10907.1 A sponsor:

(a) Shall submit an application to the Department 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 § 10602.6, or if DOH notifies the sponsor that an application is required for an investigation;

(b) Shall not begin an investigation for which the Department's approval of an application is required until the Department has approved the application;

(c) Shall submit three (3) 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 § 10906. Subsequent correspondence concerning an application or a supplemental application shall be submitted by registered mail or by hand; or

(d) Shall submit a separate IDE for any clinical investigation involving an exception from informed consent under § 10602.6. Such a clinical investigation is not permitted to proceed without the prior written authorization of the Department. The Department shall provide a written determination thirty (30) days after the Department receives the IDE or earlier.

10907.2 If the investigation involves an exception to informed consent, the sponsor shall prominently identify on the cover sheet that the investigation is subject to the requirements of informed consent under § 10602.6.

10907.3 An IDE application shall include, in the following order:

(a) The name and address of the sponsor;

(b) A complete report of prior investigations of the device and an accurate summary of those sections of the investigational plan described in § 10908.1(a) through (e) or, in lieu of the summary, the complete plan. The sponsor shall submit to the Department a complete investigational plan and a complete report of prior investigations of the device if no IRB has reviewed them, if the Department has found an IRB's review inadequate, or if the Department requests them;

(c) 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;

1. (d) 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 and addresses of all investigators who have signed the agreement;
2. (e) 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;
3. (f) 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;
4. (g) 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 § 10907.3(f);
5. (h) 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;
6. (i) A claim for categorical exclusion or an environmental assessment under 21 C.F.R. § 25.30 or 21 C.F.R. § 25.34, or an environmental assessment under 21 C.F.R. § 25.40;
7. (j) Copies of all labeling for the device;
8. (k) Copies of all forms and informational materials to be provided to subjects to obtain informed consent; and
9. (l) Any other relevant information the Department requests for review of the application.

10907.4 The Department may request additional information concerning an investigation or revision in the investigational plan. The sponsor may treat such a request as a disapproval of the application for purposes of requesting a hearing.

10907.5 Information previously submitted to the Department in accordance with this chapter ordinarily need not be resubmitted, but may be incorporated by reference.

SOURCE: Final Rulemaking published at 60 DCR 10252 (July 12, 2013).