The Office for Research Protections Quality Assurance Program is available to assist with IND preparation, submission, and maintenance. Contact them at orp-qm@psu.edu.

For guidance and templates for your IND application, see the Quality Assurance Program’s resources.

Sponsor-Investigator responsibilities under an IND or IDE are covered in 21 CFR 312 (for drugs) and 21 CFR 812 (for devices).

For more information on Humanitarian Use Devices, see the information provided by the College of Medicine.

Premarket approval (PMA) (21 CFR 814.39) is the FDA process of scientific and regulatory review to evaluate the safety and effectiveness of Class III medical devices. Due to the level of risk associated with Class III devices, FDA requires sufficient valid scientific evidence to assure that the device is safe and effective for its intended use(s).

For more information on Emergency Use of Unapproved Device, Compassionate Use, and Treatment Use, please see the information provided by the College of Medicine.

Some studies may be exempt from the IDE regulations. The exemption criteria is explained in 21 CFR 812.2(c), and briefly summarized here:

Studies of non-significant risk devices are subject to abbreviated IDE requirements. An IDE submission to the FDA is not required under the abbreviated requirements, but the requirements for labeling, IRB approval, informed consent, monitoring, records, reports and promotional practices contained in FDA regulations still apply (21 CFR 812.2(b)).

Requirements under abbreviated IDE:

Important: Clinical study of a new indication or new patient population for an already marketed device falls under the IDE regulations. Per Penn State University Policy RP05, “Research Quality in Human Participant Research,” it is required that the Office for Research Protections Quality Management Program be contacted to provide support for the submission process for IDEs or Study Risk Determinations, and to perform an administrative review of the submission prior to being sent to the FDA.

Devices used on human subjects to conduct investigations of safety and effectiveness are considered “Investigational Devices” (Section 520(g) of FD&C Act). Significant Risk (SR) device presents a potential for serious risk to the health, safety and welfare of a subject, and

Intended to be used as an implant;

The FDA has established classifications for approximately 1,700 different generic types of devices and grouped them into 16 medical specialties referred to as panels. Each of these generic types of devices is assigned to one of three regulatory classes (Class I, Class II and Class III) based on the level of control necessary to assure the safety and effectiveness of the device. The device classification defines the regulatory requirements for an approval of a new device. Regulatory control increases from Class I to Class II to Class III.