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Файл:Ординатура / Хирургия / Библиотека им академика М.И. Перельмана / Книга_5423_Библиотеки_им_академика_М_И_Перельмана
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17.3 European Union 417
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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 invitro 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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418
The review process for a performance study application under IVDR can range
from 10days up to 80days. 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 10days 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
45days 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 26May 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 invitro 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 invitro 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

17.3 European Union 419
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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 60days 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 60days. 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 invitro 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 invitro 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 invitro 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 withthe 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 (Figure17.1). 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?
423
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
Figure17.1 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 forRare 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 ofthe 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 theCompanion 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 ofthe 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
invitro 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.
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