Principal investigators are responsible for maintaining their IDE submission throughout the ‘life' of their IDE. There are several different types of submissions used to notify the FDA of changes and to request approval for modifications to the current investigation.
To learn more about IDE sponsor-investigator responsibilities, please view the ReGARDD Training Modules on IDE Sponsor and Investigator Responsibilities.
Supplement - A written response from the sponsor-investigator while the IDE is under review or approved (trial is ongoing) regarding changes to the protocol or the device. Supplements are intended to seek FDA's approval for something new or different.
Report – A written response from the sponsor-investigator while IDE is in effect regarding study progress and unanticipated events. Reports are intended to provide notification or updates for FDA's routine monitoring of a clinical investigation.
Amendment - A written response from the sponsor-investigator in response to the FDA's request for more information regarding a previous submission.
All IDE submissions should be sent to the person identified by the FDA in your initial acknowledgement letter.
The FDA tracks requests for a new protocol, changes to the approved protocol, or changes to the device, such as device design or manufacturing change, as supplements.
List of submissions tracked as Supplements include:
Change in correspondent, manufacturer, or sponsor
Request for approval of changes in device design or manufacturing
Request for approval of a change in informed consent or protocol
5-day notices- Notification that changes not requiring prior approval have been made
Request for compassionate use, live case demonstration, or other deviation from approved protocol
Request for approval of expansion of the study (patients and/or sites)
Request an extension of time to respond to FDA letter
Request for waiver
Institutional Review Board (IRB) certification
Request for Centers for Medicare and Medicaid Services (CMS) recategorization
Notification of study suspended or resumed
Acknowledgement and response to clinical hold
Request for approval to terminate the study without final report
Request for approval of a new study or protocol
Changes requiring prior approval - most of the time, changes that are made in the Investigational Plan, need to be pre-approved by FDA. Examples of these changes are:
Changes in the Investigational Plan or Protocol
Affecting the validity of data/information,
Patient risk to benefit relationship,
Scientific soundness of investigational plan,
Rights, safety, or welfare of subjects.
Developmental Changes in the device (including manufacturing changes) that present a significant change in design or basic principle of operation
FDA will review changes to an IDE that require prior approval within 30 days.
Changes requiring 5-day notice - these changes do not require prior approval, but notice must be provided to FDA within 5 working days of making the change:
Changes Effected for Emergency Use-are considered to be changes in the investigational plan to protect the life or well-being of the subject in the case of emergency. However, these changes must be reported to the FDA within 5 working days.
Non-significant changes in device design or manufacturing - those changes should also be reported to the FDA within 5 working days.
Certain changes to the clinical protocol – for changes that do not fit the criteria for prior approval such as:
Modification to inclusion/exclusion criteria to better define the target patient population
Increasing the frequency at which data or information is gathered
Inclusion of additional patient observations or measurements
Modifying secondary endpoints
Other minor changes can be submitted in the annual progress report including minor changes in the following areas: the purpose of the study, risk analysis, monitoring procedures, labeling, informed consent materials, and IRB information.
All IDE submissions should be sent to the person identified by the FDA in your initial notification letter.
For IDE reports, the FDA will respond to the sponsor-investigator within 30 days if the FDA has questions or requests for additional information; otherwise the FDA may close the submission without issuing a formal response.
If a report is deficient, the sponsor-investigator's response to the deficiencies identified in the FDA's communication is designated as an amendment to that report.
Unanticipated Adverse Device Effects:
Any serious adverse effect on health or safety or any life-threatening problem or death caused by, or associated with, a device if that effect, problem or death was not previously identified in nature, severity, or degree of incidence in the investigational plan or application (21 CFR 812.3(s) ).
Report to the FDA within 10 working days.
Withdrawal from IRB approval
Report to the FDA within 5 working days.
Deviation from the investigational plan
Report to the FDA within 5 working days:
The investigator must notify the sponsor and the reviewing IRB of any deviation from the investigational plan to protect the life or physical well-being of a subject in an emergency. If it is not an emergency, prior approval from the sponsor is required for changes in or deviations from the investigational plan.
Prior FDA approval
If the change or deviation may affect the scientific soundness of the investigational plan or the rights, safety or welfare of the subject, the sponsor is required to obtain prior IRB approval and also to obtain FDA approval for a significant risk device investigation by submitting an IDE supplement.
Failure to Obtain Informed Consent
Report to the FDA within 5 working days.
Current Investigators list
Report every 6 months or annually with the IDE progress report if FDA has granted a waiver of this requirement.
Annual Progress Report
Submit at least yearly.
See the IDE Annual Progress Reporting section below for more information.
Interim Progress Report
Submit if requested by FDA.
Recall and Device Disposition
Report to FDA within 30 working days after the request is made for an investigator to return, repair, or dispose of any unit of the device.
All IDE submissions should be sent to the person identified by the FDA in your initial notification letter.
Amendments are any response to FDA's request for more information. The FDA tracks any IDE submission sent as a response to deficiencies communicated in an FDA disapproval, approval with conditions, or deficient report letter as an IDE Amendment to that submission. For example, if you receive an “approval with conditions” letter after you submit your original IDE, your response intended to address deficiencies in that letter will be logged in as an Amendment. Amendments may be submitted to supplements and reports, as well as to the Original IDE.
Submissions tracked as Amendments:
Response to Disapproval
Response to Approval with Conditions
Response to Refuse to Accept
Response to Report Deficient
Voluntary Withdrawal by Sponsor
Progress reports are yearly written submissions from the sponsor-investigator while the IDE is in effect regarding the study progress. Progress reports are intended to provide updated information for the FDA's routine monitoring of the clinical investigation. If the FDA deems that the investigation merits closer monitoring, it can require that reporting occur more frequently (via interim reports).
All IDE submissions should be sent to the person identified by the FDA in your initial notification letter.
Although there is not a standard format for progress reports, specific topics need to be addressed so the FDA can evaluate the investigation effectively. An outline of a typical report is provided below:
The use of this form is optional. If you choose not to use the form, ensure that the relevant information is contained in the cover letter:
Statement that this is a progress report submission
Device name and intended use
Sponsor's contact information
Name, address, telephone number, fax number, email address
Manufacturer information
Name, address, contact person, telephone number, fax
Please state your:
IDE number
Device name and indication(s) for use
Sponsor's name address, phone numbers, and fax
Sponsor's email address
Contact person
Data from the beginning of the study should be reported, but data collected since the previous report should be identified
Brief Summary of the Study Progress
Number of Investigators/Investigational Sites (Include a list of investigators.)
Number of Subjects Enrolled
Number of Devices Shipped
Brief Summary of the Results
Summary of Anticipated and Unanticipated Adverse Effects
Deviations from the Investigational Plan (Describe all the deviations from the investigational plan since the last progress report.)
A thorough risk analysis and risk mitigation strategies are critical for the FDA's decision to allow a study to continue. Update the risk analysis from your initial application with any relevant changes. Include a summary of any new adverse information (since the last progress report) that may affect the risk analysis. This includes preclinical data, animal studies, foreign data, clinical studies, etc. For more details on what to include in the risk analysis, please see the Duke ORAQ original IDE template found on the ORAQ Regulatory Resources web page.
Also, please attach the reprints of any articles published from data collection from this study.
Present a new risk analysis, if necessary, based on any new information and study progress.
Include a summary of any changes in the manufacturing process and quality control, including changes that have not been submitted as a supplemental application.
Also summarize all changes in the investigational plan that were not required to be submitted in a supplemental application.
Progress towards product approval, including a projected date for PMA or 510(k) submission.
If there are any plans to change the investigation, e.g., to expand the study size or indications, to discontinue portions of the investigation or to change manufacturing practices, please state in this section. (NOTE: Actual proposals for these changes should be made in a separate supplemental application since they may require prior approval)
Please visit the FDA web site for more information.