United States: FDA De Novo Device Classification Process & Preemption

Last Updated: December 14 2018
Article by James Beck

The FDA has recently released a proposed rule "to establish requirements for the medical device De Novo classification process" provided in 21 U.S.C. §360c(f)(2). FDA, "Medical Device De Novo Classification Process," 83 Fed. Reg. 63127 (Dec. 7, 2018). This de novo classification option is a relatively recent addition to the FDCA (via the 1997 FDA Modernization Act), and provides:

(ii) In lieu of submitting a report under section 360(k) [a/k/a/ §510(k)] . . ., if a person determines there is no legally marketed device upon which to base a determination of substantial equivalence . . ., a person may submit a request under this clause for the Secretary to classify the device.

(iii) Upon receipt of a request . . ., the Secretary shall classify the device subject to the request under the criteria set forth in subparagraphs (A) through (C) of subsection (a)(1) [meaning Class I, Class II, or Class III] within 120 days.

(iv). . . .

(v) The person submitting the request for classification under this subparagraph may recommend to the Secretary a classification for the device and shall, if recommending classification in class II, include in the request an initial draft proposal for applicable special controls, as described in subsection (a)(1)(B), that are necessary, in conjunction with general controls, to provide reasonable assurance of safety and effectiveness and a description of how the special controls provide such assurance. Any such request shall describe the device and provide detailed information and reasons for the recommended classification.

360c(f)(2)(ii-v) (emphasis added). The emphasized statutory language establishes the standard to which these "de novo" devices are held: "reasonable assurance of safety and effectiveness." That's important to preemption because of what Medtronic, Inc. v. Lohr, 518 U.S. 470 (1996), had to say over twenty years ago: "provid[ing] the FDA with a 'reasonable assurance' that the device is both safe and effective[,] [d]espite its relatively innocuous phrasing . . ., is a rigorous one. Manufacturers must submit detailed information regarding the safety and efficacy of their devices, which the FDA then reviews." Id. at 477.

Famously, Lohr also declared that the 510(k) substantial equivalence process "[t]he 510(k) process is focused on equivalence, not safety." Id. at 493 (emphasis original). That is certainly cannot the case with de novo devices, since by definition there is no equivalence determination to be made. Indeed, the FDA "may decline to undertake a classification request submitted under clause (ii) if [it] identifies a legally marketed device that could provide a reasonable basis for review of substantial equivalence." 21 U.S.C. §§360c(f)(2)(iv).

We've expounded at great length in our " Lohr Has Two Shadows" post about how Lohr had been an anachronism ever since it was decided because Congress toughened up the original 510(k) process that Lohr addressed with the Safe Medical Devices Act of 1990. The SMDA imposed the same "reasonable assurance of safety and effectiveness" standard on substantial equivalence determinations that Lohr had praised as "rigorous in Lohr. See 21 U.S.C. §§360c(a)(1)(B), 360c(f)(1)(A)(v).

Nevertheless, since Lohr, the judiciary has engaged in a conspiracy to ignore the SMDA and treat all 510(k) medical devices as if they were evaluated under minimalistic standard that the Supreme Court addressed in 1996. With de novo devices, it's going to be a lot harder for judges to continue sticking their heads in the sand and chanting "Lohr, Lohr, Lohr" every time a non-PMA device is at issue.

The FDA's proposed rule makes clear that the de novo process is essentially the SMDA's "special controls" regime without the fig leaf of substantial equivalence:

The De Novo classification process provides a pathway to ensure the most appropriate classification of a device consistent with the protection of the public health and the statutory scheme for device regulation. This pathway is intended to limit unnecessary expenditure of FDA and industry resources that may occur if devices for which general controls or general and special controls provide a reasonable assurance of safety and effectiveness are subject to a PMA due to a lack of a predicate.

83 Fed. Reg. at 63129 (emphasis added). No longer can the SMDA standard for clearance of Class II devices be dismissed as involving "equivalence, not safety." It's the same "rigorous" standard that Lohr equated with PMA – only extended to other classes of devices, in particular:

For any class II recommendation, the De Novo request must also provide an initial draft of proposed special controls along with a description of how the special controls provide reasonable assurance of safety and effectiveness.

Id. at 63130.

The proposed regulations firmly establish that de novo devices are to be evaluated for "safety and effectiveness," not equivalence, in practically every aspect of their FDA review:

  • "If the submitter recommends that the device be classified as class II, FDA proposes that the recommendation must include a draft proposal for applicable special controls, and a description of how those special controls provide reasonable assurance of safety and effectiveness of the device." Id. at 63133.
  • "FDA proposes that the De Novo request include reference to any published standard relevant to the safety or effectiveness of the device." Id.
  • "For a clinical investigation involving human subjects, FDA proposes to require that a discussion of . . . safety and effectiveness data, adverse reactions and complications, patient discontinuation, patient complaints, device failures . . . and replacements. . . . FDA would use the summary of investigations in assessing safety and effectiveness of the device." Id.
  • "Valid scientific evidence is evidence . . . from which it can fairly and responsibly be concluded by qualified experts that there is reasonable assurance of the safety and effectiveness of a device under its conditions of use." Id. at 63133-34.
  • "The proposed benefit and risk considerations section would expressly require that, "pursuant to the determination of safety and effectiveness section of the regulations, a discussion be included demonstrating that . . . the probable benefit to health from use of the device outweighs any probable injury or illness from such use (i.e., a discussion demonstrating the safety and effectiveness of the device) when the device is used according to its labeling." Id. at 63134.
  • "Any safety and effectiveness data to assist FDA in assessing whether the clinical investigation supports that a reasonable assurance of safety and effectiveness exists. FDA would assess reasonable assurance of safety and effectiveness by evaluating the valid scientific evidence submitted to support the De Novo request. FDA would review the data to assess whether the data supports the claims made in the indications for use and demonstrates that the probable benefits of the device outweigh the probable risks." Id.
  • "Discussion of data on any adverse reactions to the use of the device . . . or complications related to the use of the device. . . . Frequency data and severity data are particularly useful in safety and effectiveness determinations. FDA would review the rates of complications in clinical investigations in assessing the safety and effectiveness of the device." Id.
  • "FDA would need all discontinuation data in order to determine the safety and effectiveness of the device." Id.
  • "Trends in complaints may point to possible risks posed by the device. FDA would review such trend analyses in assessing the safety and effectiveness of the device." Id. at 63135.
  • "In analyzing failures, factors such as location, user application, and repeat component failures may apply. FDA would review such analyses in assessing the safety and effectiveness of the device." Id.
  • "Statistical analysis of the results from each clinical investigation. The statistical analysis should specify and discuss all effects. FDA would review such analyses in assessing the safety and effectiveness of the device." Id.
  • Any "contraindication, precaution, warning, or other limiting statement relevant to the use of the device. . . . This includes information regarding any special care to be exercised by a practitioner or patient for the safe and effective use of the device." Id.
  • "[I]f a De Novo request relies primarily on data from a single investigator at one investigation site, the De Novo request must include a justification showing why these data and other information are sufficient to demonstrate the safety and effectiveness of the device." Id.
  • "FDA further proposes to require that a De Novo request include a discussion of the clinical significance of the results, pursuant to the determination of safety and effectiveness." Id.
  • "FDA proposes to require that the De Novo request include any other identification, discussion, and analysis of any other data, information, or report relevant to the safety and effectiveness of the device." Id.
  • "FDA proposes that the De Novo request must include other information that is necessary for FDA to determine whether general controls or general and special controls provide a reasonable assurance of safety and effectiveness of the device. Examples would include marketing experience outside the United States, medical device reporting (MDR) data . . ., and patient preference information." Id. at 63136.
  • "FDA proposes to require the De Novo requester to update its pending De Novo request with new safety and effectiveness information . . . as such information becomes available." Id.
  • "FDA proposes that FDA would be able to inspect relevant facilities prior to granting or declining a De Novo request. Such an inspection is intended to assist FDA in determining whether a reasonable assurance of safety and effectiveness can be provided by general or general and special controls." Id. at 63137.

Emphasis added in all cases. Once all of these safety/effectiveness requirements are complied with, the FDA would issue an "administrative order" granting the request and specifying the de novo device's classification. Id. By such orders "FDA would determine the safety and effectiveness of the device using the criteria specified in the determination of safety and effectiveness section of the regulations." Id. (citing 21 C.F.R. §§860.289(d), 860.7).

Given the proposed regulations' emphasis on determinations of device "safety and effectiveness" throughout, as well as its reliance on "special controls" customized to each de novo request, we think that de novo devices should be protected by preemption under Lohr and Riegel v. Medtronic, Inc., 552 U.S. 312 (2008). We have here device-specific requirements intended "to provide reasonable assurance of safety and effectiveness" of these devices

Oddly, there is no explicit discussion – or even mention – of "preemption" in the FDA's proposed rule. So that nobody ends up buying a pig in a poke, we advise that industry-side comments to this proposal should request the FDA to specify explicitly that it believes the de novo process provides preemptive protection under 21 U.S.C. §360k(a), for all products that the FDA concludes have "reasonable assurance of safety and effectiveness" under 21 U.S.C. §360c(f)(2), and in accordance with Lohr's analysis . While, in the past, FDA opinions on preemption haven't always been helpful, or even intelligible, this time it might be.

This article is presented for informational purposes only and is not intended to constitute legal advice.

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