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EU IVDR: PMPF for LDTs?

  • 1.  EU IVDR: PMPF for LDTs?

    Posted 07-May-2021 17:06
    Hello Regulatory Community

    I have a question about Post-Market Performance Follow-Up on Laboratory Developed Tests (LDT). If you have a test that was developed at a single laboratory site, is meant to be used ONLY at that site, with no intention to market or distribute it commercially, could you provide a justification to be exempted from the PMPF? It seems like most of the PMPF requirements outlined in the IVDR don't apply.  Any light you could shed on this would be greatly appreciated.

    Thank you.


    ------------------------------
    Maham Ansari MS, RAC
    Director, IVD Regulatory & Quality
    Canada
    ------------------------------


  • 2.  RE: EU IVDR: PMPF for LDTs?

    Posted 08-May-2021 04:59
    Dear Maham, 
    The IVD Regulation requires a PMPF plan unless you can justify that there is no need to (see e.g. Annex III.b). There is currently no guidance on which situations would justify an exemption. So, it is currently a matter of interpretation and exploring what Notified Bodies will accept. 
    I personally think that the mere fact of having a LDT is not sufficient justification for PMPF exemption. PMS and PMPF are critical elements in the IVDR and Notified Bodies pay a lot of attention to it. Even though you do not distribute the devices, there is an obligation to monitor the performance of the devices after certifications. There are still several requirements in Annex XIII. B. that are relevant for LDT. The difference with a device that is placed on the market through a traditional supply chain will be the way you collect data. You have the advantage that you do not have to rely on a long supply chain to collect some of the feedback, 
    I would conclude that PMPF will probably be required. How you do it, will be different from the traditional business model. 
    This is a personal view. Nevertheless, I hope it is useful.

    ------------------------------
    Dirk Stynen PhD
    President
    QARAD
    Belgium
    dirk.stynen@qarad.com
    https://www.qarad.com/e-labeling-eifu
    ------------------------------



  • 3.  RE: EU IVDR: PMPF for LDTs?

    Posted 08-May-2021 08:19
    Hello Maham,

    First, do not want to be blunt, but there is no such thing as a Laboratory Developed Test (LDT) in the European Union regulation.  I would not use this phrase in this context and all it will do is introduce confusion.  This is terminology quite used in the US FDA world and other regulatory regions, but this is not proper context in the EU IVDR.  The proper terminology is devices used within a health institution.

    Which leads to the second point, read Article 5 subpoints 4 and 5 very carefully as there are specific requirements for tests used within a sole health institution.  The requirement is meeting Annex I GSPR of the regulation, with some inference of also meeting requirements set out in Annex VIII for classification of Class D (and may apply to other classes).  The requirement for post market is: 'the health institution reviews experience gained from clinical use of the devices and takes all necessary corrective actions.'  So no, there is no explicit requirement to perform Post Market Performance Follow-up (PMPF) or even performance evaluation under Annex XIII.

    Companies out there which have been selling Analyte Specific Reagents, LDTs, and such in other regulatory regions need to use extreme caution under the EU IVDR.  There is one statement at the bottom which is really, really important: 'This paragraph shall not apply to devices that are manufactured on an industrial scale.'  Basically, the regulators know companies are out there selling components A, B, C, D, E, F, G, H and then telling the labs or hospitals - oh, here are all the components ... but we leave it up to you to do what you want with it ... hint hint !  This does not work under the EU IVDR because if Member States and EU Commission become aware of companies selling just "components" and IFUs for so-called LDT tests, there will be some difficult questions to answer.  The intent of using IVD tests in health institutions is written exactly as it was intended and not morphed into this "get on the market" scheme in the U.S.  If a patient arrives with weird symptoms, the hospitals or labs can do a number of tests to help determine a disease condition of the patient or even modify IVD tests to help them determine a disease state.  Industrial scale is opposite from the intent; health institution tests would be for a very small patient population.  The US FDA did not handle LDT test rightly from the beginning and have tried to get the beast back in the cage, but have been sorely unsuccessful.  The EU is positioning themselves under the EU IVDR to not let the beast out at all.

    ------------------------------
    Richard Vincins RAC
    Vice President Global Regulatory Affairs
    Oriel STAT A MATRIX - ENTERPRISE
    ------------------------------



  • 4.  RE: EU IVDR: PMPF for LDTs?

    Posted 08-May-2021 09:28
    Hi Maham, 
    Richard nicely describes the underlying reasons and intentions of the EU requirements on in-house testing. 
    Richard also correctly points out that the term LDT is not used in the IVD Regulation and in fact leads to confusion. Unfortunately, there is no clear alternative easy to use term and therefore the term LDT continues to be used. It would be better not to do that, indeed. 
    For the sake of this discussion, let me use the term "in-house test", which is also often used, although not defined in the IVDR either. It is important to notice that there are two types of in-house tests: (1) those that have to meet all the requirements of the IVDR, including full CE certification of the devices and (2) those that are partially exempt from the requirements of the IVDR. 
    (2). Richard is referring to the group under (2). The first condition is that the device is manufactured and used in a health institution in the European Union. This excludes in-house tests that are run in labs outside the EU and those run by commercial companies that are not part of a hospital or another health institution. Commercial labs are not health institutions and the devices used for in-house testing will have to go through the entire CE certification process. To take advantage of the exemption, a lab in a health institution will still have to carefully check the conditions and requirements of article 5.5, as Richard correctly points out. 
    (1). Devices for in-house tests that do not meet the requirements in articles 5.4 and 5.5 will have to be CE certified. So, this affects all in-house testing done in labs outside the EU, in-house testing in commercial labs in the EU and devices for in-house testing in health institutions that not meet the article 5.5 conditions. 

    Since Maham is located in Canada and assuming that the testing is done in Canada, the devices used in the testing will have to be CE certified. This also means that the Annex XIII.B requirements on PMPF apply, unless exemption can be justified, which in my opinion will be difficult. 

    The requirements for devices used for in-house testing have an enormous impact. For the devices under (1), the requirements are clear (or as "clear" as they are for other IVD). For devices under (2) it is uncertain how the requirements will be implemented and enforced. Oversight lies with the national member states, which is likely to result in an unlevel playing field. 



    ------------------------------
    Dirk Stynen PhD
    President
    QARAD
    Belgium
    dirk.stynen@qarad.com
    https://www.qarad.com/e-labeling-eifu
    ------------------------------



  • 5.  RE: EU IVDR: PMPF for LDTs?

    Posted 08-May-2021 10:17

    LDTs come under the IVDR Article 5(5) which says, "With the exception of the relevant general safety and performance requirements set out in Annex I, the requirements of this Regulation shall not apply to devices manufactured and used only within health institutions established in the Union, provided that all of the following conditions are met …"

    Because the IVDR in general, except Annex I, doesn't apply, then PMPF in particular does not apply.



    ------------------------------
    Dan O'Leary CQA, CQE
    Swanzey NH
    United States
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  • 6.  RE: EU IVDR: PMPF for LDTs?

    Posted 08-May-2021 10:41

    Dear Dan, 
    It is a bit more complicated than that. I kindly suggest that you read Richard's and my comments. 

    Best,
    Dirk



    ------------------------------
    Dirk Stynen PhD
    President
    QARAD
    Belgium
    dirk.stynen@qarad.com
    https://www.qarad.com/e-labeling-eifu
    ------------------------------



  • 7.  RE: EU IVDR: PMPF for LDTs?

    Posted 08-May-2021 17:00

    Dirk,

    It is a simple as I had stated. The complexity arises from off-topic cases such as Analyte Specific Reagents.

    The initial question, paraphrased, is "Is PMPF required for an LDT under the IVDR"?  I responded "No because", and cited IVDR Article 5(5).

    The term LDT, Laboratory Developed Test, is in common use in the US and other parts of the world. In the good old days, we called them home brew.

    The US device regulations do not define the term LDT. Although LDTs are, in general, medical devices, and are in particular in-vitro diagnostic devices, FDA, through a policy of enforcement discretion, does not regulate them.

    There is an FDA document, The Public Health Evidence for FDA Oversight of Laboratory Developed Tests: 20 Case Studies, with a good working definition of an LDT. "Laboratory developed tests (LDTs) are the subset of IVDs intended for clinical use that are designed, manufactured, and used in a single laboratory, as opposed to other IVDs made by a conventional manufacturer and used by many laboratories".

    In the US, LDTs fall under the laboratory regulations which cover conducting the tests, not their design and manufacture.

    In contrast, the IVDR regulates the design and manufacture of LDTs, but not conducting the tests.

    The regulation is in IVDR Art. 5(5). The head of the section says that the requirements of the IVDR do not apply, expect for Annex I, to devices manufactured and used only within health institutions established in the Union, provided the laboratory meets all of the conditions in Art. 5(5)(a) to Art. 5(5)(i). The laboratory must be part of a health institution which, following Art. 2(29) "means an organization the primary purpose of which is the care or treatment of patients or the promotion of public health".

    Neither Annex I nor any of the other conditions require Annex III PMS, Annex XIII Performance Evaluation, Annex XIII Performance Studies, nor Annex III Poet-Market Performance Follow-up.

    Also Art. 5(4) is not relevant. This is the case where the laboratory purchases and conducts a test from an external IVD manufacturer.

    Conclusion: PMPF is not required for an LDT under the IVDR

    Regards,
    Dan



    ------------------------------
    Dan O'Leary CQA, CQE
    Swanzey NH
    United States
    ------------------------------



  • 8.  RE: EU IVDR: PMPF for LDTs?

    Posted 09-May-2021 03:38
    Dan, 
    Our discussion shows how important well-defined terms are. Unfortunately, the IVDR does not have any for this situation. If anyone asks anything about "LDT" in the IVDR context, the first thing to do is to understand what this persons means by "LDT". 
    In this discussion, you equal "LDT" with devices meeting art. 5.5 requirements. Fine. You have the right to do so. However, this is a definition which is not widely recognized. For example, I refer to the fact that I know many US companies, stating that they have LDT. Yet, they are commercial companies and not health institutions. They do not meet the art. 5 conditions and will have to go through the full CE certification, including PMPF. Furthermore, they are not based in the (European) Union whereas art. 5.5 clearly states that the exemption only applies to devices manufactured and used in the Union. Another reason for North-American laboratories to prepare for CE certification. 
    I would not call ASR off-topic. Many labs in Europe use reagents without CE mark, usually labeled RUO (another undefined term in the EU). There is a lot of discussion in Europe on how the IVDR affect this practice. The same for the use of CE marked IVD outside the intended purpose. It is an on-going discussion , but the general belief is that these labs will have to comply with the IVDR, either with the art. 5.5 exemption or not, as the case may be. To be continued. 
    I must say that I do not understand why art. 5.4 is not relevant because "This is the case where the laboratory purchases and conducts a test from an external IVD manufacturer". It says exactly the opposite: "Devices that are manufactured and used within health institutions, with the exception of devices for performance studies, shall be considered as having been put into service." I don't understand how you come to that conclusion. 

    We can probably go on for a few more rounds, but I will leave at this. I think Maham as plenty of things to think about. I find this discussion quite interesting. I wish we could continue it over a glass of beer :-)
    Best regards, 
    Dirk 



    ------------------------------
    Dirk Stynen PhD
    President
    QARAD
    Belgium
    dirk.stynen@qarad.com
    https://www.qarad.com/e-labeling-eifu
    ------------------------------



  • 9.  RE: EU IVDR: PMPF for LDTs?

    Posted 09-May-2021 11:17
    I misread Art. 5(4) so I need to withdraw my comments.

    Beer is good -- I look forward to the day.


    ------------------------------
    Dan O'Leary CQA, CQE
    Swanzey NH
    United States
    ------------------------------



  • 10.  RE: EU IVDR: PMPF for LDTs?

    Posted 09-May-2021 05:10
    Dan, as Dirk stated, I think there is more to this. You state that the IVDR does not regulate conducting in-house tests - that is not correct because it does.  Article 5 (5) IVDR repeatedly discusses use of in-house tests and obliges labs to be qualified to ISO 15189 or national equivalent, which is a standard for lab testing proficiency, i.e. how well and reliably can they run their tests. Also, Article 5 (5) (i) IVDR states that "the health institution reviews experience gained from clinical use of the devices", which is basically saying the same as PMPF (PMPF being reserved as a term for CE marked devices, but is defined in Annex XIII as "proactively collect and evaluate performance and relevant scientific data from the use of a device", so basically the same as review experience gained from clinical use of devices). The reason for article 5 (5) IVDR to be not so precise for in-house tests as for CE marked devices on this point is that in-house production and use of tests is something closely entangled with national practice of health in hospitals, an area which is off limits for EU regulation (article 168 TFEU). So even if PMPF is not litererally required in the exact same way as for CE marked IVDs, the IVDR does require a very similar process from the labs.
    Good to have this discussion because there is still so much unclear about the application of article 5 (5) IVDR.
    Best regards,
    Erik

    ------------------------------
    Erik Vollebregt
    Partner
    Amsterdam
    Netherlands
    ------------------------------



  • 11.  RE: EU IVDR: PMPF for LDTs?

    Posted 09-May-2021 16:04
    All,
    Thanks so much for such a great discussion on this topic. This has definitely given me a lot to think about, but has also given me a much clearer idea of the route that would be most applicable in this specific scenario. I really do appreciate the time and thinking you have all put into this, as it has been immensely helpful for me and I'm sure other members of this community have been able to benefit from as well. Until next time.. :-)
    Best regards
    Maham

    ------------------------------
    Maham Ansari MS, RAC
    Director, IVD Regulatory & Quality
    Canada
    ------------------------------



  • 12.  RE: EU IVDR: PMPF for LDTs?

    This message was posted by a user wishing to remain anonymous
    Posted 10-May-2021 08:36
    This message was posted by a user wishing to remain anonymous

    Dirk, Richard, Dan

    How would you handle a company with their LDT they want to "recommend" an assay and maybe even go as far as assisting/ advising the institution on the crossover validation to be sure that lab can run it.  Comoany developed it.  They also recommend use of a third party sample collection swab.

    Then. they have a CDx software which they intended to register under IVDR which uses results of the assay to predict. 

    Company only proposes registering the software, and then positions swabs as recommended sample collection vehicle, but maybe not the assay... does it matter if they give but don't sell the assay?  In theory they could "transfer" the assay to multiple institutions (i.e. if you want to use our Companion Dx), best assay to use to feed results into our Dx algorithms is this one (Y).
    Similar but not exactly like the ASRs  scenario above where a company recommends companion items.



  • 13.  RE: EU IVDR: PMPF for LDTs?

    Posted 11-May-2021 03:12

    Dear Anonymous, 
    I am afraid that I do not clearly see the situation that you describe. It seems to be a mix of things. Please, describe more clearly or contact me directly as it does not seem something that can be answered is a few sentences. 

    Best regards, 
    Dirk 



    ------------------------------
    Dirk Stynen PhD
    President
    QARAD
    Belgium
    dirk.stynen@qarad.com
    https://www.qarad.com/e-labeling-eifu
    ------------------------------