Information to Accompany Humanitarian Device Exemption Applications and Annual Distribution Number Reporting Requirements

Contains Nonbinding Recommendations

Humanitarian Device Exemption
(HDE) Program
Guidance for Industry and
Food and Drug Administration Staff
Document issued on September 6, 2019.
The draft of this document was issued on June 13, 2018.
For questions about this document regarding CDRH-regulated devices, contact ORP: Office of
Regulatory Programs/DRP1: Division of Submission Support, Center for Devices and
Radiological Health, at 301-796-5640.
For questions about this document regarding CBER-regulated devices, contact the Office of
Communication, Outreach, and Development (OCOD) at 1-800-835-4709 or 240-402-8010.

This guidance supersedes “Guidance for HDE holders, Institutional Review
Boards (IRBs), Clinical Investigators, and Food and Drug Administration
Staff, Humanitarian Device Exemptions (HDE) Regulation: Questions and
Answers,” issued July 8, 2010.

U.S. Department of Health and Human Services
Food and Drug Administration

Center for Devices and Radiological Health
Center for Biologics Evaluation and Research
Office of Orphan Product Development
OMB Control No. 0910-0332
Current expiration date available at https://www.reginfo.gov
See additional PRA statement in Section IX of this guidance

Contains Nonbinding Recommendations

Preface
Public Comment
You may submit electronic comments and suggestions at any time for Agency consideration to
https://www.regulations.gov . Submit written comments to the Dockets Management Staff, Food
and Drug Administration, 5630 Fishers Lane, Room 1061, (HFA-305), Rockville, MD 20852.
Identify all comments with the docket number FDA-2014-D-0223. Comments may not be acted
upon by the Agency until the document is next revised or updated.

Additional Copies
CDRH
Additional copies are available from the Internet. You may also send an email request to [email protected] to receive a copy of the guidance. Please use the document number
17040 and complete title of the guidance in the request.

CBER
Additional copies are available from the Center for Biologics Evaluation and Research (CBER),
by written request, Office of Communication, Outreach, and Development (OCOD), 10903 New
Hampshire Ave., Bldg. 71, Room 3128, Silver Spring, MD 20993-0002, or by calling 1-800-8354709 or 240-402-8010, by email, [email protected] or from the Internet at
https://www.fda.gov/vaccines-blood-biologics/guidance-compliance-regulatory-informationbiologics/biologics-guidances.

OOPD
Additional copies of this guidance document are also available from the Office of Orphan
Products Development (OOPD), Office of Clinical Policy and Programs (OCPP), Food and Drug
Administration, 10903 New Hampshire Ave, Silver Spring, MD 20993, or by calling 301-7968660, or from the Internet at https://www.fda.gov/industry/developing-products-rare-diseasesconditions/designating-humanitarian-use-device-hud. You may also send an e-mail request to
[email protected].

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Table of Contents
I.

Introduction .......................................................................................................................... 1

II.

Background .......................................................................................................................... 2

III.

Scope.................................................................................................................................... 4

IV.

HUD Designations and HDE Applications.......................................................................... 5

V.

FDA’s Review of HDE Applications .................................................................................. 5

A. HDE Application Required Elements and Filing Review Principles .................................. 8
B.

FDA Review Actions for an HDE Application ................................................................. 11

VI.

Assessing Probable Benefit and Risk in an HDE Application .......................................... 14

VII.

Post-Approval Requirements ............................................................................................. 18

A. IRB or Appropriate Local Committee Oversight and Approval........................................ 18
B.

Adverse Event Reporting ................................................................................................... 19

C.

HDE Supplements.............................................................................................................. 20

D. HDE Periodic Reports........................................................................................................ 20
E.

HUD Designation Re-Evaluation and/or HDE Withdrawal .............................................. 22

VIII. Special Considerations for Devices Marketed Under an HDE.......................................... 22
A. Eligibility for Profit............................................................................................................ 22
B.

The Annual Distribution Number (ADN).......................................................................... 24

C.

Information to Patients....................................................................................................... 26

D. HDEs and Pediatric Patients .............................................................................................. 26
E.

Review and Approval of the Use of HUDs in Clinical Care ............................................. 27

F.

Review and Approval for Clinical Testing of HUDs......................................................... 30

G. Emergency Use of HUDs................................................................................................... 31
IX.

Paperwork Reduction Act of 1995 ..................................................................................... 32

Appendix A – Checklist for Filing Review for HDEs.................................................................. 33
Appendix B – Considerations for the Probable Benefit-Risk Assessment ................................... 44
Assessment of Probable Benefit ................................................................................................ 45
Assessment of Risk.................................................................................................................... 47
Assessment of Probable Benefit-Risk ....................................................................................... 48
Appendix C – Probable Benefit-Risk Assessment Summary....................................................... 53

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Humanitarian Device Exemption
(HDE) Program
Guidance for Industry and
Food and Drug Administration Staff
This guidance represents the current thinking of the Food and Drug Administration (FDA
or Agency) on this topic. It does not establish any rights for any person and is not binding
on FDA or the public. You can use an alternative approach if it satisfies the requirements
of the applicable statutes and regulations. To discuss an alternative approach, contact the
FDA staff or Office responsible for this guidance as listed on the title page.

I.

Introduction

FDA developed this guidance document to provide clarity to industry and FDA staff about the
current review practices for the Humanitarian Device Exemption (HDE) Program. This
programmatic guidance addresses commonly asked questions about HDEs and Humanitarian
Use Devices (HUDs), including FDA actions on HDE applications, post-approval requirements,
and special considerations for devices marketed under the HDE Program. This guidance
document reflects changes in the HDE Program resulting from statutory amendments made by
the 21st Century Cures Act (Cures Act) 1 and explains the criteria FDA considers to determine if
“probable benefit” has been demonstrated as part of the Agency’s decision-making process
regarding marketing authorization for a HUD. This guidance document also reflects amendments
made to the HDE provision of the Federal Food, Drug, and Cosmetic Act (FD&C Act) by the
FDA Reauthorization Act of 2017 (FDARA). 2
For the purposes of this guidance, “you” refers to the HDE applicant or holder, and “we” refers
to FDA. FDA’s guidance documents, including this guidance, do not establish legally
enforceable responsibilities. Instead, guidances describe the Agency’s current thinking on a topic
and should be viewed only as recommendations, unless specific regulatory or statutory
requirements are cited. The use of the word should in Agency guidance means that something is
suggested or recommended, but not required.

1
2

Pub. L. 114-255.
Pub. L. 115-52.

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II. Background
HUDs are medical devices intended to benefit patients in the treatment or diagnosis of diseases
or conditions that affect or are manifested in not more than 8,000 individuals in the United States
per year. 3 In seeking marketing authorization under an HDE application, the first step is the
preparation and submission of a HUD designation request to FDA’s Office of Orphan Products
Development (OOPD). The HDE application, which is the primary focus of this guidance
document, is the second step in seeking marketing authorization for a HUD.
To the extent consistent with the protection of the public health and safety and with ethical
standards, the purpose of the HDE provision is to “encourage the discovery and use of devices
intended to benefit patients in the treatment and diagnosis of diseases or conditions that affect
not more than 8,000 individuals in the United States,” 4 FDA may grant an HDE, which is an
exemption from the effectiveness requirements of sections 514 and 515 of the FD&C Act, if we
find that the device meets all of the following criteria:
1. The device will not expose patients to an unreasonable or significant risk of illness or
injury, and the probable benefit to health from use of the device outweighs the risk of
injury or illness from its use while taking into account the probable risks and benefits of
currently available devices or alternative forms of treatment;
2. The device would not be available to a person with the disease or condition in question
without the HDE, and no comparable device, other than another device approved under
an HDE or Investigational Device Exemption (IDE), 5 is available to treat or diagnose
such disease or condition; and
3. The device is designed to treat or diagnose a disease or condition that affects not more
than 8,000 individuals in the United States on an annual basis. 6
The HDE provision was added to the FD&C Act by the Safe Medical Devices Act of 1990 and
included, among other things, a prohibition on profits from sale of HUDs and a requirement that
before “use” of a HUD to treat or diagnose patients at a facility, an IRB must approve such use. 7
For purposes of this guidance, approving the “use” of a HUD (as opposed to approving the
“investigational use” or a “clinical investigation” of a device) refers to use of the HUD in the
course of routine clinical care to treat or diagnose patients. Subsequent amendments to the
FD&C Act have added important flexibility to the HDE program while retaining the purpose of
encouraging the discovery of medical devices for use in limited patient populations.

3

21 CFR 814.3(n). As subsequently explained, the current threshold is “not more than 8,000 individuals in the
United States.” Before section 3052 of the Cures Act took effect, the threshold was “fewer than 4,000 individuals in
the United States.”
4
Section 520(m)(1) of the FD&C Act.
5
An approved IDE permits a device to be shipped lawfully for the purposes of conducting investigations of the
device without complying with certain other requirements of the FD&C Act that would apply to devices in
commercial distribution. See section 520(g) of the FD&C Act; 21 CFR 812.1(a).
6
See section 520(m)(2) of the FD&C Act; 21 CFR 814.104(b)(1)-(3).
7
Pub. L. 101-629, section 14.

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The Food and Drug Administration Modernization Act of 1997 (FDAMA) included a section on
expanding the humanitarian use of devices, 8 which among other provisions:
•
•

Allowed for the use of HUDs under HDEs without prior IRB approval in certain
emergency situations (see Section VIII.G for more information); and
Provided that FDA may suspend or withdraw an HDE only after providing notice and an
opportunity for an informal hearing (see Section VII.E for more information).

The Food and Drug Administration Amendments Act of 2007 (FDAAA) further modified the
HDE provision, providing that HUDs indicated for use in pediatric patients, or in a pediatric
subpopulation may be sold for profit, subject to certain restrictions. 9 The scope of HDEapproved devices eligible to make a profit was expanded by section 613 of the Food and Drug
Administration Safety and Innovation Act (FDASIA). 10 In any given calendar year, a HUD
meeting the statutory criteria can be sold for a profit up until the number of devices sold exceeds
the annual distribution number (ADN), which is the number of devices reasonably needed to
treat, diagnose, or cure a population of 8,000 individuals in the United States (see Section VIII.A
for more information).
FDAAA also added section 515A to the FD&C Act, which requires, among other things, the
inclusion of additional information regarding pediatric uses in all original HDE applications, if
such information is readily available. 11 Specifically, section 515A of the FD&C Act requires that
each new HDE application include a description, based on readily available information, of any
pediatric subpopulations that suffer from the disease or condition that the device is intended to
treat, diagnose, or cure, and the number of affected pediatric patients. 12
The Cures Act amended the FD&C Act to increase the maximum number of patients affected by
the disease or condition that a HUD is designed to treat or diagnose to “not more than 8,000
individuals in the United States.” 13 Further, the Cures Act removed the requirement that
institutional review committees, i.e., IRBs, that supervise the clinical testing of devices or
approve the use of HUDs be local. 14 See Sections VIII.E and VIII.F below for more information
regarding differences between the “use” of a HUD and clinical investigations involving HUDs.
The Cures Act also required FDA to publish a guidance that defines the criteria for establishing
“probable benefit” as that term is used in section 520(m)(2)(C) of the FD&C Act. 15 This
8

Pub. L. 105-115, section 203.
Pub. L. 110-85, section 303. Pediatric patients are patients who are younger than 22 years of age at the time of
diagnosis or treatment. See section 520(m)(6)(E)(i) of the FD&C Act; 21 CFR 814.3(s).
10
Pub. L. 112-144. Many of the statutory provisions cited throughout this guidance, including sections 515A(a)(2)
and 520(m)(6) of the FD&C Act, were added by section 302 of FDAAA and amended by FDASIA.
11
See Pub L. 110-85, section 302. For further discussion of the information required for pediatric uses of medical
devices under section 515A, see the guidance document, “Providing Information About Pediatric Uses of Medical
Devices,” (available at https://www.fda.gov/regulatory-information/search-fda-guidance-documents/providinginformation-about-pediatric-uses-medical-devices).
12
See section 515A(a)(2) of the FD&C Act.
13
Pub. L. 114-255, section 3052.
14
Pub. L. 114-255, section 3056.
15
Pub. L. 114-255, section 3052(b).
9

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guidance includes information to define those criteria for HDE applicants, other stakeholders,
and FDA staff. See Section III for more information about the scope of this guidance.
FDARA further amended section 520(m)(4)(B) of the FD&C Act to allow either an IRB or “an
appropriate local committee” to approve the use of a HUD to treat or diagnose patients at a
facility. 16 We interpret this provision to provide additional flexibility for a healthcare facility to
determine the individuals involved in, and processes and procedures used by, the committee that
approves the use of HUDs at that facility in order to meet the needs of patients. Note, however,
that this FDARA provision did not change the requirements for IRB oversight of a clinical
investigation of a HUD. An “appropriate local committee” may not review and approve such a
clinical investigation in place of an IRB. 17 See Section VII.A. for additional information
regarding IRB and appropriate local committee oversight and approval and Section VIII.F. for
additional information regarding investigational use of a HUD.

III. Scope
This guidance provides recommendations to industry and FDA staff about the operational
aspects of the HDE Program and also explains the principal criteria that FDA considers when
determining if probable benefit(s) to health have been demonstrated for a HUD that is being
reviewed through the HDE Program. Additionally, this guidance addresses FDA’s assessment of
whether the probable benefit(s) to health from use of the device outweighs the risk of injury or
illness from its use, taking into account the probable risks and benefits of currently available
devices or alternative forms of treatment. The decision tools in Appendices B and C are intended
to help staff consider the probable benefit-risk factors discussed in Section VI when reviewing
HDE applications. This guidance includes sections on the following topics, among others:
•
•
•
•
•

FDA Review Actions for an HDE Application (Section V.B);
Assessing Probable Benefit and Risk in an HDE Application 18 (Section VI);
Post-Approval Requirements (Section VII);
Special Considerations for Devices Marketed Under an HDE (Section VIII); and
Appendices to support the HDE Program which include:
o Filing Checklist (Appendix A)
o Probable Benefit-Risk Assessment Summaries (Appendices B and C)

The overarching principles in this guidance are applicable to devices that are eligible for review
through an HDE application by CDRH as well as devices that are eligible for review through an
HDE application by the Center for Biologics Evaluation and Research (CBER). This guidance is
not intended to supplant or provide recommendations regarding device-specific data
requirements, but it may cover broader areas not addressed in device-specific guidance

16

Pub. L. 115-52, section 502(b).
See sections 520(g)(3) and 520(m)(4)(A) of the FD&C Act; 21 CFR part 56; 21 CFR part 812.
18
As required by the Cures Act, this guidance explains the principal criteria that FDA considers when determining if
probable benefit(s) to health have been demonstrated for a HUD that is being reviewed through the HDE Program.
17

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documents. In addition, this guidance does not address review issues unique to combination
products.

IV. HUD Designations and HDE Applications
Before submitting an HDE application to CDRH or CBER, an HDE applicant must first prepare
and submit a HUD designation request to OOPD and receive a HUD designation. 19 For more
information on the preparation and submission of a HUD designation request, refer to 21 CFR
814.102(a) and the FDA guidance “Humanitarian Use Device (HUD) Designations.” 20 In the
review of a HUD designation request, FDA will determine whether the device is for a rare
disease or condition that affects or is manifested in not more than 8,000 individuals in the United
States per year. In the case of a device used for diagnostic purposes, FDA will determine whether
the documentation demonstrates that not more than 8,000 individuals per year would be subject
to diagnosis by the device in the United States. 21 After receiving a HUD designation, the HDE
applicant may submit an HDE application to the appropriate center. Each applicant must have its
own HUD designation to submit an original HDE application for a proposed indication. 22
Additionally, the HDE applicant can utilize the HDE pathway only if no other comparable
device (other than another device approved under an HDE or under an approved IDE) is
available to treat or diagnose the disease or condition. 23
Note that if your device is part of a combination product, an HDE may not be the appropriate
pathway to market. For questions about the availability of the HDE pathway for combination
products, please contact the Office of Combination Products by email at [email protected].
For questions about Companion Diagnostic Devices, contact CDRH’s Office of Health
Technology 7/Office of In Vitro Diagnostics and Radiological Health at [email protected].

V.

FDA’s Review of HDE Applications

Approval of an HDE application under 21 CFR part 814, Subpart H, is considered “FDA
approval” of the device based on, among other criteria, evidence that the device will not expose
patients to an unreasonable or significant risk of illness or injury and the probable benefit to
health from use of the device outweighs the risk of injury or illness from its use, taking into
account the probable risks and benefits of currently available devices or alternative forms of
treatment. 24 In addition, to be eligible for HDE application approval, FDA must determine that

19

21 CFR 814.102(a).
Available at https://www.fda.gov/regulatory-information/search-fda-guidance-documents/humanitarian-usedevice-hud-designations.
21
See 21 CFR 814.102(a)(5).
22
See 21 CFR 814.102(a); 21 CFR 814.104(b)(1)
23
Section 520(m)(2)(B) of the FD&C Act; 21 CFR 814.104(b)(2).
24
Section 520(m)(2)(C) of the FD&C Act; 21 CFR 814.104(b)(3). As discussed in more detail in Section VI, FDA
will perform an assessment of the probable benefits and risks of a device, considering a number of factors, including
the target patient population and the size of the population, as well as available alternative treatments or diagnostics,
as part of its determination of whether an HDE application meets the statutory standard for approval.
20

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the device would not be available to a person with the disease or condition in question without
the HDE application approval and that there is no comparable device, other than another device
under an HDE or IDE, available to treat or diagnose the disease or condition. 25 A HUD that
meets the HDE standard for approval is exempt from the requirement of establishing a
reasonable assurance of effectiveness that would otherwise be required under sections 514 and
515 of the FD&C Act. 26 FDA approval of an HDE application authorizes an applicant to market
a HUD in accordance with approved labeling and indication(s) for use, subject to certain profit
and use restrictions set forth in section 520(m) of the FD&C Act.
A HUD under an HDE may not serve as a predicate device for purposes of section 513(i) of the
FD&C Act. 27 A Premarket Approval application (PMA) could subsequently be submitted for the
same device and indication(s) approved under an HDE application if the applicant believes there
is sufficient evidence to meet the evidentiary standard of a reasonable assurance of safety and
effectiveness; or, if appropriate, the applicant could instead submit a request for classification
under section 513(f)(2) of the FD&C Act (a De Novo request). If FDA approves a PMA or
grants a De Novo request for the HUD or another comparable device with the same indication,
we may withdraw the HDE because the HUD would no longer meet the requirements of section
520(m)(2)(B) of the FD&C Act. 28 Section V.A discusses comparable devices, and Section VII.E
discusses HUD designation re-evaluation.
FDA’s review of HDE applications has similarities to the review of PMA applications, with a
few key differences. Some similarities to the PMA program include:
•

•

HDE amendments, supplements, and reports are generally subject to similar requirements
as those for PMAs (although timeframes differ). 29 The requirements for each of these
types of HDE submissions refers back to the regulatory requirements for the PMA
counterpart.
HUDs are subject to the quality system (QS) regulation under 21 CFR part 820, and HDE
applications must include information in sufficient detail so that FDA can make a
knowledgeable judgment about the quality control used in the manufacture of the
device. 30 Additional information on manufacturing information to include in an HDE
application can be found in the FDA guidance, “Quality System Information for Certain
Premarket Application Reviews” 31 If you believe that you cannot comply with or should
not be subject to the QS regulation requirements, you may request an exemption or a

25

Section 520(m)(2)(B) of the FD&C Act; 21 CFR 814.104(b)(2).
See sections 514, 515, and 520(m) of the FD&C Act.
27
Under 21 CFR 807.92(a)(3), a legally marketed (predicate) device to which a new device may be compared for a
determination regarding substantial equivalence is a device that was legally marketed prior to May 28, 1976
(preamendments device), or a device which has been reclassified from class III to class II or I, or a device which has
been found to be substantially equivalent through the 510(k) process.
28
21 CFR 814.118(a).
29
See 21 CFR 814.106 (amendments); 814.108 (supplements); and 814.126 (reports).
30
21 CFR 814.104(b)(4) and 814.20(b)(4)(v).
31
Available at https://www.fda.gov/regulatory-information/search-fda-guidance-documents/quality-systeminformation-certain-premarket-application-reviews.
26

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variance from any device QS regulation requirement. Petitions for an exemption or
variance must be submitted according to the procedures set forth in 21 CFR 10.30. 32
Key differences between the HDE and PMA programs include the following:
•
•
•
•

•

•

•

A HUD under an HDE is exempt from the requirement of establishing a reasonable
assurance of effectiveness that would otherwise be required under sections 514 and 515
of the FD&C Act.
HDE applications accepted for filing and to which the applicant does not submit a major
amendment are reviewed in 75 days, rather than the traditional 180-day review timeframe
for PMA applications. 33
HDE applications are not subject to user fees.
For a device approved under an HDE application, medical device reports (MDRs)
submitted to FDA in compliance with the requirements of 21 CFR part 803 shall also be
submitted to the IRB of record. 34 If an appropriate local committee, instead of an IRB,
approved the use of the device at a facility, FDA recommends that these MDRs be
submitted to that committee. See Section VII below for additional information regarding
IRB requirements.
Use of HUDs in the clinical care of patients at a facility requires approval prior to use by
either an IRB or an appropriate local committee, with the exception of emergency use. 35
See Section VII below for additional information regarding IRB and appropriate local
committee requirements.
An HDE holder can only make a profit, up until the number of devices sold within the
calendar year exceeds the ADN, if the device meets the eligibility criteria for the
exemption to the profit prohibition in section 520(m)(6)(A)(i), subject to restrictions in
section 520(m)(6) of the FD&C Act. See Section VIII.A below for additional information
regarding eligibility for profit.
The applicant must include in the application a statement that no comparable device,
other than another HUD approved under an HDE or a device under an approved IDE, is
available to treat or diagnose the disease or condition. The applicant must explain in the
HDE application why the device would not be available for the indication in question
without the HDE approval. 36

Applicants wishing to submit a “modular HDE” for their HDE application may use the
procedures outlined in the FDA guidance, “Premarket Approval Application Modular Review.” 37
A modular HDE, for purposes of this guidance, is a compilation of sections or “modules”
submitted at different times that together become a complete HDE application. HDE applicants

32

See 21 CFR 820.1(e).
21 CFR 814.40 and 814.114.
34
See 21 CFR 814.126(a).
35
See section 520(m)(4) of the FD&C Act; 21 CFR 814.124(a).
36
See section 520(m)(2)(B) of the FD&C Act and 21 CFR 814.104(b)(2).
37
Available at https://www.fda.gov/regulatory-information/search-fda-guidance-documents/premarket-approvalapplication-modular-review.
33

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should include a copy of or reference to FDA’s HUD designation letter with each HDE modular
submission. Together, the modules are expected to contain the information required for an HDE
application.
When submitting an HDE application, applicants must prepare an electronic copy of their
submission per the FDA guidance document, “eCopy Program for Medical Device
Submissions,”38 and send the e-copy and cover letter to the current address found on the
following websites:
(1)https://www.fda.gov/cdrhsubmissionaddress, for devices regulated by CDRH; and
(2) https://www.fda.gov/about-fda/center-biologics-evaluation-and-research-cber/regulatorysubmissions-electronic-and-paper, for devices regulated by CBER.

A. HDE Application Required Elements and Filing
Review Principles
To use this guidance appropriately, HDE applicants and FDA staff should review the following
basic principles that are in bold typeface and followed by a description of FDA’s review policies
and procedures. These principles, and the objective criteria outlined in the Filing Checklist in
Appendix A, inform FDA’s HDE application filing decisions.
FDA should determine whether the contents of the HDE application allow the substantive
review to proceed.
The HDE regulations identify criteria that, if not met, may serve as the basis for FDA refusing to
file an HDE application. 39 The HDE application must contain the basic administrative and
scientific elements listed in 21 CFR 814.104(b), unless the applicant justifies an omission in
accordance with 21 CFR 814.104(c). The specific questions in the filing checklist are intended to
help FDA ensure that the HDE application contents are sufficiently organized and complete to
allow the review team to proceed with a substantive review of the application.
The FDA’s filing decision should not be based on a substantive review of the data and
information in the HDE application.
The filing review is conducted by FDA to ensure that the HDE application is sufficiently
complete and to determine the basic adequacy of the technical elements of the HDE application.
Notably, in determining whether an HDE application should be filed, the submitted information
should not be evaluated to determine whether the device will expose patients to an unreasonable
risk of illness or injury or whether the probable benefit to health from the use of the device

38

FDA has issued guidance to implement section 1136 of FDASIA, which added Section 745A(b) of the FD&C Act
(“eCopy Program for Medical Device Submissions,” available at https://www.fda.gov/regulatoryinformation/search-fda-guidance-documents/ecopy-program-medical-device-submissions).
39
21 CFR 814.112(a).
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outweighs the risk of injury or illness from its use, taking into account the probable risks and
benefits of currently available devices or alternative forms of treatment.
The checklist included in Appendix A is a tool to help ensure that the application contains the
necessary information to conduct a substantive review. The elements in the checklist stem from
either statutory or regulatory requirements, and the format and content are consistent with the
analogous checklists for other types of premarket submissions. FDA generally should not refuse
to file an HDE application because we have reviewed the data and believe that the application is
ultimately inadequate to meet the standard for HDE approval. Subsequently, the substantive
review of the HDE application will evaluate the quality of the content and lead to a decision
regarding whether the device will expose patients to an unreasonable or significant risk of illness
or injury and whether the probable benefit of the HUD outweighs the risk of injury or illness
from its use, taking into account the probable risks and benefits of currently available devices or
alternative forms of treatment. Concerns identified by the Agency regarding results and
outcomes of nonclinical and clinical studies should be addressed in the substantive review and
should not preclude a filing decision.
FDA should determine whether the applicant provided a justification for any alternative
approach.
If the applicant believes any criteria in the checklist are not applicable, the applicant should
explain its rationale. Likewise, the applicant should provide a rationale for any deviation from an
applicable device-specific or cross-cutting guidance document and must explain any deviation
from FDA-recognized consensus standard. 40 FDA expects that any item in the checklist that is
missing from the application will be addressed with a rationale explaining why the item is not
applicable and that any deviations will be explained. If a justification to omit certain information
or for taking an alternative approach is provided, FDA will consider the adequacy of that
justification or alternative approach during substantive review of the application. A given
criterion in the checklist will be considered “Not Present” if the application fails to include either
the information requested or a rationale for omission.
HDE application filing reviews.
FDA’s decision to “File” or “Not File” an HDE application should be made in collaboration with
the HDE review team and with the appropriate supervisory oversight. FDA will notify the HDE
applicant of the filing status within 30 calendar days from the date the HDE application was
received. 41 Generally, a small number of missing items from the filing checklist will not preclude
a positive filing decision; however, if multiple items are missing such that a substantive review
cannot be completed, a “Not File” decision will typically be made. FDA staff may use discretion
to determine whether missing items are needed for the application to be sufficiently
administratively complete to permit substantive review or to request the missing information
interactively during the filing or substantive review.

40
41

21 CFR 814.104(b)(4) and 21 CFR 814.20(b)(5).
21 CFR 814.112(a).
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Contains Nonbinding Recommendations

Additional considerations when using the filing checklist.
Certain elements of the HDE filing checklist are unique to the HDE Program. These elements are
discussed in additional detail below.
HUD Designation
HDE applicants must include a copy of or reference to FDA’s HUD designation letter with each
HDE application. 42
Amount charged for the device
As required by 21 CFR 814.104(b)(5), the applicant must state the amount to be charged for the
device, and if the amount is more than $250 a report or attestation must be provided verifying
that the amount charged does not exceed the costs of the device’s research, development,
fabrication, and distribution. A report must be prepared by an independent certified public
accountant, made in accordance with the Statement on Standards for Attestation established by
the American Institute of Certified Public Accountants. In lieu of such a report, an applicant may
submit an attestation by a responsible individual of the organization, verifying that the amount
charged does not exceed the costs of the device’s research, development, fabrication, and
distribution. If the amount charged is $250 or less, the requirement for a report by an
independent certified public accountant or an attestation by a responsible individual of the
organization is waived. If an HDE applicant requests that FDA consider whether the HUD meets
the eligibility criteria to qualify for profit making (see Section VIII.A. regarding how to request
to make a profit), the applicant must still include this report or attestation in the HDE application.
Comparable Devices
As required by 21 CFR 814.104(b)(2), the applicant must provide a statement that no other
comparable device, other than another HUD approved under an HDE or a device under an
approved IDE, is available to treat or diagnose the disease or condition. A “comparable device”
does not need to be identical to the device that is the subject of the HDE application. However, in
applying the “comparable device” exemption criterion, FDA takes into account that the purpose
of the HDE Program is to encourage development of devices intended to treat or diagnose
diseases or conditions that affect small patient populations. In determining whether a comparable
device exists, FDA may consider:
•
•
•

the device’s indications for use and technological characteristics;
the patient population to be treated or diagnosed with the device; and
whether the device meets the needs of the identified patient population.

FDA may refuse to file an HDE application if FDA determines that a comparable device is
available (other than under another HDE or a device under an approved IDE) to treat or diagnose

42

21 CFR 814.104(b)(1).

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Contains Nonbinding Recommendations

such disease or condition for which the approval of the HDE application is being sought. 43 FDA
cannot approve an HDE application for a HUD if we determine that such a comparable device is
available. 44

B.

FDA Review Actions for an HDE Application

After an original HDE application or HDE supplement is accepted for filing and FDA begins its
substantive review, the Agency may take the following actions during the course of review: 45
•
•
•
•
•

Approval order;
Approvable letter;
Major deficiency letter;
Not approvable letter; and
Denial order.

The review timeframe for original HDE applications and HDE supplements is 75 days. 46 In
addition, if the applicant submits a major amendment, the review timeframe may be extended up
to 75 days. 47 Certain changes to the manufacturing procedure or changes in method of
manufacture may qualify to be submitted as a 30-day notice. 48 For more information regarding
30-day notices, refer to the FDA guidance, “30-Day Notices, 135-Day Premarket Approval
(PMA) Supplements and 75-Day Humanitarian Device Exemption (HDE) Supplements for
Manufacturing Method or Process Changes.” 49 See Section VII.C below for additional details on
HDE supplements.

1.

Approval Order

FDA will issue an approval order (letter) informing the applicant that the HDE application is
approved and that the applicant may begin commercial distribution of the device in accordance
with any prescribed conditions of approval after we have completed our review and determined
that none of the reasons listed in 21 CFR 814.118 for denying approval applies. 50
When FDA issues an approval order, the FDA review clock stops. An approval order marks the
end of FDA’s review, as it is a final action.

43

See 21 CFR 814.112(a)(2).
See section 520(m)(2)(B) of the FD&C Act.
45
See 21 CFR 814.106, 814.116, and 814.118.
46
See 21 CFR 814.108 and 814.114.
47
21 CFR 814.106.
48
See 21 CFR 814.108 and 814.39(f).
49
Available at https://www.fda.gov/regulatory-information/search-fda-guidance-documents/30-day-notices-135day-premarket-approval-pma-supplements-and-75-day-humanitarian-device-exemption.
50
See 21 CFR 814.116(b).
44

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Contains Nonbinding Recommendations

2.

Approvable Letter

FDA will issue an approvable letter to inform the applicant that we have completed our review of
the application and determined that one or both of the following are necessary: 51
•

•

Resolution of minor deficiencies that are identified in the approvable letter. These
deficiencies may include, for example, clarifications of previously submitted information,
revisions to the labeling, and revisions to or development of a post-approval study
protocol.
Completion of an FDA inspection that finds the manufacturing facilities, methods, and
controls in compliance with the QS regulation, 21 CFR part 820, and, if applicable,
verifies records pertinent to the HDE application. When this is the case, the approvable
letter states that the device is “approvable pending GMP inspection.”

When FDA issues an approvable letter pending resolution of minor deficiencies, we stop the
FDA review clock and place the application on hold. When FDA receives a complete response to
an approvable letter for an HDE application, we consider it a major amendment and restart the
clock with a new 75-day FDA response timeframe.
When FDA issues an approvable letter pending GMP inspection letter, we stop the FDA review
clock. Once FDA determines that the GMP issues are resolved, we will issue an approval order if
all other minor deficiencies that may have been noted in the approvable letter have also been
resolved.

3.

Major Deficiency Letter

FDA will issue a major deficiency letter to inform the applicant that the HDE application lacks
significant information necessary for FDA to complete our review and request that the applicant
amend the application to provide the necessary information regarding the device, 52 such as:
•
•

•
•

Additional clinical experience to demonstrate probable benefit and/or that the device will
not expose patients to an unreasonable or significant risk of illness or injury;
Additional non-clinical data to demonstrate probable benefit and/or that the device will
not expose patients to an unreasonable or significant risk of illness or injury (e.g.,
electromagnetic compatibility, electrical safety, biocompatibility, reliability, software,
labeling, animal testing 53);
Scientific rationale for test data provided in the application;
New validation data and analyses (e.g., due to device modifications made during the
course of the HDE application review); or

51

See 21 CFR 814.116(c).
See 21 CFR 814.106 and 21 CFR 814.37(b).
53
We support the principles of the “3Rs,” to reduce, refine, and replace animal use in testing when feasible. We
encourage applicants to consult with us if it they wish to use a non-animal testing method they believe is suitable,
adequate, validated, and feasible. We will consider if such an alternative method could be assessed for equivalency
to an animal test method.
52

12

Contains Nonbinding Recommendations
•

A re-analysis of previously submitted data (e.g., alternative analytical method).

When FDA issues a major deficiency letter, we stop the FDA review clock and place the
application on hold. When FDA receives a complete response to a major deficiency letter, we
consider it a major amendment, restart the clock, and review the amendment within 75 days.

4.

Not Approvable Letter

FDA will issue a not approvable letter to inform the applicant that we have completed our review
and that we do not believe that the application can be approved ‘as-is’ because of significant
deficiencies. The not approvable letter will describe the deficiencies in the application, including
each applicable ground for not approving and, where practical, will identify measures required to
place the application in an approvable form. 54
Generally, before FDA issues a not approvable letter, we will first issue a major deficiency letter
to provide the applicant with an opportunity to address concerns. However, if an applicant fails
to provide an adequate response to a major deficiency letter, or if we have attempted to resolve
all deficiencies via interactive review and have not received adequate responses, FDA will issue
a not approvable letter.
When FDA issues a not approvable letter, we stop the review clock and place the application on
hold. If FDA receives a complete response to a not approvable letter, the amendment will be
considered a major amendment, and we restart the clock with a new 75-day FDA response
timeframe. 55

5.

Denial Order

FDA may deny approval of an HDE application for any of the reasons identified in 21 CFR
814.118(a). FDA will issue a denial order (letter) when we need to inform the applicant that we
have denied approval of the HDE application. The denial order will identify all deficiencies in
the application, including each applicable ground for denial and, where practical, will identify
measures required to place the application in an approvable form. The denial order will include a
notice of an opportunity to request review under section 515(d)(4) of the FD&C Act. 56
When FDA issues a denial order, we end the FDA review clock if a prior action has not already
done so. FDA expects that a denial will normally be preceded by another FDA action that stops
the review clock, such as a not approvable letter. However, the FD&C Act does not require any
prior FDA action, and FDA may, in appropriate circumstances, proceed directly to issuing a
denial order. A denial order marks the end of FDA’s review, as it is considered a final action.

54

21 CFR 814.116(d).
See 21 CFR 814.44(f)(1) and 814.116(d).
56
21 CFR 814.118(b) and 814.45(b).
55

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Contains Nonbinding Recommendations

6.

Acknowledgement of Voluntary Withdrawal

An applicant may, on its own initiative, withdraw an HDE application at any time prior to
approval, and for any reason, by submitting an amendment informing FDA of its intent to
remove the application from FDA’s review. 57 A voluntary withdrawal action will stop the review
clock on the receipt date of the amendment.
Under FDA regulations for review of HDE applications, FDA also considers an original HDE
application or HDE supplement to have been voluntarily withdrawn if an applicant fails to
respond to a not filing letter, an approvable letter, major deficiency letter, or not approvable letter
within 75 days of issuance of the letter. 58 However, if before the end of that 75-day period, an
HDE applicant requests additional time to generate data or provide other information to address
the issues identified in the FDA letter, FDA may agree to allow additional time, as appropriate.
When additional time is requested, FDA generally would allow up to 360 days to provide a
complete response to the FDA action letter. We generally do not find it appropriate to agree to
requests for additional time beyond 360 days. FDA intends to notify the applicant with a letter
acknowledging voluntary withdrawal of the HDE application or HDE supplement. Any
amendment submitted in response to an FDA action letter after FDA’s notification
acknowledging voluntary withdrawal would be considered a resubmission of the HDE
application. As such, it will be assigned a new HDE number and will be subject to the
requirements of 21 CFR 814.104.

VI. Assessing Probable Benefit and Risk in an HDE
Application
As discussed above, a device that meets the criteria under section 520(m) of the FD&C Act is
exempt from the effectiveness requirements of sections 514 and 515 of the FD&C Act. 59 To
approve an HDE application, section 520(m) of the FD&C Act requires that FDA find, among
other things, “that the device will not expose patients to an unreasonable or significant risk of
illness or injury and the probable benefit to health from the use of the device outweighs the risk
of injury or illness from its use, taking into account the probable risks and benefits of currently
available device[s] or alternative forms of treatment.” 60 To make the required findings, FDA
performs an assessment of probable risks and benefits for a device as part of its HDE application
review.

57

21 CFR 814.116(e)(3).
See 21 CFR 814.106 and 814.116(e)(1)-(2). FDA considers a “not filing letter” communicating that an HDE
application lacks sufficient information for substantive review to be an FDA request to submit an amendment.
59
See sections 514, 515, and 520(m) of the FD&C Act; 21 CFR 814.118(a)(1).
60
Section 520(m)(2)(C) of the FD&C Act.
58

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FDA also assesses probable benefits and risks as part of its review of PMAs and De Novo
requests, 61 and the Agency has previously presented a benefit-risk framework for benefit-risk
determinations in the context of reviewing those applications in the guidance document “Factors
to Consider When Making Benefit-Risk Determinations in Medical Device Premarket Approval
and De Novo Classifications.” FDA believes that the benefit-risk framework and factors used to
assess PMAs or De Novo requests referenced above is generally appropriate for HDE
applications. FDA therefore intends to consider the same factors described in FDA’s benefit-risk
framework for evaluating PMAs or De Novo requests when assessing probable benefits and risks
for HDE applications.
However, given the different standards and requirements that apply to approval of an HDE
application, the weighting of those factors and the nature of the evidence available regarding
those factors is likely to differ in the HDE context. Among other differences, the HDE pathway
accepts greater uncertainty premarket because a reasonable assurance of effectiveness is not
required for a device approved under an HDE application. 62 Therefore, when compared to a
PMA or De Novo request, both of which require a demonstration of reasonable assurance of
safety and effectiveness, 63 it is anticipated that there will generally be greater uncertainty
surrounding the benefit-risk profile based on the evidence submitted in an HDE application.
Moreover, as with the benefit-risk framework for evaluating PMAs or De Novo requests, FDA
considers relevant factors as part of the probable benefit-risk assessment for an HDE application
in the context of the intended use of the device, including the target patient population and the
size of the population. For example, the smaller the patient population for which the device is
intended, the greater the uncertainty FDA would typically expect in the review of an HDE
application because of the challenges of obtaining clinical data regarding the device. FDA’s
probable benefit-risk assessment also takes into account currently available alternative treatments
or diagnostics, including their limitations. When available, information characterizing patients’
tolerance for risk, tolerance for uncertainty, and their perspectives on probable benefit may
provide useful context during the probable benefit-risk assessment. We encourage applicants to
collect and submit patient preference information as available to assist in this assessment. In
addition, we encourage patient advocacy groups as well as academicians and other groups to
collect patient preference information, which may be collected in conjunction with an applicant
for purposes of a future HDE application. Refer to the FDA guidance document, “Patient
Preference Information—Voluntary Submission, Review in Premarket Approval Applications,

61

See FDA’s guidance, “Factors to Consider When Making Benefit-Risk Determinations in Medical Device
Premarket Approval and De Novo Classifications,” (https://www.fda.gov/regulatory-information/search-fdaguidance-documents/factors-consider-when-making-benefit-risk-determinations-medical-device-premarketapproval-and-de) for a discussion of how FDA benefit-risk assessments relate to the Agency’s safety and
effectiveness evaluation of a device in the context of reviewing PMAs and De Novo requests.
62
Section 520(m)(2) of the FD&C Act.
63
To meet the statutory standard for approval of a PMA, there must be a showing of reasonable assurance that the
device is safe and effective. See section 515(d) of the FD&C Act. The De Novo classification process is appropriate
for devices that would otherwise be subject to PMA but for which general controls or general and special controls
provide a reasonable assurance of safety and effectiveness. See section 513(f)(2) of the FD&C Act.

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Contains Nonbinding Recommendations

Humanitarian Device Exemption Applications, and De Novo Requests, and Inclusion in
Decision Summaries and Device Labeling.” 64
The Agency’s probable benefit-risk framework provides for flexibility and use of scientific
judgment in assessing the totality of the evidence to determine if a specific device meets the
standard for HDE application approval. This flexibility allows FDA to take into account
considerations relevant to HDE applications (e.g., a relatively small patient population) under a
framework that is consistent across device marketing submission types. To do so, FDA has
developed tools to assist in assessing probable benefit and risk for an HDE application. Refer to
the supplementary Considerations for the Probable Benefit-Risk Assessment in Appendix B and
the Probable Benefit-Risk Assessment Summary in Appendix C. These tools are intended to
reflect differences in probable benefit-risk determinations for an HDE application when
compared to other types of device marketing submissions. Note that the tools in this guidance
also present questions to consider regarding the factors for the probable benefit-risk assessment.
FDA has also published guidance with respect to making benefit-risk determinations for IDE
applications. 65 However, unlike an IDE, which permits a device to be shipped lawfully for the
purpose of conducting a clinical investigation of the device’s safety and/or effectiveness, an
approved HDE application is a marketing authorization. Accordingly, the two applications have
different statutory and regulatory standards and, as a general matter, earlier stages of device
development and investigational study under an IDE are typically associated with greater
uncertainty than an HDE. Approval of an IDE application to permit investigational use of a
device may be appropriate where it is unknown if subjects are likely to benefit from the use of
the device, if the risks to the subjects are outweighed by the anticipated benefits to the subjects
and the importance of the knowledge to be gained, and the IDE application otherwise satisfies
the requirements of 21 CFR part 812. 66 In contrast, approval of the HDE application, which
authorizes the marketing of a device, requires, among other things, a demonstration that there is
probable benefit and that the probable benefit outweighs the risk of injury or illness from its use,
taking into account the probable risks and benefits of currently available devices or alternative
forms of treatment.
For HDE applications, probable benefit is present when there is evidence for FDA to reasonably
conclude that patients are likely to benefit from the use of the device. The probable benefit-risk
decision support tools prompt FDA review staff to consider probable benefit in terms of:
•
•
•

Type of benefit(s)
Magnitude of benefit(s);
Probability of the patient experiencing one or more benefit(s);

64

Available at https://www.fda.gov/regulatory-information/search-fda-guidance-documents/patient-preferenceinformation-voluntary-submission-review-premarket-approval-applications.
65
See “Factors to Consider When Making Benefit-Risk Determinations for Medical Device Investigational Device
Exemptions,” (https://www.fda.gov/regulatory-information/search-fda-guidance-documents/factors-consider-whenmaking-benefit-risk-determinations-medical-device-investigational-device).
66
FDA may disapprove or withdraw approval of an IDE application if, among other reasons, “[t]here is reason to
believe that the risks to the subjects are not outweighed by the anticipated benefits to the subjects and the importance
of the knowledge to be gained . . . .” 21 CFR 812.30(b)(4).
16

Contains Nonbinding Recommendations
•
•
•

Duration of effect(s);
Patient perspectives; and/or
Care-partner (e.g., parent or aide) perspectives.

In addition, the probable benefit-risk decision support tools prompt FDA review staff to consider
risk in terms of:
•
•
•
•
•
•

Severity, types, number and rates of harmful events associated with use of the device;
Probability of a harmful event;
Duration of harmful events;
Risk from false-positive or false-negative results for diagnostics; and
Patient perspectives; and/or
Care-partner perspectives.

As with benefit-risk assessments for PMAs and De Novo requests, FDA considers additional
factors, including uncertainty and available alternative treatments or diagnostics, as part of
assessing whether probable benefits outweigh the probable risks in the context of an HDE
application. Sources of evidentiary uncertainty could include, but are not limited to:
•
•
•
•

Sample size;
Duration of follow-up;
Use of a surrogate outcome; and/or
Use of non-clinical performance data such as animal testing or computer modeling rather
than or in addition to a clinical or surrogate outcome.

The types of evidence that may be used to support approval of an HDE application include
investigations using laboratory animals, investigations involving human subjects, nonclinical
investigations, and analytical studies for in vitro diagnostics. FDA recognizes that in some
instances there may be little or no clinical experience with the device that is the subject of an
HDE application. Depending upon the nature of the device and its associated risks, FDA may
request that clinical data be collected in support of an HDE application. However, it is also
important to recognize that non-clinical data may play a critical role in probable benefit-risk
assessments in the context of HDE. Medical devices often have attributes that cannot be tested
by clinical methods alone and that play a major role in the performance, safety, or effectiveness
of the device. In some cases, non-clinical testing (e.g., engineering performance studies, animal
studies, analytical testing, or computer modeling and simulation) can obviate or reduce the need
for clinical testing to evaluate certain aspects of device design or performance. Both clinical and
non-clinical testing methods may be used to assess the probable benefit (including consideration
of its likelihood, magnitude and duration), the probability or severity of a given risk, and/or the
success of risk control measures, including risk mitigation measures.
The document at Appendix B, “Considerations for the Probable Benefit-Risk Assessment,” is
intended to complement the Probable Benefit-Risk Assessment Summary at Appendix C. FDA
staff should use the two tools together while reviewing the HDE application. FDA staff should
also refer to this guidance to assist them in making their determinations. HDE applicants may

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also consider these tools, but inclusion of these documents as part of an application is not a
requirement.

VII. Post-Approval Requirements
HDE applications are subject to a number of post-approval requirements, as described below. In
addition to these requirements, a post-approval study (PAS) may be required and described in the
approval order. 67 The guidance document, “Procedures for Handling Post-Approval Studies
Imposed by PMA Order,” includes recommendations for PMA post-approval studies. 68
However, most of the information in this guidance document also applies to post-approval
studies imposed for an approved HDE application.

A. IRB or Appropriate Local Committee Oversight and
Approval
A HUD with an approved HDE application is approved by FDA for marketing. The HDE holder
is responsible for ensuring that a HUD under an approved HDE is administered only in facilities
having IRB oversight in accordance with the Agency’s regulation governing IRBs. 69 In addition,
approval by an IRB or an appropriate local committee is required before a HUD under an
approved HDE can be used at a facility for clinical care, with the exception of emergency use. 70
See Section VIII.G., “Emergency Use of HUDs.” Note that we do not interpret the statute to
require an IRB or appropriate local committee to review and approve each individual use of a
HUD, and the IRB may grant a generalized approval to use the HUD at a facility. In such
circumstances, FDA does not require the facility, HDE holder, or practitioner to seek approval
from the IRB or appropriate local committee for each use, provided the use of the HUD is within
the terms of the generalized approval.
FDA interprets the statutory term “appropriate local committee” to mean a standing committee
for the facility that has expertise and experience in reviewing and making treatment decisions for
clinical care, particularly in applying innovative medical device technologies to clinical care. As
such, a standing committee for the facility that includes physicians with experience in the
treatment of rare diseases or conditions would be considered an appropriate local committee by
the Agency. Depending on the facility and the charters of its committees, examples of an
appropriate local committee may include a peer review committee, a credentialing committee, or
a Quality Care Committee. We recommend that the committee include a senior executive level
medical staff or faculty member (e.g., the Chief Medical Officer, Physician-in-Chief, Surgeonin-Chief, Department Chair). In addition, FDA interprets the term “appropriate” to mean that
members of the appropriate local committee are free of financial and other conflicts of interest in
decisions pertaining to the use of the HUD in clinical care or they recuse themselves from such

67

21 CFR 814.126(a) and 814.82(a)(2).
Available at https://www.fda.gov/regulatory-information/search-fda-guidance-documents/procedures-handlingpost-approval-studies-imposed-pma-order.
69
See section 520(m)(4)(A) of the FD&C Act. FDA regulations governing IRBs are in 21 CFR part 56.
70
See section 520(m)(4)(B) of the FD&C Act and 21 CFR 814.124(a).
68

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decisions in which they have a conflict of interest. Merely because a facility has a standing
committee does not mean the committee is appropriate to review use of a HUD in clinical care.
The HDE holder is not required to submit the names and addresses of the reviewing IRBs or
appropriate local committees to FDA. However, as required in 21 CFR 814.126(b)(2), the HDE
holder must maintain records of:
•
•
•

The names and addresses of the facilities to which the HUD was shipped (which FDA
interprets to mean information for facilities to which the HUD was shipped to treat or
diagnose patients within the U.S.);
Correspondence with reviewing IRBs; and
Any other information requested by a reviewing IRB or FDA.

FDA recommends that HDE holders likewise maintain correspondence with reviewing
appropriate local committees as well as other information that such committees may require.
Additional information regarding the role of IRBs and appropriate local committees with respect
to HUDs is available in Section VIII.E, below.

B.

Adverse Event Reporting

All adverse events, whether expected or not, must be reported and evaluated in accordance with
Medical Device Reporting requirements in 21 CFR part 803. Device manufacturers and user
facilities are required to submit medical device reports to FDA and to the “IRB of record” (i.e.,
the IRB that oversees use of the HUD at the facility where the adverse event occurred) after
HDE approval. 71 In the event that an appropriate local committee approved the use of the HUD
for routine clinical care at that facility, instead of an IRB, we recommend that manufacturers
submit MDRs to that committee.
Accordingly, manufacturers must submit MDRs to FDA and the IRB of record (with submission
to the appropriate local committee that approved the use of the HUD recommended, if
applicable) when they become aware of information reasonably suggesting that a HUD may have
caused or contributed to a death or serious injury, or has malfunctioned and would be likely to
cause or contribute to a death or serious injury if the malfunction were to recur. 72
User facilities must submit MDRs to FDA, the IRB of record (with submission to the appropriate
local committee that approved the use of the HUD recommended, if applicable), and, if known,
the manufacturer when they become aware of information reasonably suggesting that a HUD
may have caused or contributed to the death of a patient, and must submit reports to the
manufacturer (or to FDA and the IRB of record if the manufacturer is unknown) when they
become aware of information reasonably suggesting that a HUD may have caused or contributed

71

See section 519(a) and (b) of the FD&C Act; 21 CFR 803.30, 803.50, and 814.126(a). See 21 CFR 803.3(d) for
the definition of a device user facility.
72
See 21 CFR 803.50 and 814.126(a).

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Contains Nonbinding Recommendations

to a serious injury to a patient of the facility. 73 As defined by 21 CFR 803.3(w), a serious injury
means an injury or illness that:
•
•
•

Is life-threatening;
Results in permanent impairment of a body function or permanent damage to a body
structure; or
Necessitates medical or surgical intervention to preclude permanent impairment of a
body function or permanent damage to a body structure.

Adverse events for HUDs that are approved and labeled for pediatric patients or in a pediatric
subpopulation, as described in section 520(m)(6)(A)(i)(I) of the FD&C Act, and exempt from the
profit prohibition will be reviewed periodically by FDA’s Pediatric Advisory Committee
(PAC). 74 Additional information on upcoming PAC meetings is available on the FDA website. 75
If the HUD is being investigated in a clinical study under an IDE, adverse events that occur
during the study should be reported in accordance with 21 CFR 812.150(a)(1) and 812.150(b)(1).

C.

HDE Supplements

After FDA approval of an original HDE application, an applicant shall submit an HDE
supplement for review and approval by FDA before making a change affecting the safety or
probable benefit of the device. 76
If you wish to request new indications for use for a device under an HDE (e.g., for a different
disease or condition) you must obtain a new HUD designation and submit a new original HDE
application in compliance with 21 CFR 814.110. If you are submitting a new original HDE
application, please contact OOPD to discuss obtaining a new HUD designation. In the new HDE
application, any relevant information or data submitted in the HDE application for the original
indication may be incorporated by reference.

D.

HDE Periodic Reports

You must submit periodic reports for HDEs in accordance with the approval order under 21 CFR
814.126(b). HDE periodic reports must include the following information unless FDA specifies
otherwise:
•

An update of the information required under 21 CFR 814.102(a) to demonstrate that the
HUD designation is still valid. 77 An updated annual incidence reassessment (AIR) based
on updated numbers to show that the target population for the disease or condition for
which the device has been designated is not more than 8,000 per year provides this
information. The AIR refers to the HUD designated population, which in some cases may

73

21 CFR 803.30 and 814.126(a).
Section 520(m)(7) of the FD&C Act.
75
https://www.fda.gov/advisory-committees/committees-and-meeting-materials/pediatric-advisory-committee
76
21 CFR 814.108 and 814.39.
77
See 21 CFR 814.126(b)(1)(i).
74

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Contains Nonbinding Recommendations

•

•

•

•

•
•

be larger than the approved indication under the HDE (i.e., if the HDE approval covers
only a certain indication within the designated disease or condition). In reviewing this
information, the reviewing center, CDRH or CBER, may refer the AIR to OOPD for
further evaluation if necessary.
An update to the explanation of why the device would not be available unless an HDE
were granted, a statement that no other comparable device (other than another HUD
under an HDE or a device under an approved IDE) is available to treat or diagnose the
disease or condition, and an updated discussion of the risks and benefits of currently
available devices or alternative forms of treatment in the United States. 78 Information on
HDE approvals can be found on the publicly accessible search engine on the FDA
website. 79
An update to the explanation of why the probable benefits to health from the use of the
device outweighs the risk of injury or illness from its use, taking into account the
probable risks and benefits of currently available devices or alternative forms of
treatment. 80
An update to the amount to be charged for the device and, if over $250, a report by an
independent certified public accountant or an attestation by a responsible individual of
the organization verifying that the amount charged does not exceed the costs of the
device’s research, development, fabrication, and distribution.81
The number of devices that have been shipped or sold since initial marketing approval
and, if the number shipped or sold exceeds 8,000, an explanation and estimate of the
number of devices used per patient. 82 FDA interprets this regulation to require HDE
holders to report the total number of HUDs shipped or sold per year pursuant to the
approved HDE application in the U.S., no matter how the HUDs are used (whether for
the approved indication(s), emergency use, or otherwise). However, for devices that have
both an HDE application approval and a PMA approval for a different indication, you
need report only the number of devices that are shipped or sold pursuant to the HDE
unless specifically required otherwise by the PMA Approval Order.
Information describing the clinical experience with the approved device, including safety
information that is known or reasonably should be known to the applicant, and any
medical device report made under 21 CFR part 803. 83
A summary of any changes made to the device in accordance with supplements submitted
under 21 CFR 814.108. 84

78

See 21 CFR 814.126(b)(1)(ii) and 814.104(b)(2).
https://www.accessdata.fda.gov/scripts/cdrh/cfdocs/cfHDE/hde.cfm
80
See 21 CFR 814.126(b)(1)(ii) and 814.104(b)(3).
81
See 21 CFR 814.126(b)(1)(ii) and 814.104(b)(5).
82
See 21 CFR 814.126(b)(1)(iii).
83
See 21 CFR 814.126(b)(1)(iv).
84
See 21 CFR 814.126(b)(1)(v).
79

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Contains Nonbinding Recommendations

E. HUD Designation Re-Evaluation and/or HDE
Withdrawal
If, based on information contained in the HDE periodic reports, FDA is concerned that the HUD
designation may no longer apply to your device, we may contact you for additional information,
re-evaluate and possibly revoke your HUD designation, and/or withdraw HDE approval. 85
If we make the determination that more than 8,000 individuals in the United States are affected
by or manifest a certain disease or condition per year, we may consider whether your HUD
designation should be revoked in accordance with 21 CFR 814.102(c) and your HDE withdrawn
in accordance with 21 CFR 814.118. In making this determination, we intend to consider factors
such as the number of patients with the disease or condition and the public health need for the
device. The investigational use of a HUD outside of the HUD designation would not count
toward the limit of 8,000 individuals per year. Per section 520(m)(5) of the FD&C Act, FDA
may suspend or withdraw an HDE only after providing notice and an opportunity for an informal
hearing. We intend to discuss the regulatory options with the HDE holder before revoking a
HUD designation.
If FDA subsequently approves a PMA or grants a De Novo request for the HUD or another
comparable device with the same indication(s), we may withdraw the HDE because the HUD
would no longer meet the requirements of section 520(m)(2)(B) of the FD&C Act. 86

VIII. Special Considerations for Devices Marketed Under an
HDE
A.

Eligibility for Profit

Except in certain circumstances, HUDs under an HDE cannot be sold for an amount that exceeds
the costs of research and development, fabrication, and distribution of the device (i.e., for
profit). 87 If a HUD is studied in a clinical investigation for a new indication, the sponsor of the
clinical investigation cannot charge subjects or investigators a price higher than necessary to
recover the costs of manufacture, research, development, and handling. 88 Any costs for which a
subject in a clinical investigation is responsible must, when appropriate, be provided in the
informed consent document. 89
Under section 520(m)(6)(A)(i) of the FD&C Act, as amended by FDASIA, a HUD under an
HDE is only eligible to be sold for profit if the device meets the following criteria (i.e., the
eligibility criteria):

85

See 21 CFR 814.102(c), 814.118(a)(9), and 814.126(b)(1).
See 21 CFR 814.118(a).
87
Section 520(m)(3) of the FD&C Act.
88
See 21 CFR 812.7(b).
89
21 CFR 50.25(b)(3).
86

22

Contains Nonbinding Recommendations
•

•

The device is intended for the treatment or diagnosis of a disease or condition that occurs
in pediatric patients or in a pediatric subpopulation, and such device is labeled for use in
pediatric patients or in a pediatric subpopulation in which the disease or condition occurs;
or
The device is intended for the treatment or diagnosis of a disease or condition that does
not occur in pediatric patients or that occurs in pediatric patients in such numbers that the
development of the device for such patients is impossible, highly impracticable, or
unsafe.

If a device under an HDE does not meet either of the eligibility criteria, the device cannot be sold
for profit. FDA reviews the financial information in the HDE holder’s initial application and
periodically thereafter. When approving the use of a HUD for treatment or diagnosis of patients
in clinical care, the IRB or appropriate local committee is not required to review a justification
for the amount charged for the HUD. For the purposes of this guidance, the descriptions below
are intended to provide additional clarity regarding each component of the eligibility criteria.
Occurs in pediatric patients or in a pediatric subpopulation – This would be a disease
or condition that can occur in patients who are younger than 22 years of age.
Does not occur in pediatric patients – This would be a disease or condition that occurs
only in patients who are 22 years of age or older. An example of a disease that does not
occur in pediatric patients is Alzheimer’s disease.
Impossible or highly impracticable – When determining whether the development of a
HUD in pediatric patients is “impossible” or “highly impracticable,” FDA considers
information provided by the applicant to FDA, including publicly-available information
such as published literature, which demonstrates that the sponsor would not be able to
conduct the necessary clinical investigation(s) in the pediatric population for the device.
For example, FDA may determine that the development of a particular device is
“impossible” or “highly impracticable” in pediatric patients if the device is intended to
treat a disease or condition that has a pediatric annual incidence that is so small, or if the
prevalence of the pediatric patients living with the disease is so small, or if the pediatric
population is so geographically dispersed to prevent sufficient patient recruitment in the
pediatric population for a clinical investigation. Because of the speed and efficiency of
modern communications tools, geographic dispersion will typically justify a
determination that development is impossible or highly impracticable only in
extraordinary circumstances and will generally have to be coupled with very small
population size. FDA does not consider economic factors (such as the costs associated
with conducting a clinical investigation) as a basis for being “impossible” or “highly
impracticable.”
Unsafe – FDA may determine that the development of a HUD in pediatric patients is
“unsafe” if the applicant has provided information, including publicly-available
information such as published literature, to FDA that demonstrates that the device would
expose pediatric patients to an unreasonable or significant risk of illness or injury. If FDA
determines that the HUD is eligible to be sold for profit because development of the
23

Contains Nonbinding Recommendations

device in pediatric patients would be “unsafe,” the labeling (e.g., warnings or
contraindications) for the device should reflect the safety concern.
An HDE applicant whose device meets one of the eligibility criteria and who wishes to sell its
HUD for profit should provide adequate supporting documentation to FDA in its original HDE
application to demonstrate to FDA that the HUD meets the eligibility criteria. An HDE holder
whose HDE application was approved prior to the enactment of FDASIA on July 9, 2012, and
who wishes to sell its HUD for profit should provide adequate supporting documentation to FDA
in an HDE supplement to demonstrate to FDA that the HUD meets the eligibility criteria. If FDA
determines that the HUD meets the eligibility criteria, FDA will then determine the ADN for the
HUD when FDA approves the HDE application or supplement. 90

B.

The Annual Distribution Number (ADN)

Under section 520(m)(6) of the FD&C Act, if FDA makes a determination that a HUD meets the
eligibility criteria, in any given calendar year, a HUD can be sold for a profit up until the number
of devices sold exceeds the annual distribution number (ADN).
The ADN is determined by FDA:
•
•

When the Agency approves the original HDE application; or
When the Agency approves an HDE supplement for an HDE application approved before
the enactment of FDASIA on July 9, 2012, if the HDE holder seeks a “determination” for
the HUD in an HDE supplement based upon the profit-making eligibility criteria, and
FDA determines that the HUD meets the eligibility criteria. 91

Under section 520(m)(6)(A)(ii) of the FD&C Act, the ADN is defined, with respect to a device
under an HDE, as the number of devices “reasonably needed to treat, diagnose, or cure a
population of 8,000 individuals in the United States.” The applicant should provide the number
of devices per year reasonably needed for each individual in the HDE application or HDE
supplement and provide adequate documentation to support such number in order to provide a
basis for FDA to calculate the ADN.
When determining the ADN, FDA considers the number of devices per year reasonably needed
to treat, diagnose, or cure an individual (“first multiplier”) and multiplies that value by 8,000
(“second multiplier”). By law, the second multiplier is always 8,000. Therefore, the ADN will be
equal to or greater than 8,000, depending on the value of the first multiplier. For example, the
target population estimate for the intended use may be 3,000 individuals, but if 2 devices are
reasonably needed per year to treat, diagnose or cure a patient, the ADN would be 16,000 (i.e., 2
multiplied by 8,000 because the second multiplier for the ADN is always 8,000, regardless of the
actual population estimate). After FDA has determined the ADN, an HDE holder may submit an

90
91

See section 613(b) of FDASIA and Section VIII.B. for more discussion on the ADN.
See section 520(m)(6)(A)(ii) of the FD&C Act and section 613(b) of FDASIA.

24

Contains Nonbinding Recommendations

HDE supplement requesting that FDA modify the ADN based upon additional information, and
FDA may modify the number. 92
As required under 21 CFR 814.126(b)(1)(iii), the HDE applicant is responsible for monitoring
how many devices are shipped or sold in the U.S. each year, and if that number exceeds 8,000, to
provide an explanation and estimate to FDA of how the device is being used by patients.
Similarly, the HDE holder is responsible for monitoring when the number of devices shipped or
sold in a year exceeds the ADN, when the HUDs are approved by FDA to make a profit. 93 An
IRB or appropriate local committee is not responsible for monitoring the number of uses per year
of the HUD.
If the HDE holder ships multiple sizes of a device to help ensure that one of the devices is the
appropriate size for the patient(s) when used, it would not be necessary to count all of these
devices toward the ADN tally if the additional sizes of the devices (that did not properly fit the
patient(s)) are returned to the HDE holder. Unused devices should be returned to the HDE holder
to appropriately account for them. The HDE holder should document in its periodic report how
many devices are returned to the HDE holder if multiple sizes are shipped. Additionally, HDE
holders should keep in mind that if they distribute devices in excess of the ADN, they will not be
able to make a profit on those devices.
HDE holders assigned an ADN must immediately notify the Agency if the number of devices
distributed in a calendar year exceeds the ADN. 94 HDE holders should make this immediate
notification to the Agency by submitting an HDE report whenever the number of HUDs shipped
or sold in a calendar year, however the HUD is used, exceeds the ADN. The statutory
notification requirement is generally consistent with the reporting requirement in 21 CFR
814.126(b)(1)(iii) concerning the number of devices shipped or sold regardless of their ultimate
use (even if outside their approved indications). However, the statutory provision requires
immediate notification when the number shipped or sold in a calendar year exceeds the ADN,
whereas the current HDE regulations require periodic reports on a timeframe specified in the
HDE approval order.
Once this notification occurs, or once FDA discovers through an inspection that the ADN has
been exceeded, then the sales of the HUD for the remainder of the year are subject to the general
prohibition on profit (unless FDA approves an ADN modification request in an HDE
supplement), and the amount charged for the device must not exceed the cost of research and
development, fabrication, and distribution of the device. 95
In those cases in which a device is approved for a certain indication under an HDE application
and is approved under a PMA or has a De Novo request granted for a different indication, sales
or shipments of the device pursuant to the PMA or the De Novo request are not subject to the
ADN reporting requirement. The ADN relates only to those devices that are marketed under an
HDE. Therefore, the manufacturer is required to notify FDA only when sales or shipments

92

See section 520(m)(6)(C) of the FD&C Act.
See section 520(m)(6)(A)(iii) of the FD&C Act.
94
See section 520(m)(6)(A)(iii) of the FD&C Act.
95
See section 520(m)(6)(D) of the FD&C Act.
93

25

Contains Nonbinding Recommendations

pursuant to the HDE exceed the ADN. If a manufacturer must report the number of sales or
shipments of a device approved for certain indications under a PMA, the manufacturer would be
responsible for separately reporting sales or shipments of devices marketed for different
indications under an HDE per 21 CFR 814.126(b)(1)(iii).

C.

Information to Patients

Neither the FD&C Act nor FDA regulations require informed consent from patients who are
treated or diagnosed with an HDE-approved HUD in the course of their clinical care. An IRB or
appropriate local committee may, however, choose to require that patients receive certain
information about the HUD when the committee approves use of the HUD for clinical care at a
facility. If a committee requires that patients receive a written document prior to use of the HUD
in clinical care, the document should include much of the information found in the HDE patient
labeling. If no patient information packet is available, the HDE holder may consider including
the following in any written information provided to patients: an explanation that the HUD is
designed to diagnose or treat the disease or condition described in the HDE labeling and that no
comparable device is available to treat the disease or condition; a description of any ancillary
procedures associated with the use of the HUD; a description of the use of the HUD; all known
risks or discomforts; and an explanation of the postulated mechanism of action of the HUD in
relation to the disease or condition. The IRB or appropriate local committee may decide to
require inclusion of this or other information explicitly as part of a written document provided to
patients.
The labeling for a HUD approved under an HDE, including any labeling provided to patients,
must be truthful and non-misleading. 96 The device labeling must also include the following
statement clarifying that effectiveness has not been demonstrated: “Humanitarian Device.
Authorized by Federal law for use in the [treatment or diagnosis] of [specify disease or
condition]. The effectiveness of this device for this use has not been demonstrated.” 97 Additional
labeling requirements appear under 21 CFR 814.20(b)(10).

D.

HDEs and Pediatric Patients

As discussed above, under section 520(m)(6)(A)(i)(I) of the FD&C Act, a HUD is eligible to be
sold for profit if, among other things, the device “is intended for the treatment or diagnosis of a
disease or condition that occurs in pediatric patients or in a pediatric subpopulation, and such
device is labeled for use in pediatric patients or in a pediatric subpopulation in which the disease
or condition occurs.” This provision permits HDE holders to receive a profit from the sale of
HUDs that are indicated and labeled for pediatric use, subject to the limit of the ADN.
HUDs marketed under an HDE may be indicated and labeled for pediatric use only or for use in
both pediatric and adult patients. Devices that are intended to treat both a pediatric population
and an adult population may be included in a single HDE application, but the indications for use
should specify use in pediatric patients, or pediatric subpopulation(s), as well as use in adults. In

96
97

See section 502(a) of the FD&C Act, 21 U.S.C. 352(a).
21 CFR 814.104(b)(4)(ii).
26

Contains Nonbinding Recommendations

some cases, the probable benefit-risk profile for devices intended for use in a pediatric
population, or in a pediatric subpopulation, may differ from its profile when intended for use in
an adult population. Therefore, we recommend that HDE applications for devices intended for
use in pediatric populations and in adult populations include data supporting the use in both
pediatric and adult populations or an appropriate rationale specifically addressing how the data
provided for one population (e.g., adults) are sufficient to support approval of an HDE
application with indications for use in both populations. For more information about
extrapolating data, refer to the FDA guidance, “Leveraging Existing Clinical Data for
Extrapolation to Pediatric Uses of Medical Devices.” 98
As defined in section 520(m)(6)(E)(i) of the FD&C Act, pediatric patients for purposes of
section 520(m) of the FD&C Act are patients who are 21 years of age or younger (i.e., up to, but
not including, the 22nd birthday) at the time of the diagnosis or treatment. 99 As defined by section
520(m)(6)(E)(ii) of the FD&C Act, “pediatric subpopulation” means one of the following
populations: neonates, infants, children, or adolescents. Additional information about the
definition of pediatric patients and pediatric use as it relates to medical devices can be found in
the FDA guidance, “Premarket Assessment of Pediatric Medical Devices.” 100
HUDs that are approved and labeled for pediatric patients or in a pediatric subpopulation as
described in section 520(m)(6)(A)(i)(I) of the FD&C Act are required, under section 520(m)(8)
of the FD&C Act, to be reviewed annually by FDA’s PAC. 101 The PAC annually reviews these
HUDs to ensure that the HDE remains appropriate for the pediatric populations for which it was
approved. The PAC also conducts periodic review of adverse events for these devices when they
are exempt from the profit prohibition. 102

E. Review and Approval of the Use of HUDs in Clinical
Care
As summarized above, an IRB or appropriate local committee must approve the use of a HUD at
a given facility before it can be used at that facility. 103 Therefore, a healthcare professional
wishing to use an HDE-approved HUD to treat or diagnose a patient at a facility should obtain
approval from the facility’s IRB or the appropriate local committee before use of the HUD,
except in certain emergencies where prior approval is not required. See Section VIII.G.,
“Emergency Use of HUDs.” In reviewing the use of the HUD in clinical care, the IRB or
appropriate local committee should be cognizant that FDA has made a determination that the

98
Available at https://www.fda.gov/regulatory-information/search-fda-guidance-documents/leveraging-existingclinical-data-extrapolation-pediatric-uses-medical-devices.
99
See also 21 CFR 814.3(s).
100
Available at https://www.fda.gov/regulatory-information/search-fda-guidance-documents/premarket-assessmentpediatric-medical-devices.
101
For more information on the PAC, see https://www.fda.gov/advisory-committees/committees-and-meetingmaterials/pediatric-advisory-committee.
102
See section 520(m)(7) of the FD&C Act.
103
See section 520(m)(4)(B) of the FD&C Act.

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Contains Nonbinding Recommendations

probable benefits to health outweigh the probable risks for use of the HUD only within its
approved indication(s). The HDE holder is responsible for ensuring that the HUD is administered
in facilities that have oversight by an IRB constituted and functioning in accordance with 21
CFR part 56. 104 Note that an IRB’s or appropriate local committee’s approval for the “use” of a
HUD at a facility to treat or diagnose patients in the course of providing clinical care does not
mean that there has been IRB approval of a clinical investigation involving the HUD.
The IRB or appropriate local committee is not required to review and approve each individual
use of a HUD, nor is it required to audit medical records of patients who receive a HUD. Rather,
the IRB or appropriate local committee may use its discretion to determine how to approve use
of a HUD, including consideration of professionals’ qualifications through training and expertise
to use the device. 105 For example, with the input of members with the appropriate expertise in the
clinical area, an IRB or appropriate local committee may specify limitations on the use of the
device based upon one or more measures of disease progression, prior use and failure of any
alternative treatment modalities, reporting requirements to the committee or committee
chairperson, appropriate follow-up precautions and evaluations, or other criteria the committee
determines to be appropriate.

1. Process and Considerations for Reviewing the
Use of HUDs in Clinical Care
For initial review of a HUD, the IRB or appropriate local committee should perform its review at
a convened meeting of the committee. 106 The IRB or appropriate local committee should have
policies and procedures in place for the receipt and evaluation of the materials necessary for
initial approval and continuing review of the HUD’s use at that facility. The policies and
procedures should also specify whether the committee requires a consent document for the use of
the HUD at that facility.
FDA recommends that the IRB or appropriate local committee follow the review criteria in 21
CFR 56.111 and elsewhere in part 56, where applicable. For example, the IRB or appropriate
local committee should review the risks to patients that are found in the HDE-approved product
labeling, ensure the risks are minimized, and evaluate whether the risks are reasonable in relation
to the proposed use of the device at the facility. FDA also recommends that the IRB or
appropriate local committee review the following materials, as applicable, during initial review
of a request to use a HUD:
•
•
•

A copy of the HDE approval order;
A description of the device;
The product labeling;

104

See section 520(m)(4)(A) of the FD&C Act and 21 CFR 814.124(a).
For many HDE-approved HUDs, the HDE holder is required to provide training on the use of the device prior to
the healthcare professional using the device. Such requirements would be specified in the HDE application approval
order. See 21 CFR 814.126(a) and 814.82(a).
106
See 21 CFR 56.108, which describes a convened meeting of an IRB for purposes of reviewing FDA-regulated
clinical investigations.
105

28

Contains Nonbinding Recommendations
•
•
•

The patient information packet that may accompany the HUD;
A sample consent form for the use of the HUD in clinical care, if required by the IRB or
appropriate local committee or by facility policy; and
A summary of how the physician proposes to use the device, including a description of
any screening procedures, the HUD procedure, and any patient follow-up visits, tests or
procedures.

A list of approved HDE applications may be found at https://www.fda.gov/medicaldevices/device-approvals-denials-and-clearances/hde-approvals. The approval order, labeling,
and patient information may be found by selecting the submission number of the appropriate
HDE application.
FDA does not require submission of a protocol to the IRB or appropriate local committee for
review when the committee is evaluating a request to use the HUD in the clinical care of patients
at a facility. However, the IRB, appropriate local committee, or institution may require one under
its own policies and procedures.
In addition, FDA does not require committees other than the IRB or appropriate local committee
to approve the use of a HUD. However, the institution may require additional review. For
example, the use of another committee to provide assessments of specific risks posed by the
technology or software compatibility may supplement the IRB or appropriate local committee
review.
If a physician wants to use a HUD outside its approved indication(s), FDA recommends that the
physician follow the IRB or appropriate local committee’s requirements for use of a HUD at that
facility, which may include separate approval requirements for use outside the approved
indication(s). The IRB or appropriate local committee may also require that the physician obtain
informed consent 107 from the patient and ensure that reasonable patient protection measures are
followed, such as devising schedules to monitor the patient, taking into consideration the
patient’s specific needs, and the limited information available about the risks and probable
benefits of the device. The extent of oversight in these circumstances is up to the IRB or
appropriate local committee. As discussed above, MDRs must be submitted to FDA and to the
“IRB of record” if the device may have caused or contributed to death or serious injury and for
certain malfunctions. If an appropriate local committee approved the use of the HUD at the
facility, FDA recommends that MDRs be submitted to that committee.

2. Continuing Review of the Use of HUDs in
Clinical Care
Under FDA’s current regulations, an IRB that reviews a request to use a HUD at a facility is
responsible for initial as well as continuing review of the HUD. 108 When an appropriate local
committee conducts such an initial review instead of an IRB, that appropriate local committee
107

As noted above, “informed consent” required by a facility in the context of clinical care does not refer to
informed consent subject to the requirements in FDA’s regulations at 21 CFR part 50.
108
21 CFR 814.124(a).
29

Contains Nonbinding Recommendations

should also conduct continuing review of the HUD. For continuing review, an IRB may use an
expedited review procedure in which a chairperson or one or more experienced reviewers carries
out the review, similar to the expedited review procedure described at 21 CFR 56.110(b). When
an IRB conducts the initial review, a facility may decide to utilize an appropriate local committee
to conduct continuing review of the use of the HUD in clinical care.
Appropriate local committees may develop their own policies and procedures for continuing
review of a HUD and should determine what type of review procedure is appropriate for each
HUD. An expedited procedure, such as that described under 21 CFR 56.110, may be appropriate
for continuing review because a HUD marketed under an HDE is a legally marketed device, and
its use in clinical care does not constitute “research.” An expedited review does not mean a lessthan-substantive review. The individual(s) conducting an expedited review for use of a HUD at a
facility should thoughtfully consider the risk and benefit information available and any MDRs.
In addition, FDA does not require that the IRB or appropriate local committee serve as a Data
Monitoring Committee. The IRB or appropriate local committee may, however, ask the HDE
holder for copies of the safety information submitted to FDA in the periodic reports required by
21 CFR 814.126(b)(1). In this way, information that could have a bearing on human safety
would be considered at the time of continuing review.
When an IRB or appropriate local committee is deciding whether to approve the use of a HUD
for clinical care of patients at a facility, it does not make a Significant Risk/Non-Significant Risk
(SR/NSR) determination. As noted above, use of a legally marketed HUD within its HDEapproved indication at a facility to treat or diagnose patients is not a clinical investigation of a
device under 21 CFR part 812.

F.

Review and Approval for Clinical Testing of HUDs

A clinical investigation of a HUD that requires submission of an IDE application to FDA or is
conducted under the abbreviated requirements for NSR devices at 21 CFR 812.2(b) must be
approved and supervised by an IRB. 109 Data may be collected in a clinical investigation for the
HDE-approved indication(s) without an IDE. An approved IDE permits a device to be shipped
lawfully for the purposes of conducting investigations of the device without complying with
certain other requirements of the FD&C Act that would apply to devices in commercial
distribution.110 As long as the HUD is being studied for the indication(s) in its approved labeling,
the HUD is not subject to IDE requirements because the HUD is a legally marketed device and
therefore can be lawfully shipped without an IDE. However, regardless of the applicability of the
IDE regulation at 21 CFR part 812, other FDA regulatory requirements may still apply, including

109
110

See 21 CFR 56.103, 812.2(b)(1)(ii), and 812.42.
See 21 CFR 812.1.

30

Contains Nonbinding Recommendations

requirements for IRB review and approval, financial disclosure, informed consent 111 and, if
applicable, additional safeguards for children. 112
If the IRB receives a request to review an investigation to determine safety or effectiveness of
the HUD for a different indication than the HDE-approved indication(s), then the IRB should be
aware that this type of clinical investigation is subject to the IDE regulations at 21 CFR part 812.
If the device is a SR device, the sponsor of the investigation must submit an IDE application to
FDA and obtain FDA approval of that application before starting the clinical investigation. 113 A
physician who wants to study a HUD may be the sponsor, investigator, or both for the study. In
sum, the investigational use of a HUD under these circumstances must be conducted in
accordance with 21 CFR parts 812, 50, 54, and 56. 114
Significant Risk/Non-Significant Risk Determinations
An IRB does not have to make a SR/NSR determination when it receives a request to review a
clinical investigation of a HUD (e.g., collection of safety and effectiveness data) when that
clinical investigation concerns the HDE-approved indication(s) only. As noted above, FDA does
not consider such investigations to require an IDE under 21 CFR part 812.
For an investigation of the HUD for indications other than the HDE-approved indication(s), the
IRB would need to make a SR/NSR determination if that determination has not already been
made by FDA. 115 In practice, most sponsors have submitted and obtained FDA approval of an
IDE application before submitting such investigations of HUDs to IRBs for review, so IRBs
have not needed to make the SR/NSR determination (i.e., FDA had already determined the
device was a SR device). However, in the event that a sponsor seeks IRB approval for
investigational use of a HUD for an indication other than its approved indication(s) without first
obtaining a determination from FDA regarding whether the study is a SR or NSR study, then the
IRB should make the SR/NSR determination as required in 21 CFR 812.66.

G. Emergency Use of HUDs
If a physician in an emergency situation determines that IRB or appropriate local committee
approval for the use of the HUD at the facility cannot be obtained in time to prevent serious harm
or death to a patient, a HUD may be used without prior approval. In this situation, the HDE

111

Specific requirements for obtaining informed consent from human subjects apply to FDA-regulated clinical
investigations. See 21 CFR part 50, subpart B. Note that, in some cases, facilities may have specific requirements for
obtaining informed consent for the use of the HDE-approved HUD in the routine clinical care of patients, but these
would not be FDA regulatory requirements.
112
See 21 CFR part 56 for IRB requirements; see 21 CFR part 54 for requirements for financial disclosure by
clinical investigators; and see 21 CFR part 50 for requirements for the protection of human subjects, including
additional safeguards for children.
113
21 CFR 812.20(a).
114
Note that 45 CFR part 46 may be applicable to research involving HUDs under certain circumstances. The
applicability of those regulations is outside the scope of this guidance.
115
See 21 CFR 812.66.

31

Contains Nonbinding Recommendations

holder may ship the HUD, based on the physician’s certification of the emergent need and
representation that the physician will follow the requirements regarding reporting such use to the
chairperson of the IRB or appropriate local committee. The physician must provide notification
of the use to the chairperson of the IRB or appropriate local committee, and the notification must
include the identification of the patient involved, the date of the use, and the reason for the
use. 116 FDA regulations require that physicians provide such notification to the chairperson of an
IRB in writing within 5 days of the emergency use of the device. 117 For facilities at which an
appropriate local committee reviews the use of HUDs instead of an IRB, FDA recommends that
physicians provide the same required notification of the emergency use to the committee in
writing and within 5 days.
FDA further recommends that the physician submit a follow-up report on the patient’s condition
to the HDE holder. The HDE holder is required under 21 CFR 814.126(b) to submit periodic
reports, including the applicant’s clinical experience with the device and the number of devices
shipped or sold in the US.

IX. Paperwork Reduction Act of 1995
This guidance contains information collection provisions that are subject to review by the Office of
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 (44 U.S.C. 35013520).
The time required to complete this information collection is estimated to average 100 hours per
response, including the time to review instructions, search existing data sources, gather the data
needed, and complete and review the information collection. Send comments regarding this burden
estimate or suggestions for reducing this burden to:
FDA PRA Staff
Office of Operations
Food and Drug Administration
[email protected]
An agency may not conduct or sponsor, and a person is not required to respond to, a collection
of information unless it displays a currently valid OMB control number. The OMB control
number for this information collection is 0910-0332 (To find the current expiration date, search
for this OMB control number available at
https://www.reginfo.gov).

116
117

See section 520(m)(4) of the FD&C Act.
21 CFR 814.124(a).
32

Contains Nonbinding Recommendations

Appendix A – Checklist for Filing Review for HDEs
(should be completed within 30 days of DCC receipt)

HDE Number: _____________________________
Date Received: ___________
HUD Number (from OOPD): _________________
Device: _______________________________________________
Procode: ___________
Company Name/ Address: _______________________________________________________
Contact Name/Phone Numbers: ___________________________________________________
FDA Staff Member Name: _______________________________________________________
Decision: FDA Staff Recommendation: File ___

Not File ___

Within 15 calendar days of receipt of the HDE application, FDA staff should answer the preliminary questions
below, which are used as an initial screening of the HDE application. Depending upon the answers to these
preliminary questions, the remainder of the filing review may or may not be necessary. If the responses to the
preliminary questions and subsequent consultation with FDA staff identified below indicate that the HDE filing
review should not continue, the FDA staff member or the CBER regulatory project manager (RPM) should promptly
inform the FDA team (including consulting reviewers and management) and notify the requester using proper
administrative procedures.

Preliminary Questions
Answers in the shaded blocks indicate consultation with an identified Center advisor is needed.
1.

Yes

No

Is the product a device [per 201(h) of the FD&C Act] or a combination product (per 21 CFR 3.2(e))
with a device constituent part? If it appears not to be a device (per 201(h) of the FD&C Act) or such a
combination product (per 21 CFR 3.2(e)), or you are unsure, consult with the CDRH Product
Jurisdiction Officer or CBER Product Jurisdiction Officer to determine the appropriate action and
inform management. Provide summary of Product Jurisdiction Officer’s
determination/recommendation/action in the comments section below.
If the product does not appear to be a device or a combination product with a device constituent part,
mark “No.”

NOTE: If the product is a combination product with a device constituent part, it may not be appropriate for
review under an HDE. If the product is a combination product, consult with the CDRH Product
Jurisdiction Officer ([email protected]) or CBER Product Jurisdiction Officer and
inform management.
Comments:
2.

Is there a copy of, or reference to the determination made by the Office of Orphan Product
Development that the device qualifies as a HUD? [814.104(b)(1)]
If there is no copy of, or reference to the HUD determination, mark “No.”

33

Contains Nonbinding Recommendations

3.

If a Request for Designation (RFD) was submitted for the device and assigned to your center, identify
the RFD # and confirm the following:
• Is the device the same (e.g., design, formulation) as that presented in the RFD submission?
• Are the indications for use for the device identified in the HDE the same as those identified in
the RFD submission?
If you believe the product or the indications presented in the HDE have changed from the RFD, or you
are unsure, consult with the CDRH Product Jurisdiction Officer
([email protected]) or CBER Product Jurisdiction Officer to determine the
appropriate action and inform management. Provide summary of Product Jurisdiction Officer’s
determination/recommendation/action in the comments section below.
If the answer to either question above is no, mark “No.”

Comments:
4.

Is the device eligible for HDE ?

NOTE: If the device does not appear to be eligible for review through the HDE program because there is a
comparable device available (e.g., a predicate device exists, a De Novo request has been granted for a
similar device, or an approved PMA exists for a similar device), you should consult with management
and the appropriate CDRH or CBER staff during the filing review to determine the appropriate action.
If you believe an application is for a device that is eligible for review through the HDE program and an
exemption from the effectiveness provisions, you should (1) complete the 510(k) decision tree to
document why the device would be found NSE (attach copy) and (2) obtain concurrence from the
appropriate CDRH or CBER staff prior to the filing the original HDE.
Comments:
5.

Is the applicant the subject of an Application Integrity Policy (AIP)? If “Yes”, consult with the CDRH
Office of Product Evaluation and Quality/Office of Clinical Evidence/Division of Clinical Evidence &
Analysis 1 (CDRH/OPEQ/OCEA/DCEA1) or CBER Office of Compliance and Biologics
Quality/Division of Inspections and Surveillance/Bioresearch Monitoring Branch
(CBER/OCBQ/DIS/BMB), to determine the appropriate action and provide a summary of the
discussion/recommendation/action in the comments section below. Check on web at
https://www.fda.gov/inspections-compliance-enforcement-and-criminal-investigations/applicationintegrity-policy/application-integrity-policy-list

Comments:

Inventory of Organizational and Administrative Elements
(Requirements per 21 CFR 814.112 unless otherwise indicated)
Check “Yes” if item is present, “N/A” if it is not needed and “Not Present” if it is not included but needed.
•
•

A.

A “Not Present” answer may result in a “Refuse to File” decision.
Each element on the checklist should be addressed within the application. An applicant
may provide a rationale for omission for any criteria that are deemed not applicable. If
a rationale is provided, the criteria is considered Present (“Yes”). An assessment of the
rationale will be considered during the review of the application.

Present
Yes

N/A

Not
Present
(No)

HDE Content
1.

Are all required sections in English or accompanied with an English translation? ‡

2.

Is there a table of contents? [814.104(b)(4) and 814.20(b)(2)]

‡

Inclusion of information in an HDE application that is not in English and is not accompanied by an English translation is not an
independent basis for a “Refuse to File” decision; however, we recommend providing the sections of your HDE application in
English (or accompanied with an English translation) in order to avoid significant delay of review of your submission.

34

Contains Nonbinding Recommendations

Inventory of Organizational and Administrative Elements
(Requirements per 21 CFR 814.112 unless otherwise indicated)
Check “Yes” if item is present, “N/A” if it is not needed and “Not Present” if it is not included but needed.
•
•

3.

4.

A “Not Present” answer may result in a “Refuse to File” decision.
Each element on the checklist should be addressed within the application. An applicant
may provide a rationale for omission for any criteria that are deemed not applicable. If
a rationale is provided, the criteria is considered Present (“Yes”). An assessment of the
rationale will be considered during the review of the application.

Present
Yes

N/A

Not
Present
(No)

HDE / HUD Information
a.

Is there an explanation of why the device would not be available unless an HDE
was granted? [814.104(b)(2)]

b.

Is there a statement that no other comparable device, other than another approved
HUD under an HDE or a device under an approved IDE, is available to treat or
diagnose the disease or condition? [814.104(b)(2)]

c.

Is there a discussion of the risks and benefits of currently available devices or
alternative forms of treatment? [814.104(b)(2)]

d.

Is there an explanation of why the probable benefit to health from the use of the
device outweighs the risk of injury or illness from its use, taking into account the
probable risks and benefits of currently available devices or alternative forms of
treatment? [814.104(b)(3)]

e.

Has the amount to be charged for the device been provided, and if greater than
$250.00, is a report or attestation provided verifying that the amount charged does
not exceed the costs of the device’s research, development, fabrication, and
distribution? [814.104(b)(5)]

Is a bibliography provided? [814.104(b)(4) and 814.20(b)(8)(i)]
a.

Have copies of key articles been provided and are English translations included, if
appropriate? ‡
Check “N/A” if applicant includes a statement that upon searching they found no
literature related to their device

5.

If a device sample has been requested by FDA, has it been provided or if impractical to
submit, has the applicant offered alternatives to allow FDA staff to view or access the
device? [814.104(b)(4) and 814.20(b)(9)]

6.

Is there a summary of the contents of the HDE? [814.104(b)(4) and 814.20(b)(3)]

7.

Device Characteristics
a.

Is a description of the device included? [814.104(b)(4) and 814.20(b)(4)]
i.

Pictorial representations? [814.104(b)(4) and 814.20(b)(4)(i)]

ii.

Materials specifications? [814.104(b)(4) and 814.20(b)(4)(ii)]
•

b.

If there is a color additive present:
• has the color additive been identified by common name and
chemical name, and
• has the amount of each color additive in the formulation by
weight percent of the colored component and total amount (e.g.,
ppm, µg) in the device been provided?

Is a description of the principles of operation of the device (including
components) and properties relevant to clinical function present? [814.104(b)(4)
and 814.20(b)(4)(iii)-(iv)]

‡ While submission of key articles that are not in English and are not accompanied by an English translation is not an independent
basis for a “Refuse to File” decision, we recommend that copies of submitted articles are provided in English (or accompanied with
an English translation) in order to avoid significant delay of review of your submission.

35

Contains Nonbinding Recommendations

Inventory of Organizational and Administrative Elements
(Requirements per 21 CFR 814.112 unless otherwise indicated)
Check “Yes” if item is present, “N/A” if it is not needed and “Not Present” if it is not included but needed.
•
•

8.

A “Not Present” answer may result in a “Refuse to File” decision.
Each element on the checklist should be addressed within the application. An applicant
may provide a rationale for omission for any criteria that are deemed not applicable. If
a rationale is provided, the criteria is considered Present (“Yes”). An assessment of the
rationale will be considered during the review of the application.

Yes

N/A

Not
Present
(No)

Is the Device Manufacturing Section included? [814.104(b)(4) and 814.20(b)(4)(v)] (See
the guidance entitled, “Quality System Information for Certain Premarket Application
Reviews,” available at https://www.fda.gov/regulatory-information/search-fda-guidancedocuments/quality-system-information-certain-premarket-application-reviews)
a.

9.

Present

Has a description of the methods, facilities, and controls used in the manufacture,
processing, packing, storage, and, where appropriate, installation of the device
been provided?

The application includes a summary and full study report* for each nonclinical study
provided? [814.104(b)(4) and 814.20(b)(6)(i)]
Note: the applicant can reference data located in other applications. Check “Yes” if
nonclinical data is not provided in the current application but found in another
application. State where the data were provided (e.g., modular application, master file).
*Full study report includes objective of the test, description of test methods and
procedures, study endpoint(s), pre-defined pass/fail criteria, results summary, and
discussion of conclusions. In the event that an applicant is appropriately declaring
conformity with a voluntary consensus standard that FDA has recognized pursuant to
section 514(c) of the FD&C Act to meet applicable requirements, it may not be
necessary to submit full test reports with respect to those requirements. Refer to 13(a).
See FDA’s guidance “Appropriate Use of Voluntary Consensus Standards in
Premarket Submissions for Medical Devices,” available at
https://www.fda.gov/regulatory-information/search-fda-guidancedocuments/appropriate-use-voluntary-consensus-standards-premarket-submissionsmedical-devices.

10.

a.

Sterilization

b.

Biological/Microbiological

c.

Immunological

d.

Toxicological/Biocompatibility

e.

Engineering (stress, wear, etc.)

f.

Chemistry/Analytical (typically for IVDs)

g.

Shelf Life

h.

Animal Studies

i.

Other Essential Laboratory Testing

Is a summary of clinical experience and investigation(s) and results provided?
[814.104(b)(4)(i)]

36

Contains Nonbinding Recommendations

Inventory of Organizational and Administrative Elements
(Requirements per 21 CFR 814.112 unless otherwise indicated)
Check “Yes” if item is present, “N/A” if it is not needed and “Not Present” if it is not included but needed.
•
•

A “Not Present” answer may result in a “Refuse to File” decision.
Each element on the checklist should be addressed within the application. An applicant
may provide a rationale for omission for any criteria that are deemed not applicable. If
a rationale is provided, the criteria is considered Present (“Yes”). An assessment of the
rationale will be considered during the review of the application.
a.

Are the final versions of the clinical protocols included? (If performed under IDE,
these should be the final FDA-approved versions of the clinical protocols,
incorporating any Notices of Changes.)

b.

Is a description of study population demographics provided?

c.

Is a description of adverse events (e.g., adverse reactions, complaints,
discontinuations, failures, replacements) provided?

d.

Have report forms for patients who died or who did not complete the investigation
been provided (i.e., to resolve potential bias)?

Present
Yes

N/A

Not
Present
(No)

Check “N/A” only if no patients died or were discontinued.
11.

Are statistical analyses of the clinical investigations provided, if appropriate?
[814.104(b)(4)(i)]
a.

12.

Are the results of all analyses identified in the protocol provided?

Has appropriate draft labeling been submitted? [814.104(b)(4) and 814.20(b)(10)]
a.

b.

Physician Labeling
i.

Are indications for use included?

ii.

Are contraindications, warnings, and precautions included?

iii.

Are instructions for use included?

iv.

Does the labeling include the statement: “Humanitarian Device. Authorized
by Federal law for use in the [treatment or diagnosis] of [specify disease or
condition]. The effectiveness of this device for this use has not been
demonstrated” [814.104(b)(4)(ii)]

Patient Labeling Check
Check “N/A” only if the relevant lead Center has previously indicated that patient
labeling is not necessary.

c.
13.

Technical/Operators Manual, if applicable

Statements/Certifications/Declarations of Conformity
a.

Does the application utilize voluntary consensus standard(s) (See section 514(c) of
the FD&C Act). This includes both FDA-recognized and non-recognized
consensus standards. Select “N/A” if the submission does not utilize voluntary
consensus standards.
i.

If the application cites FDA-recognized voluntary consensus standard(s),
does the application include:
a Declaration of Conformity (DOC) as outlined in FDA’s guidance
“Appropriate Use of Voluntary Consensus Standards in Premarket
Submissions for Medical Devices,” available at
37

Contains Nonbinding Recommendations

Inventory of Organizational and Administrative Elements
(Requirements per 21 CFR 814.112 unless otherwise indicated)
Check “Yes” if item is present, “N/A” if it is not needed and “Not Present” if it is not included but needed.
•
•

A “Not Present” answer may result in a “Refuse to File” decision.
Each element on the checklist should be addressed within the application. An applicant
may provide a rationale for omission for any criteria that are deemed not applicable. If
a rationale is provided, the criteria is considered Present (“Yes”). An assessment of the
rationale will be considered during the review of the application.

Present
Yes

N/A

Not
Present
(No)

https://www.fda.gov/regulatory-information/search-fda-guidancedocuments/appropriate-use-voluntary-consensus-standards-premarketsubmissions-medical-devices
OR
if citing general use of a standard, an explanation of any deviation from the
standard? ‡ [814.104(b)(4) and 814.20(b)(5)]
ii.

b.

If the application cites non-FDA-recognized voluntary consensus
standard(s), does the application explain any deviation from the standard?
[814.104(b)(4) and 814.20(b)(5)]

Investigator Financial Disclosure
For additional information refer to the guidance document “Financial Disclosure
by Clinical Investigators”, available at
https://www.fda.gov/regulatory-information/search-fda-guidancedocuments/financial-disclosure-clinical-investigators.
As required by 21 CFR Part 54, has the applicant submitted for each clinical
investigator either:
1. A signed and dated Certification Form (3454) or
2. A signed and dated Disclosure Form (3455)
Note: the signature should be from a responsible corporate official or
representative of the applicant.

c.

i.

For a Certification Form (3454): Is the required list of all investigators and
subinvestigators attached to the Form?

ii.

If box 3 of Form 3454 is checked, does the Form include an attachment
with the reason(s) why financial disclosure information could not be
obtained?

iii.

For a Disclosure Form (3455): Does the application provide details of the
financial arrangements and interests of the investigator(s) or
subinvestigator(s), along with a description of any steps taken to minimize
potential bias?

Environmental Assessment under 21 CFR 25.20(n) [814.104(b)(4) and
814.20(b)(11)]
i.

If claiming a categorical exclusion, information to justify the exclusion, OR

ii.

An environmental assessment (ONLY required for devices that present new
environmental concerns)

‡

If citing general use of a FDA-recognized standard or citing a non-FDA recognized voluntary consensus standard, we recommend that the basis of
such use, along with the underlying information or data that supports how the standard was used, be included in the application.

38

Contains Nonbinding Recommendations

Inventory of Organizational and Administrative Elements
(Requirements per 21 CFR 814.112 unless otherwise indicated)
Check “Yes” if item is present, “N/A” if it is not needed and “Not Present” if it is not included but needed.
•
•

A “Not Present” answer may result in a “Refuse to File” decision.
Each element on the checklist should be addressed within the application. An applicant
may provide a rationale for omission for any criteria that are deemed not applicable. If
a rationale is provided, the criteria is considered Present (“Yes”). An assessment of the
rationale will be considered during the review of the application.
d.

Present
Yes

N/A

Not
Present
(No)

Did the application include a completed FORM FDA 3674, Certification with
Requirements of ClinicalTrials.gov Data Bank? (42 U.S.C. 282(j)(5)(B) and 42
CFR part 11)
Note: Enter the NCT number(s) in the Center Tracking System (CTS)
Data from FORM FDA 3674 (mark “Yes” for the applicable one):

f.

i.

No clinical trials referenced in application.

ii.

Requirements are not applicable to referenced clinical trials.

iii.

Requirements are applicable and have been met.

Statements of Compliance for Clinical Investigations [814.104(b)(4) and
814.20(b)(6)(ii)(A)-(C)]
Select “N/A” if the application does not contain any clinical data from
investigations (as defined in 21 CFR 812.3(h)).
For multicenter clinical investigations involving both United States (US) and
outside the United States (OUS) sites, part (i) should be addressed for the US sites
and part (ii) should be addressed for the OUS sites. 21 CFR 812.28 applies to all
OUS clinical investigations that enroll the first subject on or after February 21,
2019.
Please refer to the guidance document entitled “Acceptance of Clinical Data to
Support Medical Device Applications and Submissions - Frequently Asked
Questions,” available at https://www.fda.gov/regulatory-information/search-fdaguidance-documents/acceptance-clinical-data-support-medical-deviceapplications-and-submissions-frequently-asked, for more information.
i.

For all clinical investigations conducted in the US, the application includes one of
the following for each investigation (check all that apply):

☐ A statement of compliance with 21 CFR parts 50, 56, and 812.
☐ A brief statement of the reason for noncompliance with 21 CFR parts 50, 56,
and 812.
Select “N/A” if the clinical investigations were conducted solely OUS.
ii.

For all clinical investigations conducted OUS, the application includes one of the
following for each investigation (check all that apply):

☐ A statement that the clinical investigations were conducted in accordance with
good clinical practice (GCP) as described in 21 CFR 812.28(a)(1).

39

Contains Nonbinding Recommendations

Inventory of Organizational and Administrative Elements
(Requirements per 21 CFR 814.112 unless otherwise indicated)
Check “Yes” if item is present, “N/A” if it is not needed and “Not Present” if it is not included but needed.
•
•

A “Not Present” answer may result in a “Refuse to File” decision.
Each element on the checklist should be addressed within the application. An applicant
may provide a rationale for omission for any criteria that are deemed not applicable. If
a rationale is provided, the criteria is considered Present (“Yes”). An assessment of the
rationale will be considered during the review of the application.

Present
Yes

N/A

Not
Present
(No)

☐ A brief statement of the reason for not conducting the investigation in
accordance with GCP and a description of steps taken to ensure that the data and
results are credible and accurate and that the rights, safety, and well-being of
subjects have been adequately protected.
☐ A waiver request in accordance with 21 CFR 812.28(c).
Select “N/A” if the clinical investigations were conducted solely inside the US.
14.

B.

Pediatric Use - Per 515A(a)(2) of the FD&C Act, did the application include, if readily
available: [814.104(b)(6) and 814.20(b)(13)]
a.

A description of any pediatric subpopulations that suffer from the disease or
condition that the device is intended to treat, diagnose, or cure, or statement that
no pediatric subpopulation exists for the disease or condition for which the device
is intended. This statement does not mean the device is indicated for treating
pediatric patients. For additional information refer to the guidance document
“Providing Information about Pediatric Uses of Medical Devices - Guidance for
Industry and Food and Drug Administration Staff”, available at
https://www.fda.gov/regulatory-information/search-fda-guidancedocuments/providing-information-about-pediatric-uses-medical-devices.

b.

The number of affected pediatric patients.

Issues Identified by FDA Prior to receipt of the HDE Application - history of the applicant with
this device [814.104(b)(4) and 814.20(b)(8)(ii)-(iii)]
1.

Does the applicant list prior applications or state that there were no prior applications?
(may be located in CDRH Coversheet Form FDA 3514, Section F)
If the applicant lists prior applications, address the applicable questions below:
a.

510(k) #______________________________________
i.

b.

IDE #_________________________________________
i.

c.

If this device has been the subject of an NSE decision, does the HDE
application take into account any concerns related to safety or probable
benefit that were previously communicated during the review of the prior
510(k) or through 510(k) correspondence?

Have the data presented in the HDE taken into account any safety or
probable benefit concerns (e.g., “future considerations”) previously
communicated during the review of prior IDE(s) or through IDE
correspondence?

PMA #________________________________________

40

Contains Nonbinding Recommendations

Inventory of Organizational and Administrative Elements
(Requirements per 21 CFR 814.112 unless otherwise indicated)
Check “Yes” if item is present, “N/A” if it is not needed and “Not Present” if it is not included but needed.
•
•

A “Not Present” answer may result in a “Refuse to File” decision.
Each element on the checklist should be addressed within the application. An applicant
may provide a rationale for omission for any criteria that are deemed not applicable. If
a rationale is provided, the criteria is considered Present (“Yes”). An assessment of the
rationale will be considered during the review of the application.
i.

d.

Yes

N/A

Not
Present
(No)

If a previously submitted PMA for this device has been withdrawn or
denied, does the current HDE application take into account any issues
related to safety or probable benefit raised during review of the prior
PMA(s) or through PMA correspondence?

HDE #________________________________________
i.

e.

Present

If a previously submitted HDE application for this device has been
withdrawn or denied, does the current HDE application take into account
any issues related to safety or probable benefit raised during review of
the prior HDE application or through HDE correspondence?

Modular HDE #________________________________
i.

If “Yes”, how many modules submitted? ____________
How many modules were closed? _______________

ii.
2.

If there are modules that are on hold, does the HDE address outstanding
deficiencies?

Does the applicant list Q-Submission(s) regarding the device or this application in which
FDA feedback regarding data or information related to safety and/or probable benefit in the
HDE was provided electronically or during a meeting (in person or by phone), or state that
there were no prior Q-Submission interactions with the FDA regarding this application?
If the applicant lists Q-Submissions, address the applicable questions below:
a.

Q-Submission #____________________
Meeting date(s), if applicable_____________________________

b.

Copy of minutes from each meeting or other written feedback?

c.

Were all FDA concerns or action items previously presented to the applicant in
the Q-Submission minutes or feedback addressed in the HDE or has the applicant
provided a detailed scientific or clinical justification for an alternative approach?

Filing Decision Questions
A “No” answer will typically result in a Not-Filed decision.
Yes
Decision 1

Is the HDE complete?
If, on its face, the HDE is missing one or more required elements (identified above), such that
the application is not sufficiently complete to permit substantive review, answer “No.”

41

No

Contains Nonbinding Recommendations

Filing Decision Questions
A “No” answer will typically result in a Not-Filed decision.
Yes
Decision 2

From only an administrative review, does the HDE include information that appears to
constitute valid scientific evidence? ‡
Only answer “No” if it is clear that the HDE is supported solely by information that 21 CFR
860.7 identifies as not constituting valid scientific evidence:
• isolated case reports
• random experience
• reports lacking sufficient details to permit scientific evaluation
• unsubstantiated opinions
Comments:

Decision 3

Does the HDE address the key nonclinical and clinical issues identified by FDA prior to
submission of the HDE application?
OR
Has the applicant provided a detailed scientific or clinical justification for the alternate
approach?
Section B of the checklist outlines questions intended to identify when the FDA has
previously provided specific feedback to the applicant relevant to an evaluation of the risks
and probable benefits of the device through one or more mechanisms, such as a prior HDE or
PMA application, a prior “Not Substantially Equivalent” decision on a 510(k), Investigational
Device Exemption (IDE) letters, feedback through the Q-submission Program, a
Determination or Agreement meeting(s), or other substantive communication with FDA. If
such information has been communicated to the applicant through one or more of these
mechanisms, and the HDE application addresses each of the key nonclinical and clinical
issues identified by FDA, the answer to the above question is “Yes.” Furthermore, if some of
these key issues previously identified by FDA are not addressed, but the HDE application
contains a scientific or clinical justification for the omission or an alternative approach, the
answer to the above question is “Yes.” These cases do not preclude the responsible review
Division from accepting the HDE application.
In this context, the term “key issues” is meant to refer to issues that are central to FDA’s
review of the device’s risks and probable benefit under sections 515 and 520(m) of the FD&C
Act. Examples of key issues include: need for long-term nonclinical studies (e.g.,
biocompatibility, carcinogenicity, or other animal studies), and certain clinical study
parameters (e.g., sample size, patient population, study design, and endpoints). These key
issues are typically device-specific. As a result, the decision of FDA to “Refuse to File” an
HDE application based on this criterion can only be made after carefully considering the
following questions:
Are the types of necessary nonclinical and clinical studies well-known in the scientific and
medical communities for the particular device?
For an “established” device type, the types of nonclinical and clinical studies that we would
expect in a PMA are likely to be well-known both within FDA and in the scientific and
medical communities and, as such, are often included as part of an FDA guidance document
and/or consensus standard. You should bear in mind that, for HDEs, the device may not be of
an established device type.

‡ For example, this information could be in the form of results of nonclinical laboratory studies with the device or results of clinical
experience or investigations that are relevant to an assessment of the risks and probable benefits of the device.

42

No

Contains Nonbinding Recommendations

Filing Decision Questions
A “No” answer will typically result in a Not-Filed decision.
Yes
Were the issues conveyed to the applicant as part of a documented regulatory process?
Examples of a documented regulatory process include:
•
•
•
•
•

interaction through the Q-submission process,
prior PMA or HDE application,
prior “Not Substantially Equivalent” decision on a 510(k),
IDE letters, or
letter(s) issued as a result of Determination or Agreement meetings.

Were the issues conveyed to the applicant related to insufficient effectiveness data?
Devices approved under an HDE application are exempt from the requirement to demonstrate
a reasonable assurance of effectiveness. If an issue that is not addressed in the current HDE
application relates to insufficient effectiveness data, filing the HDE may be appropriate in
cases for which accepting a PMA would not.
FDA staff should only designate an HDE “Refuse to File” based on a “No” response to “Acceptance
Decision 3” in instances where the key issues were identified by FDA staff as part of a documented
regulatory process.

Digital Signature Concurrence Table
Reviewer Sign-Off

Team Lead/Assistant Director
Sign-Off

Division Sign-Off

Office Sign-Off
(for NOFI only)

43

No

Contains Nonbinding Recommendations

Appendix B – Considerations for the Probable Benefit-Risk
Assessment
As discussed in Section VI of this guidance, FDA considers the same factors described in FDA’s
benefit-risk framework for evaluating PMAs or De Novo requests when assessing probable
benefits and risks for HDE applications. Refer to the FDA guidance document, “Factors to
Consider when Making Benefit-Risk Determinations in Medical Device Premarket Approval and
De Novo Classifications”, 1 for a description of those factors. It should be clearly noted,
however, that probable benefit and probable benefit-risk determinations under an HDE are
different from those under a PMA or a De Novo request. Please refer to Sections V and VI of the
guidance for further discussion related to these differences and the probable benefit-risk
assessment. The tools identified in Appendices B and C are meant to serve complementary roles,
and both should be completed as part of the probable benefit-risk assessment.
Instructions for FDA Staff: You should make your recommendation regarding the probable
benefit-risk assessment based on the totality of the evidence. The probable benefit-risk
assessment is part of the decision whether to approve the application, but it does not include an
assessment of all applicable requirements for approval. An indication from these tools that the
probable benefits outweigh the probable risks does not mean that the application satisfies other
applicable requirements for an HDE application.
The following questions are intended as a sequential method to help weigh various factors as part
of the probable benefit-risk assessment. As such, the questions are intended to help identify and
explain which factors and considerations are critical in making a probable benefit-risk
assessment for a particular device. However, the questions are not intended to suggest that
considerations other than those listed in the completed worksheet are irrelevant. This checklist
should be used when non-clinical and/or clinical evidence has been submitted in the form of
valid scientific evidence.
Consider questions 1-8 for the proposed Indications for Use, until you reach a recommendation
either that the probable benefits outweigh the probable risks or to move to question 9, which
prompts you to consider a narrowed Indications for Use. When considering an acceptable,
narrowed Indications for Use, interact with the applicant to reach agreement on a narrowed
Indications for Use. However, as reflected under question 1, if the evidence does not support a
finding of probable benefit under the proposed Indications for Use (or narrowed Indications for
Use), or evidence does not support a finding of probable benefit for the proposed Indications for
Use and agreement on narrowed Indications for Use is not achievable or applicable, the
application would not be approvable.

1

https://www.fda.gov/regulatory-information/search-fda-guidance-documents/factors-consider-when-makingbenefit-risk-determinations-medical-device-premarket-approval-and-de
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Contains Nonbinding Recommendations

Assessment of Probable Benefit
1. Is there any evidence of clinical benefit?
Note that in lieu of summaries, conclusions, and results of clinical investigations required under 21
CFR 814.20(b)(3)(v)(B), (b)(3)(vi), and (b)(6)(ii), HDE applicants are required to submit summaries,
conclusions, and results of all clinical experience or investigations (whether adverse or
supportive) reasonably obtainable by the applicant that are relevant to an assessment of the risks
and probable benefits of the device (see 21 CFR 814.104(b)(4)(i)).

Is a probable clinical benefit demonstrated for the device for this indication (e.g., from
any one or more of the primary and/or secondary datasets or from associated real-world
evidence)? Probable benefit may be considered in terms of how a patient feels, functions,
survives, or an acceptable surrogate outcome. This information may be collected using
validated tools such as quality of life questionnaires, if appropriate. Probable benefit may
also be considered in terms of convenience in managing or diagnosing a disease or
condition. Probable benefit should be considered based on the assessment of the data.
Select any of the following that demonstrate probable benefit, and then answer the
question in the box below.
☐ A favorable change in at least 1 clinical assessment that is equal to or greater than seen in the
control group
☐ A favorable change in at least 1 clinical assessment that meets a predetermined performance
goal
☐ A favorable change in at least 1 clinical assessment that meets or surpasses a minimally
important clinical difference
☐ A favorable change in at least 1 clinical assessment that is equal to or greater than changes
seen with other available modalities for the disease or condition
☐ A favorable change that would be meaningful to patients considering the severity, chronicity,
etc., of the condition, taking into consideration patient-reported outcomes (PRO) and healthrelated quality of life
☐ A favorable change in non-clinical data or modeling that is deemed to be predictive of
clinical outcomes
☐ A favorable clinical performance characteristic (e.g., sensitivity/PPA1 2, specificity/NPA2 3,
etc.) for screening, diagnosis, prognosis, monitoring, or treatment selection
☐ Acceptable performance characteristics for analytical validation of the device
☐ Other(s)
☐ None
Question 1: Is there any evidence of probable clinical benefit?
☐ YES  Continue to Question 2
☐ NO  Move to Question 9

2
3

PPA: Positive Percent Agreement
NPA: Negative Percent Agreement
45

Contains Nonbinding Recommendations
2. 2What is the extent of uncertainty for the probable benefits?
Recognizing that some extent of uncertainty always exists, select the sources of uncertainty, if
applicable, in the data that affect your assessment of the clinical benefit. Consider sources of
uncertainty related to clinical and/or analytical performance characteristics (e.g., sensitivity,
specificity, accuracy, precision, reproducibility, as applicable). Select any of the following that
demonstrate sources of uncertainty for the probable benefits, and then answer the question in the
box below.
☐ Inconsistent or conflicting results between studies
☐ Wide confidence intervals surrounding the point estimate(s) and/or odds ratio(s)
☐ High subject or specimen loss-to-follow-up at critical assessment point(s)
☐ Large amount of missing data at critical assessment time(s) +/- imputation
☐ Significant number of major protocol deviations
☐ Impact of confounding interventions or physiological factors
☐ Inconsistent user experience or user experience not representative of likely real-world user
☐ Unclear correlation between non-clinical data, pre-selected enriched data, or computer
modeling and clinical performance
☐ Surrogate endpoint has not been demonstrated to correlate with a clinical outcome
☐ Real-World Evidence (RWE) is not relevant or reliable for the purposes of the proposed
analysis
☐ Inspectional findings
☐ Study design or results lead to lack of generalizability for the intended use population or
specific clinical subpopulations
☐ Physiological or clinically meaningful range of the diagnostic output is unknown, or
generalizability of proposed clinical cut-off is unknown
☐ Imperfect comparator method used to calculate performance characteristics
☐ Other(s)
☐ None
Question 2: What is the extent of uncertainty for the
probable benefits?
☐ Low  Continue to Question 3; consider suggesting a
different kind of marketing application.
☐ Med  Continue to Question 3
☐ High  Continue to Question 3

Summary of the Assessment of Probable Benefit
For the Proposed Indications for Use:
Considering responses to Questions 1 and 2, summarize the Assessment of Probable Benefit for the
proposed Indications for Use. Include a description of your assessment of the extent of probable benefit,
considering the type, magnitude, and probability of benefit(s); and the duration of effects. Include a
description of the impact of uncertainty on your Assessment of Probable Benefit. If no benefit is
identified, briefly explain why.

46

Contains Nonbinding Recommendations

Assessment of Risk
3. Are known/probable risks more than minimal?
Select any of the following elements that demonstrate sources of known/probable risks that are
more than minimal, and then answer the question in the box below.
☐
☐
☐
☐
☐
☐
☐
☐
☐

Adverse events (AEs) or outcomes related to the device itself
AEs or outcomes related to the use of the device or procedure to use the device
AEs or outcomes related to anesthesia or sedation to use the device
AEs or outcomes due to subsequent tests/treatments needed (e.g., radiation from CT scans)
AEs or outcomes, not seen in the study/data, but probable based on “class effect” or events
known to occur with similar technologies
False positive/false negative/failed to provide a result for diagnostics
Treatment or diagnostic intended to be used as a standalone rather than an adjunctive use
Other(s)
None

Question 3: Are known/probable risks more than
minimal?
☐ YES  Continue to Question 4
☐ NO  Continue to Question 4
4. What is the extent of uncertainty for the probable risks?
Recognizing that some extent of uncertainty always exists, select the sources of uncertainty, if
applicable, in the data regarding the adverse events/outcomes or risks. Select any of the following
that demonstrate sources of uncertainty for the probable risks, and then answer the question in
the box below.
☐ Insufficient patient numbers to detect serious events or false positives/false negatives
☐ Insufficient duration of follow-up to detect delayed/late events
☐ Lack of data on repeated exposure to the device/use
☐ Inconsistent or conflicting results between studies
☐ Proper evaluations not performed as part of the study protocol to adequately detect certain AEs
☐ Poor or inconsistent adverse event definitions and documentation
☐ Events likely confounded by, and attributed to, other comorbidities or treatment modalities
☐ High subject loss-to-follow-up at critical assessment point(s)
☐ Large amount of missing data at critical assessment time(s) +/- imputation
☐ Significant number of major protocol deviations
☐ Inconsistent user experience or user experience not representative of likely real-world user
☐ Concerns related to performance characteristics (e.g., sensitivity/PPA, specificity/NPA)
☐ Imperfect comparator method used to calculate performance characteristics
☐ Other(s)
☐ None
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Contains Nonbinding Recommendations

Question 4: What is the extent of uncertainty for the
probable risks?
☐ Low  Continue to Question 5
☐ Med  Continue to Question 5
☐ High  Continue to Question 5

Summary of the Assessment of Probable Risk
If you answered “No” to Question 3 but “High” to Question 4, please explain here.
For the Proposed Indications for Use:
Summarize the Assessment of Probable Risk for the proposed Indications for Use. Include a description
of your assessment of the extent of probable risk considering the severity, types, number and rates of
harmful events associated with use of the device; probability of a harmful event; duration of harmful
events; and risk from false-positive or false-negative results for diagnostics. Include a description of the
impact of uncertainty on your Assessment of Probable Risk.

Assessment of Probable Benefit-Risk
Instructions for FDA Staff: Provide a recommendation based on the totality of the evidence. As noted above,
the probable benefit-risk assessment is part of the decision regarding whether to approve an HDE application
but is not an assessment of all applicable requirements.
To approve an HDE application, FDA must make, among other things, a determination that the device will not
expose patients to an unreasonable or significant risk of illness or injury and that the probable benefit to health
from the use of the device outweighs the risk of injury or illness from its use taking into account the probable
benefits and risks of currently available devices or alternative forms of treatment.
If you answer “yes” for any Q5-8, explain your rationale for how the probable benefits outweigh the probable
risks. You should also consider and recommend actions that would enhance the probable benefit-risk profile of
the device, such as modifications to the proposed labeling, which may include additional appropriate warnings,
and precautions, instructions for use, or presentation of data to help ensure the product labeling is transparent
with respect to the probable benefits and risks.
If you answer “unable to conclude” for Q5-8, please provide the information that you believe would be needed
to support a determination that probable benefits outweigh the probable risks for the Indications for Use under
consideration in the summary text boxes and also proceed to Q9.

Question 5: Do the Probable Benefits outweigh the Risks, considering the
assessment of the Probable Benefit and Risk and the extent of uncertainty
identified above?
☐ Yes – The probable benefits outweigh the risks such that, for this device,
additional consideration of relevant factors would not change that determination.
☐ Unable to conclude that probable benefits outweigh the risks – further discussion
and consideration of relevant factors is appropriate  Continue to Question 6

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Contains Nonbinding Recommendations

Summary of the Assessment of Probable Benefit-Risk
For the Proposed Indications for Use:
Summarize the probable benefit(s) that have been demonstrated for the proposed Indications for Use and
your assessment of how Probable Benefit(s) compare to Risks. Include a description of how available
alternative modalities, including their probable benefits and risks, affect your assessment. Include a
description of how uncertainty regarding Probable Benefit(s) and Risk(s) affects your assessment.
6. Do the Probable Benefits outweigh the Risks, when taking into account the following
additional considerations? Select relevant considerations, and then answer the question in the box
below.
Understanding of patient willingness or unwillingness to accept a large extent of uncertainty in
☐
the probable benefits and/or risks
☐ Available patient preference information (PPI) showing patient willingness or unwillingness to
accept the probable risks in exchange for the probable benefits. In circumstances where it is not
feasible to obtain PPI (e.g., some pediatric or impaired patient populations), care-partner
perspectives may be considered.
☐ Understanding of care-partner perspectives on the probable benefits and risks for a device
where applicable (e.g., ease of care that may affect patient care and outcomes)
☐ Available qualitative or quantitative PPI on the relative desirability or acceptability to patients
of outcomes or other attributes that differ among alternative health interventions
☐ Understanding that the device represents novel technology for which the current device
technology is different
☐ Ability to manage or diagnose the condition and consideration of natural history of disease
progression in the absence of the intervention or diagnostic information with the device under
review
☐ The device avoids serious harm associated with available therapies for the disease or condition
☐ The adverse events associated with use of the device are reversible
☐ Type of intervention required to address the harmful event (e.g., medication, surgery)
☐ Understanding of mechanistic plausibility and/or “class effect” (e.g., familiarity with similar
technology)
☐ Other(s)
☐ None
Question 6: Do the Probable Benefits outweigh the Risks, when taking into
account additional relevant considerations?
☐ Yes – The probable benefits outweigh the risks such that, for this device,
additional consideration of relevant factors would not change that determination.
☐ Unable to conclude that probable benefits outweigh the risks – further discussion
and consideration of risk mitigation measures is appropriate  Continue to
Question 7

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Contains Nonbinding Recommendations

Summary of the Assessment of Probable Benefit-Risk, taking into account additional relevant
considerations
For the Proposed Indications for Use:
Summarize the probable benefit(s) that have been demonstrated for the proposed Indications for Use and
your assessment of how Probable Benefit(s) compare to Risks. Include a description of how available
alternative modalities, including their probable benefits and risks, affect your assessment. Include a
description of how uncertainty regarding Probable Benefit(s) and Risks affects your assessment. Include
a description of how patient perspectives affected your assessment.
7. Can the risks be mitigated, so that Probable Benefits outweigh the Risks? Consider if the
Probable Benefits outweigh the Risks if risk mitigation strategies are incorporated to lower
the probability of a harmful event occurring and improve the probable benefit-risk profile of
the device. Select relevant considerations, and then answer the question in the box below.
☐ Additional descriptions of known and probable benefits and risks in physician and patient
labeling, including appropriate Contraindications, Warnings, and Precautions and description of
the clinical events
☐ Additional warnings noting limitations of safety information (e.g., “The safety of the use of this
device in [situation] has not been evaluated.”)
☐ Labeling the device for prescription use only
Training:
Limitation
to caregivers with certain qualifications or clinical training
☐
☐ Limit to users with a minimum set of qualifications and/or training
☐ Physician/user training program
Other:
☐ Device tracking
☐ Other(s)
☐ None
Question 7: Can the risks be mitigated, so that Probable Benefits outweigh the
Risks?
☐ Yes – The probable benefits outweigh the risks such that, for this device,
additional consideration of relevant factors would not change that determination.
☐ Unable to conclude that probable benefits outweigh the risks – further discussion
and consideration of postmarket actions is appropriate  Continue to Question 8

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Contains Nonbinding Recommendations

Summary of the Assessment of Probable Benefit-Risk, considering risk mitigation strategies
For the Proposed Indications for Use:
Summarize the probable benefit(s) that have been demonstrated for the proposed Indications for Use and
your assessment of how Probable Benefit(s) compare to Risks. Include a description of how available
alternative modalities, including their probable benefits and risks, affect your assessment. Include a
description of how uncertainty regarding Probable Benefit(s) and Risks affects your assessment. Include
a description of how patient perspectives affected your assessment.

8. Do the Probable Benefits outweigh the Risks considering the use of postmarket actions? Select
appropriate postmarket action(s), and then answer the question in the box below.
☐Collection of additional and/or confirmatory non-clinical performance data in the postmarket
space (e.g., post-approval study, postmarket surveillance)
☐Collection of additional and/or confirmatory clinical data in the postmarket space (e.g., postapproval study, postmarket surveillance)
If either non-clinical or clinical performance data collections in the postmarket space are
checked, consider:
☐ The feasibility of postmarket data collection and likelihood that postmarket data collection
will be completed within a reasonable timeframe
☐ Whether it would be appropriate for labeling to include description of postmarket data
collection and its purpose
☐Other(s)
☐None

Question 8: Do the Probable Benefits outweigh the Risks considering the use of
postmarket actions?
☐ Yes – The probable benefits outweigh the risks.
☐ Unable to conclude that probable benefits outweigh the risks  Continue to Question 9

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Contains Nonbinding Recommendations

Summary of the Assessment of Probable Benefit-Risk, considering postmarket actions
For the Proposed Indications for Use:
Summarize the probable benefits(s) that have been demonstrated for the proposed Indications for Use and
your assessment of how Probable Benefit(s) compare to Risks. Include a description of how available
alternative modalities, including their probable benefits and risks, affect your assessment. Include a
description of how uncertainty regarding Probable Benefit(s) and Risks affects your assessment. Include
a description of how patient perspectives affected your assessment.

Question 9: Is there any evidence of probable clinical benefit for a narrowed Indications
for Use?
☐ Yes  Return to Question 1 and proceed with narrowed Indications for Use
☐ No  Do not approve the application

52

Contains Nonbinding Recommendations

Appendix C – Probable Benefit-Risk Assessment Summary
HDE Probable Benefit-Risk
Assessment Summary

Proposed Indications for Use.

HDE Questions
Based on the totality of the data

Device Name:
HDE Number:

Assessment of Probable
Benefit
1. Is there any evidence of clinical
benefit?
2. What is the extent of uncertainty
for the Probable Benefits? 1

Considering benefit in terms of
•
•
•

Type
Magnitude
Probability

•
•

Duration of effects
Patient perspective (or care-partner, if
applicable)

☐ YES  Q2
☐ NO  Do not approve for proposed Indications for Use; proceed to Q9
☐ High ☐ Medium ☐Low
Continue to Q3
Considering risk in terms of
•

Assessment of Risk
•

Severity, types,
number and
rates of harmful
events
Probability of a
harmful event

•
•
•

Duration of harmful events
Risks from false-positive or false-negative
results
Patient perspective (or care-partner, if
applicable)

3. Are known/probable risks more
than minimal?
4. What is the extent of uncertainty
for the Probable Risks?

☐ YES  Q4
☐ NO  Q4

5. Do the Probable Benefits
outweigh the Risks? 2
6. Do the Probable Benefits
outweigh the Risks, taking into
account additional considerations?
7. Can the risks be mitigated, so that
Probable Benefits outweigh the
Risks?
8. Do the Probable Benefits
outweigh the Risks considering the
use of postmarket actions?

☐ YES  Worksheet complete
☐ Unable to conclude that probable benefits outweigh the risks  Q6

☐ High ☐ Med ☐Low
Continue to Q5

Assessment of Probable Benefit-Risk
☐ YES  Worksheet complete
☐Unable to conclude that probable benefits outweigh the risks  Q7
☐ YES  Worksheet complete
☐ Unable to conclude that probable benefits outweigh the risks Q8
☐ YES  Worksheet complete
☐ Unable to conclude that probable benefits outweigh the risks  Q9

1

Instructions: If the extent of uncertainty is low, then consider whether a different kind of marketing application would be appropriate. However,
low uncertainty does not necessarily imply clinically meaningful benefit.
2
Instructions: For an HDE, take into account the probable benefits and risks of currently available devices or alternative forms of treatment.

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Contains Nonbinding Recommendations

9. Is there any evidence of clinical
benefit for a narrowed Indications
for Use?

☐ YES  Return to Q1 and proceed with narrowed Indications for Use 3
☐ NO  Do not approve the application

3
Instructions: The term “indications for use” describes the disease or condition that the device will diagnose, treat, prevent, cure, or mitigate,
including a description of the patient population for which the device is intended. See 21 CFR 814.20(b)(3)(i) and 814.104(b)(4). Consider the
probable benefits and risks for a modified population for the proposed use, a modified indication for the proposed population, or both a modified
indication and modified population, which would translate into a ‘narrowing’ of the Indications for Use from what was originally proposed. Note
that probable benefit and probable benefit-risk determinations for HDEs are different from those under PMAs. For more information, refer to
Section VI of this guidance.

54