

The establishment registration number of the owner or operator submitting the report.

(iii)

Actions taken to comply with performance standards under section 360d of this title.

(iv)

Proposed labels, labeling, and advertising sufficient to describe the device, its intended use, and directions for use.

(v)

Full reports of all information, published or known to or which should be reasonably known to the applicant, concerning investigations which have been made to show whether or not the device is safe or effective.

(vi)

A description of the device’s components, ingredients, and properties.

(vii)

A full description of the methods used in, and the facilities and controls used for, the reprocessing and packing of the device.

(viii)

Such samples of the device that the Secretary may reasonably require.

(ix)

A financial certification or disclosure statement or both, as required by part 54 of title 21, Code of Federal Regulations.

(x)

A statement that the applicant believes to the best of the applicant’s knowledge that all data and information submitted to the Secretary are truthful and accurate and that no material fact has been omitted in the report.

(xi)

Any additional data and information, including information of the type required in paragraph (1) for an application under such paragraph, that the Secretary determines is necessary to determine whether there is reasonable assurance of safety and effectiveness for the reprocessed device.

(xii)

Validation data described in section 360(o)(1)(A) of this title that demonstrates that the reasonable assurance of the safety or effectiveness of the device will remain after the maximum number of times the device is reprocessed as intended by the person submitting such report.

(B)

In the case of a class III device referred to in subsection (a) that is a reprocessed single-use device:

(i)

Subparagraph (A) of this paragraph applies in lieu of paragraph (1).

(ii)

Subject to clause (i), the provisions of this section apply to a report under subparagraph (A) to the same extent and in the same manner as such provisions apply to an application under paragraph (1).

(iii)

Each reference in other sections of this chapter to an application under this section, other than such a reference in section 379i or 379j of this title, shall be considered to be a reference to a report under subparagraph (A).

(iv)

Each reference in other sections of this chapter to a device for which an application under this section has been approved, or has been denied, suspended, or withdrawn, other than such a reference in section 379i or 379j of this title, shall be considered to be a reference to a device for which a report under subparagraph (A) has been approved, or has been denied, suspended, or withdrawn, respectively.

(3)

Upon receipt of an application meeting the requirements set forth in paragraph (1), the Secretary—

(A)

may on the Secretary’s own initiative, or

(B)

shall, upon the request of an applicant unless the Secretary finds that the information in the application which would be reviewed by a panel substantially duplicates information which has previously been reviewed by a panel appointed under section 360c of this title,

refer such application to the appropriate panel under section 360c of this title for study and for submission (within such period as he may establish) of a report and recommendation respecting approval of the application, together with all underlying data and the reasons or basis for the recommendation. Where appropriate, the Secretary shall ensure that such panel includes, or consults with, one or more pediatric experts.

(4)
(A)

Prior to the submission of an application under this subsection, the Secretary shall accept and review any portion of the application that the applicant and the Secretary agree is complete, ready, and appropriate for review, except that such requirement does not apply, and the Secretary has discretion whether to accept and review such portion, during any period in which, under section 379j(g) of this title, the Secretary does not have the authority to collect fees under section 379j(a) of this title.

(B)

Each portion of a submission reviewed under subparagraph (A) and found acceptable by the Secretary shall not be further reviewed after receipt of an application that satisfies the requirements of paragraph (1), unless a significant issue of safety or effectiveness provides the Secretary reason to review such accepted portion.

(C)

Whenever the Secretary determines that a portion of a submission under subparagraph (A) is unacceptable, the Secretary shall, in writing, provide to the applicant a description of any deficiencies in such portion and identify the information that is required to correct these deficiencies, unless the applicant is no longer pursuing the application.

(5)
(A)

In requesting additional information with respect to an application under this section, the Secretary shall consider the least burdensome appropriate means necessary to demonstrate a reasonable assurance of device safety and effectiveness.

(B)

For purposes of subparagraph (A), the term “necessary” means the minimum required information that would support a determination by the Secretary that an application provides a reasonable assurance of the safety and effectiveness of the device.

(C)

For purposes of this paragraph, the Secretary shall consider the role of postmarket information in determining the least burdensome means of demonstrating a reasonable assurance of device safety and effectiveness.

(D)

Nothing in this paragraph alters the standards for premarket approval of a device.

(d) Action on application for premarket approval
(1)
(A)

As promptly as possible, but in no event later than one hundred and eighty days after the receipt of an application under subsection (c) (except as provided in section 360j(l)(3)(D)(ii) of this title or unless, in accordance with subparagraph (B)(i), an additional period as agreed upon by the Secretary and the applicant), the Secretary, after considering the report and recommendation submitted under paragraph (2) of such subsection, shall—

(i)

issue an order approving the application if he finds that none of the grounds for denying approval specified in paragraph (2) of this subsection applies; or

(ii)

deny approval of the application if he finds (and sets forth the basis for such finding as part of or accompanying such denial) that one or more grounds for denial specified in paragraph (2) of this subsection apply.

In making the determination whether to approve or deny the application, the Secretary shall rely on the conditions of use included in the proposed labeling as the basis for determining whether or not there is a reasonable assurance of safety and effectiveness, if the proposed labeling is neither false nor misleading. In determining whether or not such labeling is false or misleading, the Secretary shall fairly evaluate all material facts pertinent to the proposed labeling.

(B)
(i)

The Secretary may not enter into an agreement to extend the period in which to take action with respect to an application submitted for a device subject to a regulation promulgated under subsection (b) unless he finds that the continued availability of the device is necessary for the public health.

(ii)

An order approving an application for a device may require as a condition to such approval that the sale and distribution of the device be restricted but only to the extent that the sale and distribution of a device may be restricted under a regulation under section 360j(e) of this title.

(iii)

The Secretary shall accept and review statistically valid and reliable data and any other information from investigations conducted under the authority of regulations required by section 360j(g) of this title to make a determination of whether there is a reasonable assurance of safety and effectiveness of a device subject to a pending application under this section if—

(I)

the data or information is derived from investigations of an earlier version of the device, the device has been modified during or after the investigations (but prior to submission of an application under subsection (c)) and such a modification of the device does not constitute a significant change in the design or in the basic principles of operation of the device that would invalidate the data or information; or

(II)

the data or information relates to a device approved under this section, is available for use under this chapter, and is relevant to the design and intended use of the device for which the application is pending.

(2)

The Secretary shall deny approval of an application for a device if, upon the basis of the information submitted to the Secretary as part of the application and any other information before him with respect to such device, the Secretary finds that—

(A)

there is a lack of a showing of reasonable assurance that such device is safe under the conditions of use prescribed, recommended, or suggested in the proposed labeling thereof;

(B)

there is a lack of a showing of reasonable assurance that the device is effective under the conditions of use prescribed, recommended, or suggested in the proposed labeling thereof;

(C)

the methods used in, or the facilities or controls used for, the manufacture, processing, packing, or installation of such device do not conform to the requirements of section 360j(f) of this title;

(D)

based on a fair evaluation of all material facts, the proposed labeling is false or misleading in any particular; or

(E)

such device is not shown to conform in all respects to a performance standard in effect under section 360d of this title compliance with which is a condition to approval of the application and there is a lack of adequate information to justify the deviation from such standard.

Any denial of an application shall, insofar as the Secretary determines to be practicable, be accompanied by a statement informing the applicant of the measures required to place such application in approvable form (which measures may include further research by the applicant in accordance with one or more protocols prescribed by the Secretary).

(3)
(A)
(i)

The Secretary shall, upon the written request of an applicant, meet with the applicant, not later than 100 days after the receipt of an application that has been filed as complete under subsection (c), to discuss the review status of the application.

(ii)

The Secretary shall, in writing and prior to the meeting, provide to the applicant a description of any deficiencies in the application that, at that point, have been identified by the Secretary based on an interim review of the entire application and identify the information that is required to correct those deficiencies.

(iii)

The Secretary shall notify the applicant promptly of—

(I)

any additional deficiency identified in the application, or

(II)

any additional information required to achieve completion of the review and final action on the application,

that was not described as a deficiency in the written description provided by the Secretary under clause (ii).

(B)

The Secretary and the applicant may, by mutual consent, establish a different schedule for a meeting required under this paragraph.

(4)

An applicant whose application has been denied approval may, by petition filed on or before the thirtieth day after the date upon which he receives notice of such denial, obtain review thereof in accordance with either paragraph (1) or (2) of subsection (g), and any interested person may obtain review, in accordance with paragraph (1) or (2) of subsection (g), of an order of the Secretary approving an application.

(5)
(A)
(i)

Unless the change is consistent with a predetermined change control plan approved under section 360e–4 of this title, a supplemental application shall be required for any change to a device subject to an approved application under this subsection that affects safety or effectiveness, unless such change is a modification in a manufacturing procedure or method of manufacturing and the holder of the approved application submits a written notice to the Secretary that describes in detail the change, summarizes the data or information supporting the change, and informs the Secretary that the change has been made under the requirements of section 360j(f) of this title.

(ii)

The holder of an approved application who submits a notice under clause (i) with respect to a manufacturing change of a device may distribute the device 30 days after the date on which the Secretary receives the notice, unless the Secretary within such 30-day period notifies the holder that the notice is not adequate and describes such further information or action that is required for acceptance of such change. If the Secretary notifies the holder that a supplemental application is required, the Secretary shall review the supplement within 135 days after the receipt of the supplement. The time used by the Secretary to review the notice of the manufacturing change shall be deducted from the 135-day review period if the notice meets appropriate content requirements for premarket approval supplements.

(B)
(i)

Subject to clause (ii), in reviewing a supplement to an approved application, for an incremental change to the design of a device that affects safety or effectiveness, the Secretary shall approve such supplement if—

(I)

nonclinical data demonstrate that the design modification creates the intended additional capacity, function, or performance of the device; and

(II)

clinical data from the approved application and any supplement to the approved application provide a reasonable assurance of safety and effectiveness for the changed device.

(ii)

The Secretary may require, when necessary, additional clinical data to evaluate the design modification of the device to provide a reasonable assurance of safety and effectiveness.

(e) Withdrawal and temporary suspension of approval of application
(1)

The Secretary shall, upon obtaining, where appropriate, advice on scientific matters from a panel or panels under section 360c of this title, and after due notice and opportunity for informal hearing to the holder of an approved application for a device, issue an order withdrawing approval of the application if the Secretary finds—

(A)

that such device is unsafe or ineffective under the conditions of use prescribed, recommended, or suggested in the labeling thereof;

(B)

on the basis of new information before him with respect to such device, evaluated together with the evidence available to him when the application was approved, that there is a lack of a showing of reasonable assurance that the device is safe or effective under the conditions of use prescribed, recommended, or suggested in the labeling thereof;

(C)

that the application contained or was accompanied by an untrue statement of a material fact;

(D)

that the applicant (i) has failed to establish a system for maintaining records, or has repeatedly or deliberately failed to maintain records or to make reports, required by an applicable regulation under section 360i(a) of this title, (ii) has refused to permit access to, or copying or verification of, such records as required by section 374 of this title, or (iii) has not complied with the requirements of section 360 of this title;

(E)

on the basis of new information before him with respect to such device, evaluated together with the evidence before him when the application was approved, that the methods used in, or the facilities and controls used for, the manufacture, processing, packing, or installation of such device do not conform with the requirements of section 360j(f) of this title and were not brought into conformity with such requirements within a reasonable time after receipt of written notice from the Secretary of nonconformity;

(F)

on the basis of new information before him, evaluated together with the evidence before him when the application was approved, that the labeling of such device, based on a fair evaluation of all material facts, is false or misleading in any particular and was not corrected within a reasonable time after receipt of written notice from the Secretary of such fact; or

(G)

on the basis of new information before him, evaluated together with the evidence before him when the application was approved, that such device is not shown to conform in all respects to a performance standard which is in effect under section 360d of this title compliance with which was a condition to approval of the application and that there is a lack of adequate information to justify the deviation from such standard.

(2)

The holder of an application subject to an order issued under paragraph (1) withdrawing approval of the application may, by petition filed on or before the thirtieth day after the date upon which he receives notice of such withdrawal, obtain review thereof in accordance with either paragraph (1) or (2) of subsection (g).

(3)

If, after providing an opportunity for an informal hearing, the Secretary determines there is reasonable probability that the continuation of distribution of a device under an approved application would cause serious, adverse health consequences or death, the Secretary shall by order temporarily suspend the approval of the application approved under this section. If the Secretary issues such an order, the Secretary shall proceed expeditiously under paragraph (1) to withdraw such application.

(f) Product development protocol
(1)

In the case of a class III device which is required to have an approval of an application submitted under subsection (c), such device shall be considered as having such an approval if a notice of completion of testing conducted in accordance with a product development protocol approved under paragraph (4) has been declared completed under paragraph (6).

(2)

Any person may submit to the Secretary a proposed product development protocol with respect to a device. Such a protocol shall be accompanied by data supporting it. If, within thirty days of the receipt of such a protocol, the Secretary determines that it appears to be appropriate to apply the requirements of this subsection to the device with respect to which the protocol is submitted, the Secretary—

(A)

may, at the initiative of the Secretary, refer the proposed protocol to the appropriate panel under section 360c of this title for its recommendation respecting approval of the protocol; or

(B)

shall so refer such protocol upon the request of the submitter, unless the Secretary finds that the proposed protocol and accompanying data which would be reviewed by such panel substantially duplicate a product development protocol and accompanying data which have previously been reviewed by such a panel.

(3)

A proposed product development protocol for a device may be approved only if—

(A)

the Secretary determines that it is appropriate to apply the requirements of this subsection to the device in lieu of the requirement of approval of an application submitted under subsection (c); and

(B)

the Secretary determines that the proposed protocol provides—

(i)

a description of the device and the changes which may be made in the device,

(ii)

a description of the preclinical trials (if any) of the device and a specification of (I) the results from such trials to be required before the commencement of clinical trials of the device, and (II) any permissible variations in preclinical trials and the results therefrom,

(iii)

a description of the clinical trials (if any) of the device and a specification of (I) the results from such trials to be required before the filing of a notice of completion of the requirements of the protocol, and (II) any permissible variations in such trials and the results therefrom,

(iv)

a description of the methods to be used in, and the facilities and controls to be used for, the manufacture, processing, and, when relevant, packing and installation of the device,

(v)

an identifying reference to any performance standard under section 360d of this title to be applicable to any aspect of such device,

(vi)

if appropriate, specimens of the labeling proposed to be used for such device,

(vii)

such other information relevant to the subject matter of the protocol as the Secretary, with the concurrence of the appropriate panel or panels under section 360c of this title, may require, and

(viii)

a requirement for submission of progress reports and, when completed, records of the trials conducted under the protocol which records are adequate to show compliance with the protocol.

(4)

The Secretary shall approve or disapprove a proposed product development protocol submitted under paragraph (2) within one hundred and twenty days of its receipt unless an additional period is agreed upon by the Secretary and the person who submitted the protocol. Approval of a protocol or denial of approval of a protocol is final agency action subject to judicial review under chapter 7 of title 5.

(5)

At any time after a product development protocol for a device has been approved pursuant to paragraph (4), the person for whom the protocol was approved may submit a notice of completion—

(A)

stating (i) his determination that the requirements of the protocol have been fulfilled and that, to the best of his knowledge, there is no reason bearing on safety or effectiveness why the notice of completion should not become effective, and (ii) the data and other information upon which such determination was made, and

(B)

setting forth the results of the trials required by the protocol and all the information required by subsection (c)(1).

(6)
(A)

The Secretary may, after providing the person who has an approved protocol an opportunity for an informal hearing and at any time prior to receipt of notice of completion of such protocol, issue a final order to revoke such protocol if he finds that—

(i)

such person has failed substantially to comply with the requirements of the protocol,

(ii)

the results of the trials obtained under the protocol differ so substantially from the results required by the protocol that further trials cannot be justified, or

(iii)

the results of the trials conducted under the protocol or available new information do not demonstrate that the device tested under the protocol does not present an unreasonable risk to health and safety.

(B)

After the receipt of a notice of completion of an approved protocol the Secretary shall, within the ninety-day period beginning on the date such notice is received, by order either declare the protocol completed or declare it not completed. An order declaring a protocol not completed may take effect only after the Secretary has provided the person who has the protocol opportunity for an informal hearing on the order. Such an order may be issued only if the Secretary finds—

(i)

such person has failed substantially to comply with the requirements of the protocol,

(ii)

the results of the trials obtained under the protocol differ substantially from the results required by the protocol, or

(iii)

there is a lack of a showing of reasonable assurance of the safety and effectiveness of the device under the conditions of use prescribed, recommended, or suggested in the proposed labeling thereof.

(C)

A final order issued under subparagraph (A) or (B) shall be in writing and shall contain the reasons to support the conclusions thereof.

(7)

At any time after a notice of completion has become effective, the Secretary may issue an order (after due notice and opportunity for an informal hearing to the person for whom the notice is effective) revoking the approval of a device provided by a notice of completion which has become effective as provided in subparagraph (B) if he finds that any of the grounds listed in subparagraphs (A) through (G) of subsection (e)(1) of this section apply. Each reference in such subparagraphs to an application shall be considered for purposes of this paragraph as a reference to a protocol and the notice of completion of such protocol, and each reference to the time when an application was approved shall be considered for purposes of this paragraph as a reference to the time when a notice of completion took effect.

(8)

A person who has an approved protocol subject to an order issued under paragraph (6)(A) revoking such protocol, a person who has an approved protocol with respect to which an order under paragraph (6)(B) was issued declaring that the protocol had not been completed, or a person subject to an order issued under paragraph (7) revoking the approval of a device may, by petition filed on or before the thirtieth day after the date upon which he receives notice of such order, obtain review thereof in accordance with either paragraph (1) or (2) of subsection (g).

(g) Review
(1)

Upon petition for review of—

(A)

an order under subsection (d) approving or denying approval of an application or an order under subsection (e) withdrawing approval of an application, or

(B)

an order under subsection (f)(6)(A) revoking an approved protocol, under subsection (f)(6)(B) declaring that an approved protocol has not been completed, or under subsection (f)(7) revoking the approval of a device,

the Secretary shall, unless he finds the petition to be without good cause or unless a petition for review of such order has been submitted under paragraph (2), hold a hearing, in accordance with section 554 of title 5, on the order. The panel or panels which considered the application, protocol, or device subject to such order shall designate a member to appear and testify at any such hearing upon request of the Secretary, the petitioner, or the officer conducting the hearing, but this requirement does not preclude any other member of the panel or panels from appearing and testifying at any such hearing. Upon completion of such hearing and after considering the record established in such hearing, the Secretary shall issue an order either affirming the order subject to the hearing or reversing such order and, as appropriate, approving or denying approval of the application, reinstating the application’s approval, approving the protocol, or placing in effect a notice of completion.

(2)
(A)

Upon petition for review of—

(i)

an order under subsection (d) approving or denying approval of an application or an order under subsection (e) withdrawing approval of an application, or

(ii)

an order under subsection (f)(6)(A) revoking an approved protocol, under subsection (f)(6)(B) declaring that an approved protocol has not been completed, or under subsection (f)(7) revoking the approval of a device,

the Secretary shall refer the application or protocol subject to the order and the basis for the order to an advisory committee of experts established pursuant to subparagraph (B) for a report and recommendation with respect to the order. The advisory committee shall, after independent study of the data and information furnished to it by the Secretary and other data and information before it, submit to the Secretary a report and recommendation, together with all underlying data and information and a statement of the reasons or basis for the recommendation. A copy of such report shall be promptly supplied by the Secretary to any person who petitioned for such referral to the advisory committee.

(B)

The Secretary shall establish advisory committees (which may not be panels under section 360c of this title) to receive referrals under subparagraph (A). The Secretary shall appoint as members of any such advisory committee persons qualified in the subject matter to be referred to the committee and of appropriately diversified professional backgrounds, except that the Secretary may not appoint to such a committee any individual who is in the regular full-time employ of the United States and engaged in the administration of this chapter. Members of an advisory committee (other than officers or employees of the United States), while attending conferences or meetings of their committee or otherwise serving at the request of the Secretary, shall be entitled to receive compensation at rates to be fixed by the Secretary, which rates may not exceed the daily equivalent for grade GS–18 of the General Schedule for each day (including traveltime) they are so engaged; and while so serving away from their homes or regular places of business each member may be allowed travel expenses, including per diem in lieu of subsistence, as authorized by section 5703 of title 5 for persons in the Government service employed intermittently. The Secretary shall designate the chairman of an advisory committee from its members. The Secretary shall furnish each advisory committee with clerical and other assistance, and shall by regulation prescribe the procedures to be followed by each such committee in acting on referrals made under subparagraph (A).

(C)

The Secretary shall make public the report and recommendation made by an advisory committee with respect to an application and shall by order, stating the reasons therefor, either affirm the order referred to the advisory committee or reverse such order and, if appropriate, approve or deny approval of the application, reinstate the application’s approval, approve the protocol, or place in effect a notice of completion.

(h) Service of orders

Orders of the Secretary under this section shall be served (1) in person by any officer or employee of the department designated by the Secretary, or (2) by mailing the order by registered mail or certified mail addressed to the applicant at his last known address in the records of the Secretary.

(i) Revision
(1)

Before December 1, 1995, the Secretary shall by order require manufacturers of devices, which were introduced or delivered for introduction into interstate commerce for commercial distribution before May 28, 1976, and which are subject to revision of classification under paragraph (2), to submit to the Secretary a summary of and citation to any information known or otherwise available to the manufacturer respecting such devices, including adverse safety or effectiveness information which has not been submitted under section 360i of this title. The Secretary may require the manufacturer to submit the adverse safety or effectiveness data for which a summary and citation were submitted, if such data are available to the manufacturer.

(2)

After the issuance of an order under paragraph (1) but before the date that is 2 years after July 9, 2012, the Secretary shall issue an administrative order following publication of a proposed order in the Federal Register, a meeting of a device classification panel described in section 360c(b) of this title, and consideration of comments from all affected stakeholders, including patients, payors, and providers, notwithstanding subchapter II of chapter 5 of title 5, for each device—

(A)

which the Secretary has classified as a class III device, and

(B)

for which no administrative order has been issued under subsection (b) (or no regulation has been promulgated under such subsection prior to July 9, 2012),

revising the classification of the device so that the device is classified into class I or class II, unless the administrative order issued under this paragraph requires the device to remain in class III. In determining whether to revise the classification of a device or to require a device to remain in class III, the Secretary shall apply the criteria set forth in section 360c(a) of this title.

(3)

The Secretary shall, as promptly as is reasonably achievable, but not later than 12 months after the effective date of the order requiring a device to remain in class III, establish a schedule for the issuance of an administrative order under subsection (b) for each device which is subject to the order requiring the device to remain in class III.

Source credit: (June 25, 1938, ch. 675, § 515, as added Pub. L. 94–295, § 2, May 28, 1976, 90 Stat. 552; amended Pub. L. 101–629, §§ 4(b)(1), 9(a), 18(c), Nov. 28, 1990, 104 Stat. 4515, 4521, 4528; Pub. L. 103–80, § 3(t), Aug. 13, 1993, 107 Stat. 778; Pub. L. 105–115, title II, §§ 201(b), 202, 205(c), 209(b), 216(b), Nov. 21, 1997, 111 Stat. 2334, 2338, 2341, 2349; Pub. L. 107–250, title II, §§ 209, 210, title III, § 302(c), Oct. 26, 2002, 116 Stat. 1613, 1614, 1618; Pub. L. 108–214, § 2(d)(1), Apr. 1, 2004, 118 Stat. 576; Pub. L. 110–85, title VIII, § 801(b)(3)(D), Sept. 27, 2007, 121 Stat. 921; Pub. L. 112–144, title II, § 203(g), title VI, § 608(b)(1), July 9, 2012, 126 Stat. 1006, 1056; Pub. L. 114–255, div. A, title III, §§ 3051(c)(1), 3058(b), 3101(a)(2)(J), Dec. 13, 2016, 130 Stat. 1124, 1129, 1154; Pub. L. 115–52, title II, § 203(f)(2)(A), Aug. 18, 2017, 131 Stat. 1015; Pub. L. 117–328, div. FF, title III, § 3308(b)(2), Dec. 29, 2022, 136 Stat. 5836.)

history & why it existsrecord from the source credit
  • 1938Enacted · Pub. L. 94-295 · 90 Stat. 552
  • 1990Amended · Pub. L. 101-629 · 104 Stat. 4515, 4521, 4528
  • 1993Amended · Pub. L. 103-80 · 107 Stat. 778
  • 1997Amended · Pub. L. 105-115 · 111 Stat. 2334, 2338, 2341, 2349
  • 2002Amended · Pub. L. 107-250 · 116 Stat. 1613, 1614, 1618
  • 2004Amended · Pub. L. 108-214 · 118 Stat. 576
  • 2007Amended · Pub. L. 110-85 · 121 Stat. 921
  • 2012Amended · Pub. L. 112-144 · 126 Stat. 1006, 1056
  • 2016Amended · Pub. L. 114-255 · 130 Stat. 1124, 1129, 1154
  • 2017Amended · Pub. L. 115-52 · 131 Stat. 1015
  • 2022Amended · Pub. L. 117-328 · 136 Stat. 5836

A history note hasn’t been published yet. The record shows enactment by Pub. L. 94-295 on 1938-06-25.

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