Do you Need an IDE? IDE Applications and Maintenance

What

The FDA regulations state that all clinical investigations of devices must have an approved IDE or be exempt from the IDE regulations.

Who

The FDA definition of a sponsor-investigator means an individual who both initiates and actually conducts, alone or with others, an investigation, that is, under whose immediate direction the investigational device is administered, dispensed, or used. The term does not include any person other than an individual. (21 CFR 812.3 (o))

The sponsor (sponsor-investigator) is responsible for submitting an IDE application to FDA and ensuring IRB review and approval are obtained. (21 CFR 812.40)

How

The following questions and resources serve as a guide to assist in the determining whether your study requires an IDE.

1. Is the study an investigation?

The FDA definition of an investigation means a clinical investigation or research involving one or more subjects to determine the safety or effectiveness of a device. (21 CFR 812.3 (h))

2. Is the product a Medical Device?

Refer to the following information to determine if your product meets the FDA definition of a medical device.

• FDA Definition of a Medical Device
• Classify Your Medical Device
• Software as a Medical Device (SaMD)
• Device Software Functions Including Mobile Medical Applications
• Clinical Decision Support Software
• Policy for Device Software Functions and Mobile Medical Applications
• FDA Device Advice: Comprehensive Regulatory Assistance

3. Is the study exempt from IDE regulations?

Refer to the following documents to determine if the device study is exempt from IDE regulations (no IDE required).

• IDE Exempt Investigations
• 21 CFR 812.2 (c)
• PPHS HRP-316 – Worksheet – Devices

Note: IRB review and approval is required for exempt studies.

4. Is the device study classified as a Significant Risk (SR) or Nonsignficant Risk (NSR) study?

If the study does not meet the exemption criteria (21 CFR 812.2 (c)), the sponsor (sponsor-investigator) is required to make an initial assessment of whether the study is a Significant Risk (SR) or Nonsignificant Risk (NSR) device study. Below is an overview of the approval process for these types of device studies:

Significant Risk (SR) Study Approval Process:

• Require IDE submission and FDA approval prior to study initiation
• Require IRB review and approval prior to study initiation

Nonsignificant Risk (NSR) Devices Approval Process:

• Only require IRB approval prior to study initiation. IDE submission and FDA approval is not required.
• If the sponsor (sponsor-investigator) believes it is a NSR study, the study can be be directly submitted to the IRB for review.
• If the IRB agrees with the NSR assessment, the study is an abbreviated IDE and must must comply with abbreviated IDE requirements (21 CFR 812.2 (b)).
• If the IRB disagrees with the sponsor-investigator’s NSR assessment, the sponsor (sponsor-investigator) must report this to the FDA within 5 working days (CFR 812.150(b)(9)).

For detailed guidance on the SR vs NSR determination and IDE approval process, refer to the following information:

• Significant Risk and Nonsignificant Risk Medical Devices
• IDE Approval Process
• HRP – 423 – Checklist – Nonsignificant Risk Device

5. Not sure if your study is a SR or NSR device study?

The FDA can make the study risk or IDE exempt determination. When the FDA makes the SR/NSR or exempt determination, the FDA is the final arbitrator.

To learn more about the application process for an FDA significant risk (SR), nonsignificant risk (NSR) or exempt determination, submit a Research 411 ticket.

Additional Resources

FDA Q-Submission Program: The FDA offers a Q-Submission Program that provides sponsors (sponsor-investigators) the opportunity to receive feedback from the FDA regarding IDE submissions.

Clinical Research Support Unit (CRSU): The Clinical Research Support Unit (CRSU) provide IDE consultations. To request a consultation, contact Tiffany Drummond, tiffany.drummond@mssm.edu.

Questions

The Office of Research Services (ORS) provides IDE consultation services as well as templates to assist study teams with IDE and Q- submissions. To request a consultation and/or templates, please submit a Research 411 ticket. Please note that as of September 7, 2022 the ORS IND consultations services are temporarily unavailable.