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Ординатура / Хирургия / Библиотека им академика М.И. Перельмана / Книга_5423_Библиотеки_им_академика_М_И_Перельмана

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are provided to patients that are within the EU, which is referred to as distance sales. Chapter VI of the IVDR covers the requirements for clinical evidence, per­formance evaluation, and performance studies. Under Article 58(1) it states that a performance study application and approval is required when the study involves:
● Surgically invasive sampling only for the purpose of the performance study
● Is an interventional performance study where the test results may influence
patient management decisions or be used to guide treatment.
● The study involves additional invasive procedures or risks.
In addition, Article 58(2) specifies that a CDx performance study using leftover samples will need to also generate a performance study application and follow the notification process, for which approval does not need to be received but the appli­cation is still required to be submitted.
The application for the performance study must include all the elements out­lined in Annex XIV includes:
● Applicant information, including authorized representative and notified body.
● Device information and overview of the device procedure.
● Identification of all countries the study will be performed in, both EU Member
States and non‐EU member states.
● Clinical performance study plan or clinical protocol.
● Analytical performance of the device.
● Clinical data, both from previously conducted studies as well as literature
sources.
● Benefit‐risk analysis and known risks.
● Evidence of meeting the relevant requirements in the general safety and perfor-
mance requirements (GSPR) outlined in Annex I, including a signed statement
by the manufacturer stating this requirement has been met.
● Ethics committee approval.
● Proof of insurance to cover subjects in the case of injury.
● Informed consent documents.
● Summary of data protection and privacy.
Under the IVDR, the application is to be submitted using the electronic system set up by the European Commission. This electronic system is referred to as EUDAMED. At the time of writing this chapter, the performance study applica­tion module of Eudamed was not launched and available for use. In lieu of using EUDAMED, MDCG 2022‐12, Guidance on harmonized administrative practices
and alternative technical solutions until EUDAMED is fully functional (for Regulation (EU) 2017/746 on invitro diagnostic medical devices), stated that the
performance study applications should follow each member state’s national pro­cedure. This means that a performance study application must be submitted to each member state in which the clinical trial is conducted.
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The review process for a performance study application under IVDR can range from 10days up to 80days. Once the application is submitted, the reviewing com­petent authority has 10 days, with an optional five‐day extension, to notify the sponsor (i.e. the submitter of the application) that the application is within scope of IVDR and is complete. If the competent authority does not think the applica­tion is incomplete or that the application does not fall into scope of the IVDR, the sponsor has 10days to respond. After responding, the competent authority has an additional 5 days to review the updated response and/or application with an optional five‐day extension. This first review is considered the validation of the application. Once the application has been validated, the competent authority has 45days to review and notify the sponsor of the approval status of the application, with an optional 20‐day extension for the purpose of consulting with experts. For CDx, studies using leftover samples are able to initiate the clinical trial after the application validation date assuming that they have received ethics committee approval. For CDx clinical trials not using leftover samples, the competent author­ity approval and ethics committee approval must both be received prior to initiat­ing the clinical trial.
In October 2021, the European Commission amended the transitional provi­sions of IVDR to provide additional time for some diagnostic classes to conform to the new IVDR requirements[14]. While this did not specifically amend perfor­mance study application requirements, it did allow for CDx with a valid CE mark to continue to be used until 26May 2026. This would allow a CDx that was CE marked and used within its intended use to be used in a clinical trial without a performance study application.
With the newness of IVDR, both therapeutic and device manufacturers are uncertain of how the requirements should be interpreted. One area of ambiguity is around who should be the submitter of the performance study application. A majority of the elements required for a performance study application would be known by the device manufacturer; however, with the scope of IVDR being broad­ened to include any in vitro diagnostic that may influence patient management decisions and IVDR not having an option to submit an application based on risk (i.e. FDA NSR studies being exempt from an IDE application), not all invitro diag- nostic manufacturers have the capabilities to submit a performance study applica­tion. This is leading to some pharmaceutical companies taking on the role of submitting the performance study application for the invitro diagnostic.
17.3.2 European Union Marketing Authorization Pathways
Under IVDR, the regulatory pathway or conformity route chosen depends on the classification of the device. There are four conformity pathways that can be used either as standalone or in combination with one another. CDx are classified as a
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Class C device under IVDR and therefore have two options to obtain a CE mark, a quality management system (QMS) and technical documentation according to Annex IX or a type examination according to Annex X combined with a produc­tion quality assurance according to Annex XI.
QMS and technical documentation (Annex IX): This conformity route involves a full assessment of the manufacturer’s QMS and a review of the device’s techni­cal documentation by a notified body. This is the route most often selected by manufacturers as it provides opportunities for changes to the device without invalidating the CE mark and is similar to the type of review done by other health authorities for marketing approval. There is no timeline provided in the regula­tions specifying how long the notified body has from receipt of the application to issuance of the CE Mark. The review timeline will likely vary based on the readi­ness of the applicant and quality of the technical documentation.
Type examination (Annex X), including technical documentation review, com­bined with production quality assurance (Annex XI): In this conformity route, the manufacturer will supply a representative device to the notified body for examina­tion along with a review of its technical documentation. The notified body will also conduct an examination of the production and testing capabilities of the manufacturer. Upon successful completion of both activities, a notified body will issue two CE certificates to the manufacturer, one for each annex. This conformity pathway is ideal for devices that are locked with no changes expected. A change in the device may invalidate the CE mark and require a new type examination sub­mission. There is no timeline provided in the regulations specifying how long the notified body has from receipt of the application to issuance of the CE Mark. The review timeline will likely vary based on the readiness of the applicant and quality of the technical documentation.
For CDx, the notified body is also expected to consult with the competent authority reviewing the therapeutic or with EMA in the event the centralized pro­cedure is being used for approval. The consultation with the competent authority or EMA is to take place after the notified body has reviewed the application and determines that it conforms with the IVDR. Once submitted, the competent authority or EMA has 60days to review the CDx and provide their scientific opin­ion to the notified body. This review also has the option to be extended for an additional 60days. If after approval the CDx manufacturer makes changes to the device, they must notify the notified body of the changes. The notified body then determines if the device needs to be submitted for review and, if so, they must consult with the competent authority or EMA on the changes. If consulted, the competent authority or EMA has 30 days to review and provide their scientific opinion of the change to the notified body.
The technical documentation generated for a device under IVDR consists of two key documents: the general safety and performance requirements (GSPR)
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outlined in Annex I and the summary of technical documentation (STED) out­lined in Annex II.
The GSPR is a list of all requirements an invitro diagnostic device must meet in
order to bear the CE mark. The GSPR is broken into three chapters:
1) General Requirements: Items addressing risk management and general device
design development.
2) Requirements Regarding Performance, Design, and Manufacture Requirements:
specific performance characteristics requirements for non‐clinical, clinical, sterility, environment, software, energy, and self or near‐patient testing
3) Requirements Regarding Information Supplied with the Device: The required
elements of device labeling and instructions for use.
When the GSPR is completed by the manufacturer, this is most often seen as a table with each requirement from Annex I presented. The manufacturer then documents if the requirement was applicable or not applicable, documenting a reason or justification if deemed not applicable. For applicable requirements, the manufacturer must then document the method or standard used to fulfill the requirement and provide a reference to the objective evidence that the require­ment was met. An example would be in relation to requirements of risk manage­ment, the manufacturer would be expected to include citation to ISO 14971 and provide a reference to the device’s risk management file.
The STED is a narrative document drawn up by the manufacturer to provide an overall summary of the device. The STED is expected to present the device descrip­tion, summary of nonclinical performance testing, clinical summaries and data, overview of manufacturing methods and qualification testing, and an overview of the software development and system. This document is expected to include refer­ences to the device history files that support each of the elements above. Both the STED and GSPR are expected to be reviewed and updated throughout the life of the device. The updated files may also need to be supplied to the notified body and competent authority if requested.
17.4 Other Regulated Markets
In addition to the United States and EU, a number of other markets require regu­latory approval for CDx products, notable among these are the United Kingdom, Canada, Japan, and China.
● MHRA regulates CDx used in the United Kingdom. This includes requirements
for clinical trial applications and seeking a UKCA Mark for commercial approval.
The medical device regulation in the United Kingdom is in transition as after
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Brexit, MHRA announced that they were intending to introduce new regulation for governing medical devices, including CDx, which were separate from those estab­lished by the EU Commission (i.e. MDR and IVDR). At the time this chapter was written, the MHRA had released transitional provisions to allow for the continued acceptance of the EU CE Mark, under both the previous directive (98/79/EC) and the current regulation (IVDR 2017/746). MHRA is aiming for core aspects of the future medical device regulations to apply in July 2025[15].
● Health Canada has a robust invitro diagnostic device regulation where they
have classification rules around CDx and guidance documents speaking to their requirements[16].
● In Japan, regulatory oversight of CDx products is provided by the Pharmaceuticals
and Medical Devices Agency (PMDA). Similar to other markets, the preference is for co‐development of the therapeutic with the associated CDx. PMDA pro­vides several guidance documents for CDx, including “Notification on approval application for invitro CDx and corresponding therapeutic products”[17].
● CDx products in China are regulated by the National Medical Products
Administration (NMDA) and there is limited guidance in this region for CDx development[18]. China does not typically allow for shipment of samples out­side of China for the purposes of testing; therefore, it is recommended to have an in‐country presence or partner to coordinate with.
17.4.1 Global Regulatory Strategy
A global regulatory strategy (GRS) document looks at the device for what is cur­rently being developed and thinks wholistically about the device and its market­ing future. The document should be generated at the beginning of the device development and updated regularly throughout its lifecycle. By creating the GRS early in the device development, it ensures all parties are including country‐ specific requirements that may be needed at a future date and could potentially cause rework or delays. For example, some countries require in‐country clinical trials to be completed before authorization of the device. Knowing these require­ments early in the development process will minimize any delays or additional clinical trials that may be needed.
The GRS document can also keep track of changes the device or development strategy experiences over the development process. A CDx can take anywhere from 2 to 10 or more years from initiation of development to receipt of marketing approval. A central document that tracks the key discussion items and decisions made concerning the strategy can be extremely valuable in the later years of development. The GRS should also record requests, decisions, or disagreements with regulatory agencies that need to be addressed at the time of submission for
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marketing authorization. For example, more complex CDx programs may have three or more pre‐submissions that take place with FDA prior to submission of a PMA and the rationale behind the development team’s responses should be recorded. The FDA review team may provide the manufacturer with requests for the PMA in their first pre‐submission, which will need to be addressed during the PMA submission.
17.5 Development Strategy withthe Therapeutic
CDx can be developed as a codeveloped product or a follow‐on device. In
development, both products are being developing simultaneously and the CDx is
co‐ used in the pivotal clinical trial and sometimes in earlier clinical studies with the objective of a simultaneous submission and approval of the drug and the device. When the CDx is developed as a follow‐on device, the gene therapy may already be approved or in the review process with the regulatory agency while the CDx either has not been developed or is still in development. Conversely, a CDx may already be approved or commercially available and the gene therapy is not yet approved or not cross‐referenced in the intended use for the device. For AAV‐mediated gene therapy products, it is strongly recommended by FDA in multiple gene therapy‐specific guidance documents that a CDx be co‐developed with the therapy[19–21].
When codeveloping a CDx and gene therapy, it is advisable for the gene therapy manufacturer to identify the key requirements of the CDx early in the clinical development (Figure17.1). In an ideal situation, the CDx requirements are being assessed during the Phase 1 clinical trial when the first human study can be used to assess the true benefit of the CDx to the safety and efficacy of the patient popu­lation and define key performance requirements of the device, such as assay sen­sitivity. If the Phase 1 study shows that a CDx is necessary for patient safety or benefit, the Phase 2 study can be used to further develop the CDx assay and use it in the clinical trial for patient management decision making, typically seen as a test used for inclusion/exclusion screening. The CDx and gene therapy manufac­turer can even begin having pre‐submission or scientific advice meetings with the regulatory authorities on the further development needs of the CDx for the program.
During drug development, it is understood that the ideal situation does not always occur. In some cases, the Phase 2 study results may be sufficient to receive accelerated approval. The CDx may be used during the pivotal study but need to go through substantial changes to be ready for a marketing authorization submis­sion. In other situations, the commercial diagnostic partner may not be the same diagnostic company used during the clinical trial. In this case, the commercial diagnostic partner may be developing their CDx as the pivotal study is being
IVD
Pre-submissions
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meetings and interactions
IDE? IDE?
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IDE?
Therapeutic product meetings
Analytically validated test
Pre -IND
IVD
v1
Analytical
validation
studies
If changes to test
Analytically validated test
EOP1
EOP2A
IVD
v2
Changes?
EOP2
Final analytical performance determined
Phase 3Phase 2Phase 1Preclinical
necessary)
IVD
v3
Bridging
study (if
Pre-
NDA/BLA
PMA
NDA/BLA
Figure17.1 Codevelopment of a therapeutic and companion diagnostic from FDA
Guidance Principles for Codevelopment of an In Vitro Diagnostic Device with a Therapeutic Product[2]. Source: https://www.fda.gov/media/99030/download .Public domain.
conducted or after the study has already been completed. In both situations, the CDx manufacturer will be required to conduct a bridging study.
In a bridging study situation, the residual samples (i.e. leftover samples) from the pivotal study are retained and evaluated by the commercial CDx assay. The results obtained from the commercial CDx (CDx IVD) are compared against the results obtained by the assay used in the clinical trial. This is done to clinically validate the commercial CDx assay. If a bridging study is necessary, it is recom­mended that the CDx and gene therapy manufacturers meet with the FDA and EMA to discuss and agree on the design of the bridging study and target percent agreement values.
17.5.1 Considerations forRare Disease Indications
When developing a CDx for a rare disease, there are constraints that need to be considered during development that may not be present for a common or promi­nent disease indication.
One of the first considerations would be sample availability for use in the non‐ clinical validation of the CDx. As rare diseases will have a smaller patient popula­tion, this can cause limitations on the samples available to conduct suitable verification and validation studies for the CDx. The CDx manufacturer will be forced to use surrogate samples for some of their nonclinical performance studies. These can be contrived samples, samples of alternate sources or even samples
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from similar disease indications. However, even if surrogate samples are pro­cured, the regulatory agency reviewers will still expect that true patient samples be used in the key performance studies, such as accuracy and precision. The use of surrogate samples and the number of true patient samples that are necessary for conducting nonclinical performance studies should be discussed with the FDA or EMA early in the CDx development process.
Another consideration would be the limited amount of clinical data that may be available to support the clinical validation of the CDx. Rare diseases may often receive accelerated approval on smaller patient numbers than a full approval would require. In these situations, the gene therapy manufacturer discusses this pathway with the therapeutic regulatory agency review team and seeks endorse­ment; however, this conversation also needs to occur with the device regulatory agency review team. If these conversations do not take place during the develop­ment timeline, the CDx approval may jeopardize the approval of the gene therapy.
17.6 Partner Relationship
17.6.1 Importance ofthe Partner Relationship
It may be obvious but is worth stating that the relationship between the CDx man­ufacturer and the gene therapy manufacturer is a different relationship than that typically associated with vendors or contract research organizations (CROs). In the case of development of a CDx the device and gene therapy are two sides of the same coin where both will be necessary for the benefit of the HCPs and patients. Also, in this collaboration, both parties are required to share information that is not typically provided outside of the company, such as development and approval timelines, adverse events and safety information, clinical raw data, and feedback received from regulatory agencies. But, for the partnership to be successful, and therefore the gene therapy and CDx to be successful, the two teams need to work together in a partnership.
The selection of the CDx partner by the gene therapy manufacturer is a critical process that should not be rushed and be very deliberate. Some questions that the gene therapy manufacturer should ask themselves before selecting the partner would be:
Will the CDx be codeveloped or developed as a follow‐on device? Will the same assay be used from Phase 1 through commercial launch or will the
commercial CDx be brought later in the development timelines?
● Does the CDx partner have experience with the biomarker or analyte in ques-
tion? Do they have the technical and/or clinical expertise needed to support the assay and clinical development program?
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● Do they have experience with the technology?
● Do they have experience with the disease indication?
● Does the CDx partner already have a similar device that is either commer-
cially available or available to be used as a design prototype?
● Does the CDx need to be a distributable kit or is a single site assay more appli-
cable for the commercial needs?
● Can the CDx partner support the commercial volume of the gene therapy?
● Can the CDx partner support a global regulatory strategy? Do they have a
presence in the necessary countries or relationship with the key stakeholders that may be needed (i.e. in country authorized representatives or delegated marketing authorization holders)?
These questions should be assessed wholistically and on a case‐by‐case basis. The needs of the gene therapy manufacturer may be different for each product, indication, or country. It is also suggested that the gene therapy company employ staff or consultants who have expertise in CDx development. The regulations expectations for a gene therapy are very different than those of a CDx. Having the in‐house expertise can help facilitate the development process to ensure that both sides have all that is needed to achieve the product goals.
17.7 Commercial and Post-Approval Considerations
A commercialization strategy for the CDx should be prepared well before market­ing approval is obtained in order to ensure rapid deployment of the test. The strat­egy must consider matters, such as reimbursement, logistics, marketing, and regulatory approvals, in additional markets. Post‐approval the CDx may evolve as reagents and instruments are updated or changed, or laboratory facilities are moved and these changes typically require some type of regulatory action. And as a regulated product, CDx may be subject to various reporting obligations to the relevant authorities.
17.7.1 Future Proofing theCompanion Diagnostic
A common scenario is for an already approved CDx to be used in clinical develop­ment for a different drug, indication, or patient population than its original approval. For example, the FoundationOne CDx (Foundation Medicine, Inc.), cobas EGFR Mutation Test v2 (Roche Molecular Systems, Inc.), and BRACAnalysis CDx (Myriad Genetic Laboratories, Inc.) have claims for multiple drugs and indi­cations as shown on the FDA’s website, List of Cleared or Approved CDxDevices (In Vitro and Imaging Tools)[22]. The use of an already approved test during
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clinical development will typically incur lower risk than development of a new test.
When using an already approved CDx in a new gene therapy clinical develop­ment program, the CDx should still be assessed to determine if it is suitable for the new indication. This includes assessing if the previously validated cut‐off is suit­able for the new disease or patient population. Another consideration would be if the new indication would use a different sample type or sample volume (i.e. pedi­atric applications).
17.7.2 Modifications ofthe Companion Diagnostic
In the years following marketing, modification to the CDx may be required because of changes in reagent or instrumentation availability. Other potential changes that may impact a CDx include software updates and moving the site of a manufacturing or testing facility. These changes to the device typically require additional validation and reporting or submissions to regulatory agencies.
17.8 Final Word
This chapter provides only a brief overview of the regulatory considerations for CDx products. Additional details can be obtained from guidance documents pub­lished by regulatory agencies or through consultation with regulatory agencies and industry experts. The views and opinions expressed in this chapter are those of the authors personally and are not necessarily the views and opinions of their respective employers.
References
1 Food and Drug Administration (FDA) (2014). In vitro companion diagnostic
devices guidance for industry and food and drug administration staff. August 2014.
2 Food and Drug Administration (FDA) (2016). Principles for codevelopment of an
invitro companion diagnostic device with a therapeutic product. July 2016.
3 Food and Drug Administration (FDA) (2006). Information sheet guidance for
IRBs, clinical investigators, and sponsors significant risk and nonsignificant risk medical device studies. January 2006.
4 Investigational Device Exemption (United States), 21 CFR Part 812. 5 Food and Drug Administration (FDA) (2017). Investigational IVDs used in clinical
investigations of therapeutic products draft guidance for industry, FDA staff, sponsors and IRBs. December 2017.