Premarket Notification Submissions for Transfer Sets (Excluding Sterile Connecting Devices): Guidance for FDA Reviewers

Administrative guidance, not enacted legislation. This captured publisher edition preserves the listed document and attachments; later developments are not independently consolidated.

Guidance for FDA
Reviewers
Premarket Notification
Submissions for Transfer Sets
(Excluding Sterile Connecting
Devices)
Comments and suggestions regarding this document may be submitted at anytime to Dockets
Management branch (HFA-305), Food and Drug Administration, 5630 Fishers Lane, rm. 1061,
Rockville, MD 20852. All comments should be identified with the title of this guidance
document.
Additional copies are available from the Office of Communication, Training, and Manufacturers
Assistance (HFM-40), 1401 Rockville Pike, Rockville, MD 20852-1448 or by calling 1-800-835
4709 or 301-827-1800 or from the Internet at http://www.fda.gov/cber/guidelines.htm
For questions on the content of the document contact Martin Northern at 301-827-3524.
U.S. Department of Health and Human Services
Food and Drug Administration
Center for Biologics Evaluation and Research
July 2001

TABLE OF CONTENTS
I. 	INTRODUCTION............................................................................................................. 1
II. 	DEVICE DEFINITIONS.................................................................................................. 2
III. 	PRODUCT DESCRIPTIONS .......................................................................................... 2
IV. 	DESIGN AND PERFORMANCE FEATURES ............................................................. 3
V. 	SAFETY AND EFFECTIVENESS TESTING............................................................... 3
VI. 	LABELING........................................................................................................................ 5
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Guidance for FDA Reviewers
Premarket Notification Submissions for Transfer Sets (Excluding
Sterile Connecting Devices)
This guidance represents the Agency’s current thinking on the review of premarket notification
submissions for transfer sets (excluding Sterile Connecting Devices) used in blood
establishments. It does not create or confer any rights for or on any person and does not operate
to bind FDA or the public. An alternate approach may be used if such approach satisfies the
requirements of the applicable statutes and regulations.
I. 	INTRODUCTION
This guidance presents an overview of the type of information FDA reviewers should expect to
be included in premarket notifications submitted for such devices and the approach FDA
reviewers normally should take in reviewing premarket submissions for transfer sets (excluding
sterile connecting devices) used in blood establishments. The detailed requirements for
premarket notifications in 21 CFR Part 807 should also be consulted.
The development of this document is based on information currently recognized as important for
a complete and adequate review of these devices by the Regulatory Project Management Branch
(RPMB) in the Office of Blood Research and Review (OBRR). The use of this document for the
preparation of a 510(k) for transfer sets is not mandatory and its use does not ensure FDA
clearance of a device. However, the use of this document will help ensure that the basic
elements are present to conduct an evaluation of substantial equivalence for the device(s).
Certain 510(k) submissions may require additional information not described in this document.
This guidance is subject to revision depending upon new technological information and
regulatory requirements.
GENERAL INFORMATION
510(k) Summary or Statement. In accordance with the Safe Medical Devices Act of 1990 as
amended by the Food and Drug Administration Modernization Act (FDAMA) of 1997 and 21
CFR Part 807.87(h), the applicant must submit either: (1) a summary of the safety and
effectiveness information in the premarket notification submission upon which an equivalence
determination could be based (i.e., a "510(k) summary"); or (2) a statement that safety and
effectiveness information will be made available to interested persons upon request (i.e., a
"510(k) statement"). The summary or statement should be clearly identified as a "510(k)
summary" or a "510(k) statement".
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Truthful and Accurate Statement. As required by 21 CFR 807.87(k), the manufacturer or
applicant must also provide a statement that all data and information submitted in the premarket
notification are truthful and accurate and that no material fact has been omitted.
Indications for Use Form. On January 1, 1996, FDA implemented a change in the way pre-
market notifications (510(k)s) would be handled. FDA issued a letter on February 6, 1996,
concerning this change to all 510(k) submitters requesting that they clearly identify the
"Indications for Use" for which a substantially equivalent determination is sought using a
separate page that is clearly labeled as "Indications for Use". 	This separate sheet should include
the trade name of the device and the proposed uses for the device.
The New 510(k) Paradigm. On March 20, 1998, new guidance for the submission of 510(k)s
became effective. This guidance is titled "The New 510(k) Paradigm." More information on the
New 510(k) Paradigm is available at: http://www.fda.gov/cdrh/modact/modern.html.
Other documents and guidances which may be useful in the preparation of the 510(k) can be
found on the CDRH home page at http://www.fda.gov/cdrh or by telephone at the [CDRH FAX
on Demand at 800-899-0381].
II. 	DEVICE DEFINITIONS
A transfer set is a device intended for medical purposes that consists of a piece of tubing with
suitable adapters used to transfer blood or plasma from one container to another (21 CFR
864.9875).
Standards
Standard for these devices that is recognized by FDA:
ANSI/AAMI/ISO 10993-1: 1997 Biological Evaluation of Medical Devices - Part 1:
Evaluation and Testing
III. 	PRODUCT DESCRIPTI ONS
The following information should be included in a 510(k) submission:
• 	Transfer sets are classified in 21 CFR 864.9875 (a), PRODUCT CODE is 81 KSB.
The trade name of the device must be clearly identified as required by 21 CFR
807.87(a).
• 	A detailed description of the product, its intended use(s), and its indication(s) for use.
• 	Identification of a legally marketed device to which substantial equivalence is
claimed and provide a comparative analysis (descriptive or tabular) of the similarities
and differences of the device to that legally marketed device in terms of intended use,
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indications for use, design features, technological and mechanical properties,
functional specifications, and operational parameters.
IV. 	DESIGN AND PERFORMANCE FEATURES
The design and performance features of the transfer set provide the basis for understanding the
intended uses and capabilities of the device. Design features address the intended uses of the
device to meet the need of the user and the patient, while the performance features ensure that
the device is safe and effective when used in accordance with the directions. The features listed
in this section are important in determining whether the transfer set described in the 510(k)
submission is substantially equivalent to a legally marketed device. A discussion of many of
these features can be found in the standards document identified in Section II of this guidance
document.
Materials of construction
U.S.P. Approved
Engineering diagrams
Functionality
Physical durability and robustness
Temperature range
Performance
Quality of product prepared
Safety features
Leachability
V. 	SAFETY AND EFFECTIVENESS TESTING
A. 	Biocompatibility of Materials
Except as noted below, biocompatibility testing is indicated for all parts of the device that
have direct or indirect contact with the patient and is performed to determine the potential
toxicity that can result from contact of the component materials of the device with the
patient’s body. The materials used in the construction of the device should not, either
directly or indirectly through the release of their material constituents, (1) produce
unreasonable risk of adverse local or systemic effects; (2) be carcinogenic; or (3) cause
adverse reproductive and developmental effects. The evaluation of any new device
intended for human use should include data from systematic testing to ensure that the
benefits provided by the final product will exceed any potential risks produced by device
materials.
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Biocompatibility testing is indicated when a "new" or non-conventional material or
chemical component is incorporated into a device and there is no known appropriate
predicate use, or for which the safety or effectiveness of the resulting formulation is in
question. These materials or chemical components include plastics, metals, colorants,
plasticizers, germicides, and chemical or other treatments of the device or device
components.
Biocompatibility testing should be submitted on the finished product, using test
conditions simulating as closely as possible actual patient use. Biocompatibility testing is
not indicated for materials and chemical components that have already been incorporated
in legally marketed devices with similar conditions of use, or have a demonstrated history
of safety and effectiveness; however, the biocompatibility of these materials and
chemical components should be fully discussed to support the lack of testing.
Refer to ISO-10993-1: 1997, Part I "Biological Evaluation of Medical Devices,
Evaluation and Testing", and the FDA-modified matrix to identify the types of
biocompatibility testing that should be considered in evaluating the safety-in-use of
medical devices and materials. The ISO Standard, Part 1, uses an approach to test
selection that is very similar to the Tripartite Biocompatibility Guidance. It also uses a
tabular format (matrix) for laying out the test requirements based on the various factors
discussed above. The matrix consists of two tables, "Initial Evaluation Tests for
Consideration" and "Supplementary Evaluation Tests for Consideration." To harmonize
biological response testing with the requirements of other countries, FDA will apply the
ISO Standard, Part 1, in the review process in lieu of the Tripartite Biocompatibility
Guidance.
Reviewers in OBRR should accept data developed according to ISO-10993-1: 1997, Part
1, with the matrix as modified and presented in Blue Book Memorandum #G95-1 entitled
"Use of International Standard ISO-10993, Biological Evaluation of Medical Devices
Part-1: Evaluation and Testing." The manufacturer or the applicant also has the option of
providing a summary of the specific tests conducted in accordance with the standard.
All testing performed should either be in compliance with the recommended standard
documents or test results should be accompanied by an explanation as to how the testing
or methodology is an acceptable alternative to that of the standard. FDA reviewers should
advise the manufacturer or applicant to initiate discussions with the RPMB prior to the
initiation of expensive, long-term testing of any new device materials to ensure that the
proper testing will be conducted and unnecessary testing will not be undertaken. We also
recognize that an ISO standard is a document that undergoes periodic review and is
subject to revision.
B. 	Device Performance
The submission would normally contain data to support the safe and effective operations
of the device when used according to the directions for use. However, the manufacturer
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or applicant now has the option of providing a declaration of conformance to a standard.
A declaration of conformance to a standard obviates the need for the submission of
protocols and raw data as called for by that standard. If the submission does not include a
declaration of conformance to a standard, the submission should include performance
data from bench testing. Additional data may include results from testing under actual
conditions or in a simulated environment in which the device is expected to be used. As
with the biocompatibility testing, functional testing should be performed in compliance
with the recommended standards or be accompanied by a justification that the testing or
methodology is an acceptable alternative to that particular standard.
FDA reviewers should advise manufacturers or applicants to initiate discussions with the
RPMB prior to the initiation of extensive performance testing to ensure that proper
testing will be conducted. Since standards are documents that undergo periodic review
and are subject to revision, FDA reviewers should also notify manufacturers or applicants
of any future revisions of any performance standards referenced here.
VI. 	LABELING
It is important to the user that the labeling for the transfer set bear clear, accurate, and complete
information for use concerning any relevant indications for use, conditions and limitations of
use, hazards, contraindications, and precautions in its use.
The 510(k) should identify and discuss all known situations and events that could cause the
device to malfunction or become a hazard to the user or patient when the device is being
properly used. The labeling should discuss these situations and hazards in a precaution, warning,
or advisory statement as appropriate.
A 510(k) submission for transfer sets should include the proposed package labels and labeling.
Labeling refers to the package label plus other written, printed, or graphic material that
accompanies the device or that is placed on either the device or any of its wrappers or containers.
Advertising may be considered labeling, especially if it accompanies the device. The labeling
must bear adequate directions for use and any warnings needed to ensure the safe use of the
device. See sections 201(k) and 502(f)(1) and (2) of the Federal Food, Drug, and Cosmetic Act.
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