FDA 21 CFR 812 IDE 中文简译 (fda临床试验规定).pdf

PARTPART 812812INVESTIGATIONALINVESTIGATIONAL DEVICEDEVICE EXEMPTIONSEXEMPTIONS 调查的机械豁免调查的机械豁免 SubpartSubpart A AGeneralGeneral ProvisionsProvisions Sec. 812.1 Scope. 范围 812.2 Applicability. 申请 812.3 Definitions. 定义 812.5 Labeling of investigational devices. 标记调查用的机械 812.7 Prohibition of promotion and other practices. 推广的禁用和实行 812.10 Waivers. 豁免 812.18 Import and export requirements. 进口和出口的需求。 812.19 Address for IDE correspondence. IDE 对应的定位 Subpart BApplication and Administrative Action 部分 B-申请程序和行政诉讼 812.20 Application. 申请, 申請內容 812.25 Investigational plan. 研究计划 812.27 Report of prior investigations. 前调查报告(临床前报告) 812.30 FDA action on applications. FDA 的申请程序上的行动 812.35 Supplemental applications. 补充申请 812.36 Treatment use of an investigational device. 研究机械的处方 812.38 Confidentiality of data and information.数据和信息的保密性。 Subpart CResponsibilities of Sponsors对厂商的责任 分部 C 812.40 General responsibilities of sponsors. 厂商的一般责任 812.42 FDA and IRB approval.FDA 和 IRB 的批准 812.43 Selecting investigators and monitors. 选择的调查和监控。 812.45 Informing investigators. 告知调查。 812.46 Monitoring investigations. 监测调查。 812.47 Emergency research under 50.24 of this chapter. 紧急研究 Subpart DIRB Review and Approval 分部 D-IRB 的审查和批准 812.60 IRB composition, duties, and functions. IRB 组成，职责和功能 812.62 IRB approval. IRB 的批准。 812.64 IRBs continuing review. IRB 的持续检讨 812.65 Reserved 修改中 812.66 Significant risk device determinations. 重大危险设备的确定 Subpart EResponsibilities of Investigators研究者的责任 812.100 General responsibilities of investigators.研究者的一般责任 812.110 Specific responsibilities of investigators.研究者的特殊责任 812.119 Disqualification of a clinical investigator.被取消资格的临床研究者 812.1812.1 Scope.Scope. (a) The purpose of this part is to encourage, to the extent consistent with the protection of public health and safety and with ethical standards, the discovery and development of useful devices intended for human use, and to that end to maintain optimum freedom for scientific investigators in their pursuit of this purpose. 一）这部分的目的是要鼓励，保护公众健康和安全，道德标准，发现和开发有用的设备用于 人类使用的相一致的程度， 并为此目的， 以保持最佳的自由科学的研究人员在他们的追求自 己的目标。 (b) This part provides procedures for the conduct of clinical investigations of devices. An approved investigational device exemption (IDE) permits a device that otherwise would be required to comply with a performance standard or to have premarket approval to be shipped lawfully for the purpose of conducting investigations of that device. An IDE approved under 812.30 or considered approved under 812.2(b) exempts a device from the requirements of the following sections of the Federal Food, Drug, and Cosmetic Act (the act) and regulations issued thereunder: Misbranding under section 502 of the act, registration,listing,andpremarketnotificationundersection510, performance standards under section 514, premarket approval under section 515, a banned device regulation under section 516, records and reports under section 519, restricted device requirements under section 520(e), good manufacturing practice requirements under section 520(f) except for the requirements found in 820.30, if applicable (unless the sponsor states an intention.to comply with these requirements under 812.20(b)(3) or 812.140(b)(4)(v) and color additive requirements under section 721. (b) References in this part to regulatory sections of the Code of Federal Regulations are to chapter I of title 21, unless otherwise noted. 45 FR 3751, Jan. 18, 1980, as amended at 59 FR 14366, Mar. 28, 1994; 61 FR 52654, Oct. 7, 1996 （b）本部分提供设备的临床调查程序的行为。经批准的调查装置豁免（IDE）允许的设备， 否则将须遵守的绩效标准， 或有运合法进行调查的目的， 该设备的上市前批准。 根据812.30 批准的 IDE 或审议批准，根据812.2（b）豁免的设备“联邦食品，药品和化妆品法” （该 法）和法规据此颁布的以下部分的要求：根据第 502 Misbranding 的行为，登记，上市， 上 市前通知，根据第 510 条，第 514 的性能标准下，根据第 515 上市前批准，禁止器械监管， 记录和报告根据第 519，限制设备的需求，根据第 520（E）根据第 516，良好生产规范要求， 根据第 520（f）除820.30 中的要求，如果适用（除非赞助商规定的 intention.to 符合这 些要求根据812.20（B） （3）或812.140（B） （ 4） （V） ）和第 721 条的颜色添加剂规定。 （二）在这部分的监管部分的联邦法规法典第 21 章我，除非另有说明。 812.2812.2 Applicability.Applicability. (a) General. This part applies to all clinical investigations of devices to determine safety and effectiveness, except as provided in paragraph (c) of this section. (b) Abbreviated requirements. The following categories of investigations are considered to have approved applications for IDE s, unless FDA has notified a sponsor under 812.20(a) that approval of an application is required: （a）一般一般。本部分适用于所有设备的临床调查，以确定 安全性和有效性，在本节（c）段规定的除外。 （二）缩写的要求。以下类别的调查被认为是 IDE 的已批准的申请程序，除非 FDA 已通 知申请商根据812.20（a）在批准申请要求： 1）调查的其他设备 比重大的风险的移动设备，如果该设备是不是一个被禁止的设备和赞助商： （一）按照标签设备 812.5; （二）调查获得 IRB 的批准后提出审查 IRB 简要说明所以，该设备是不是一个显著的风险 设备，并能保持这样的批准; （三）确保每个调查参与调查设备获取从每个主题下研究者的关怀下，知情同意 根据第 50 部分和文件，除非文档免除其 IRB 根据56.109（C） 。 （四）符合要求 (iv) Complies with the requirements of 812.46 with respect to monitoring investigations; (v) Maintains the records required under 812.140(b) (4) and (5) and makes the reports required under 812.150(b) (1) through (3) and (5) through (10); (vi) Ensures that participating investigators maintain the records required by 812.140(a)(3)(i) and make the reports required under 812.150(a) (1), (2), (5), and (7); and (vii) Complies with the prohibitions in 812.7 against promotion and other practices. (2) An investigation of a device other than one subject to paragraph (e) of this section, if theinvestigation was begun on or before July 16, 1980, and to be completed, and is completed, on or before January 19, 1981. (c)Exempted investigations. This part,with the exception of 812.119, does not apply to investigations of the following categories of devices: (1) A device, other than a transitional device, in commercial distribution immediately before May 28, 1976, when used or investigated in accordance with the indications in labeling in effect at that time. (2) A device, other than a transitional device, introduced into commercial distribution on or after May 28, 1976, that FDA has determined to be substantially equivalent to a device in commercial distribution immediately before May 28, 1976, and that is used or investigated in accordance with the indications in the labeling FDA reviewed under subpart E of part 807 in determining substantial equivalence. 812.119例外，这部分并不适用于以下调查 的设备的类别： 1. 一个仪器，一个过渡性的装置以外，在商业分销紧接之前5月28日，1976年，使用时根据 当时的效果上的指示标签或调查。 2. 设备，其他比一个过渡性的设备，引入商业流通于1976年5月28日或之后，FDA已经确定 设备大致相当于商业分销，立即在1976年5月28日之前，那就是使用或调查审查按照在标签 FDA的迹象，下部分807在确定实质等同性条E款。 (3) A diagnostic device, if the sponsor complies with applicable requirements in 809.10(c) and if the testing: (i) Is noninvasive, (ii) Does not require an invasive sampling procedure that presents significant risk, (iii) Does not by design or intention introduce energy into a subject, and (iv) Is not used as a diagnostic procedure without confirmation of the diagnosis by another, medically established diagnostic product or procedure. (4) A device undergoing consumer preference testing, testing of a modification, or testing of a combination of two or more devices in commercial distribution, if the testing is not for the purpose of determining safety or effectiveness and does not put subjects at risk. (5) A device intended solely for veterinary use. (6) A device shipped solely for research on or with laboratory animals and labeled in accordance with 812.5(c). (7) A custom device as defined in 812.3(b), unless the device is being used to determine safety or effectiveness for commercial distribution. 的诊断设备，如果申请商符合适用809.10（c）和测试要求： 1. 非侵入性， 2. 并无需要侵入性的抽样程序，呈现显著的风险， 3. 不设计或意图引进能源成主题， 4. 不使用作为一个诊断过程没有诊断确认，另一位医学诊断产品或程序。 4. 的移动设备接受消费者的喜好的测试，测试的变形，或在商业销售中的两个或多个设备 的组合的测试，如果测试是不是为目的确定安全性或有效性，不把风险科目。 5. 设备仅供兽医使用 6. 设备运仅用于研究或实验动物，并按照812.5（三）标记。 7. 812.3（b）条所界定的定制设备，除非设备被用来确定商业流通的安全性或有效性。 (d)Limit on certain exemptions. In the case of class II or class III device described in paragraph (c)(1) or (2) of this section, this part applies beginning on the date stipulated in an FDA regulation or order that calls for the submission of premarket approval applications for an unapproved class III device, or establishes a performance standard for a class II device. （四）某些豁免的限制。 本节段所描述的II类或III类设备（三） （1）或（2）的情况下，本部分适用之日起，FDA法 规或命令， 要求提交的上市前批准申请规定未经批准的第三类设备， 或建立一个II类设备的 性能标准。 (e)Investigations subject to INDs.A sponsor that, on July 16, 1980, has an effective investigational new drug application (IND) for an investigation of a device shall continue to comply with the requirements of part 312 until 90 days after that date. To continue the investigation after that date, a sponsor shall comply with paragraph (b)(1) of this section, if the device is not a significant risk device, or shall have obtained FDA approval under 812.30 of an IDE application for the investigation of the device. （五）新药申请的受试者 赞助商，1980年7月16日，有一个有效的研究新药申请（IND）的设备进行调查，直到该日期 后90日内，将继续遵守与312部分的要求。要继续调查，在该日期之后，赞助商应符合本节 （b）段（1） ，如果该设备不是一个显著风险装置，或已获得美国食品和药物管理局的批准， 根据812.30 IDE申请调查设备。 812.3812.3 Definitions.Definitions. (a)Actmeans the Federal Food, Drug, and Cosmetic Act (sections 201 901, 52 Stat. 1040et seq., as amended (21 U.S.C. 301392). (b)Custom devicemeans a device that: (1) Necessarily deviates from devices generally available or from an applicable performance standard or premarket approval requirement in order to comply with the order of an individual physician or dentist; (2) Is not generally available to, or generally used by, other physicians or dentists; (3) Is not generally available in finished form for purchase or for dispensing upon prescription; (4) Is not offered for commercial distribution through labeling or advertising; and (5) Is intended for use by an individual patient named in the order of a physician or dentist, and is to be made in a specific form for that patient, or is intended to meet the special needs of the physician or dentist in the course of professional practice. (c)FDAmeans the Food and Drug Administration. (d)Implantmeans a device that is placed into a surgically or naturally formed cavity of the human body if it 812.5812.5 LabelingLabeling ofof investigationalinvestigational devices.devices. (a) Contents. An investigational device or its immediate package shall bear a label with the following information: the name and place of business of the manufacturer, packer, or distributor (in accordance with 801.1), the quantity of contents, if appropriate, and the following statement: CAUTIONInvestigational device. Limited by Federal (or United States) law to investigational use. The label or other labeling shall describe all relevant contraindications, hazards, adverse effects, interfering substances or devices, warnings, and precautions. (b)Prohibitions. The labeling of an investigational device shall not bear any statement that is false or misleading in any particular and shall not represent that the device is safe or effective for the purposes for which it is being investigated. (c)Animal research. An investigational device shipped solely for research on or with laboratory animals shallbearonitslabelthefollowingstatement: CAUTION Devicefor investigational use in laboratory animals or other tests that do not involve human subjects. 812.5贴标研究设备。 内容。调查装置或其直接包装上须标示以下信息： 的名称和业务的制造商，包装商或分销商（按照801.1） ，内容量，如果适当的话，下面的 语句： 当心调查设备。有限公司由联邦（或美国）法律研究使用。标签或其他标记应描述所有相关 的禁忌症，危害，不利影响，干扰物质或装置，警告和注意事项。 （二）禁止。 上属虚假或具误导性的研究设备的标签不承担任何声明不得代表任何特定的目的， 它正在调 查该设备是安全的或有效。 （三）对动物的研究。 一个仅用于研究或实验动物研究设备运在其标签上应承担以下声明： “注意用于研究在实验 室动物或其他不涉及人类受试者的测试设备。(只能用于动物) 812.7 Prohibition of promotion and other practices. A sponsor, investigator, or any person acting for or on behalf of a sponsor or investigator shall not: (a) Promote or test market an investigational device, until after FDA has approved the device for commercial distribution. (b)Commercializeaninvestigationaldevicebychargingthesubjectsor investigators for a device a price larger than that necessary to recover costs of manufacture, research, development, and handling. (c) Unduly prolong an investigation. If data developed by the investigation indicate in the case of a class III device that premarket approval cannot be justified or in the case of a class II device that it will not comply with an applicable performance standard or an amendment to that standard, the sponsor shall promptly terminate the investigation. (d) Represent that an investigational device is safe or effective for the purposes for which it is being investigated. 禁止宣传等做法。 申请商，研究员，或行事的任何人或代表的申请商或研究者不得： （一）促进或测试市场调查装置，直到 FDA 已经批准了该设备用于商业分布后。 （二）商业化的研究设备充电设备价格大于必要的生产，研究，开发收回成本的科目或 调查，和处理。 （三）不适当地延长了调查。如果开发调查数据表明在类的移动设备不能自圆其说或 II 类设备的情况下，上市前批准的情况下，它不会遵守适用的性能标准或修订该标准，保荐机 构应当及时终止调查。 （四）代表，它正在调查的目的是安全的或有效的研究设备。 812.10 Waivers. (a) Request. A sponsor may request FDA to waive any requirement of this part. A waiver request, with supporting documentation, may be submitted separately or as part of an application to the address in 812.19. (b) FDA action. FDA may by letter grant a waiver of any requirement that FDA finds is not required by the act and is unnecessary to protect the rights, safety, or welfare of human subjects. (c) Effect of request. Any requirement shall continue to apply unless and until FDA waives it. （一）申请。申请商可能会要求 FDA 放弃任何要求的一部分。的豁免请求，支持文档，可单 独提交或者作为一个申请到的地址812.19中的一部分。 （二） FDA 的行动。 信， FDA 可能授出豁免的任何规定， FDA 发现不要求行为是不必要的， 以 保护人类受试者的权利，安全或福利。 （三）要求的影响。任何要求，应继续适用，除非及直至 FDA 放弃。 812.18 Import and export requirements. (a) Imports. In addition to complying with other requirements of this part, a person who imports or offers for importation an investigational device subject to this part shall be the agent of the foreign exporter with respect to investigations of the device and shall act as the sponsor of the clinical investigation, or ensure that another person acts as the agent of the foreign exporter and the sponsor of the investigation. (b) Exports. A person exporting an investigational device subject to this part shall obtain FDAs prior approval, as required by section 801(e) of the act or comply with section 802 of the act. （一）进口。 除符合本部分要求， 人谁进口或提供进口设备研究课题在这一部分应当是代理 国外出口商调查设备和作为申请商的临床调查， 或确保其他人充当代理国外出口商和赞助商 的调查。 （二）出口。一个人出口受调查装置 部分应事先获得 FDA 的批准，第801（e）条的行为所要求的或符合该法案第802节。 SubpartSubpart B BApplicationApplication andand AdministrativeAdministrative ActionAction 812.20812.20 Application.Application. (a)Submission. (1) A sponsor shall submit an application to FDA if the sponsor intends to use a significant risk device in an investigation, intends to conduct an investigation that involves an exception from informed consent under 50.24 of this chapter, or if FDA notifies the sponsor that an application is required for an investigation. (2) A sponsor shall not begin an investigation for which FDAs approval of an application is required until FDA has approved the application. (3) A sponsor shall submit three copies of a signed Application for an Investigational Device Exemption (IDE application), together with accompanying materials, by registered mail or by hand to the address in 812.19. Subsequent correspondence concerning an application or a supplemental application shall be submitted by registered mail or by hand. a）提交。 （1）如果赞助商拟使用显著的风险设备在进行调查中，申请商应当向FDA提交申请，拟进行 的调查， 涉及到一个异常知情同意根据本章50.24， 如果FDA通知保荐一个应用程序需要进 行调查。 2. 申请商应当展开调查，FDA批准应用程序的需要，直到FDA已经批准了该应用程序。 （3）申请商应当提交3份签署的“应用的调查设备豁免（IDE应用程序） ，连同随行材料， 通 过挂号邮件或手812.19中的地址。 后续对应一个应用程序或补充申请， 应当提交由挂号邮 件或手。 (i) A sponsor shall submit a separate IDE for any clinical investigation involving an exception from informed consent under 50.24 of this chapter. Such a clinical investigation is not permitted to proceed without the prior written authorization of FDA. FDA shall provide a written determination 30 days after FDA receives the IDE or earlier. (ii) If the investigation involves an exception from informed consent under 50.24 of this chapter, the sponsor shall prominently identify on the cover sheet that the investigation is subject to the requirements in 50.24 of this chapter. （1）申请商应当提交任何临床调查， 根据50.24本章涉及知情同意的例外一个单独的IDE。 这种临床调查，不允许进行未经事先书面授权，FDA。 FDA应提供的书面决定后30日内FDA 收到的IDE或更早。 （2）若调查根据50.24本章涉及知情同意的例外，申请商应突出封面上确定调查本章 50.24中的要求。 (b)Contents.An IDE application shall include, in the following order: (1) The name and address of the sponsor. (2) A complete report of prior investigations of the device and an accurate summary of those sections of the investigational plan described in 812.25(a) through (e) or, in lieu of the summary,the complete plan. The sponsor shall submit to FDA a complete investigational plan and a complete report of prior investigations of the device if no IRB has reviewed them, if FDA has found an IRBs review inadequate, or if FDA requests them. (3) A description of the methods, facilities, and controls used for the manufacture, processing, packing, storage, and, where appropriate, installation of the device, in sufficient detail so that a person generally familiar with good manufacturing practices can make a knowledgeable judgment about the quality control used in the manufacture of the device. (4) An example of the agreements to be entered into by all investigators to comply with investigator obligations under this part, and a list of the names (5) A certification that all investigators who will participate in the investigation have signed the agreement, that the list of investigators includes all the investigators participating in the investigation, and that no investigators will be added to the investigation until they have signed the agreement. (6) A list of the name, address, and chairperson of each IRB that has been or will be asked to review the investigation and a certification of the action concerning the investigation taken by each such IRB. (7) The name and address of any institution at which a part of the investigation may be conducted that has not been identified in accordance with paragraph (b)(6) of this section. (8) If the device is to be sold, the amount to be charged and an explanation of why sale does not constitute commercialization of the device. (9) A claim