IVD Medical Device Clinical Performance (evaluation) Studies

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IVD medical deviceclinical performance(evaluation) studiesFrom performance evaluation studies to clinicalperformance studiesDietmar Falke, PhDHead of Clinical ResearchDietmar.Falke@ul.comNovember 2021Oliver Eikenberg, PhDSenior Consultant, Quality andRegulatory AffairsOliver.Eikenberg@ul.com

WHITE PAPERIntroductionWhen placing in vitro diagnostic devices (IVDs) on the European market, manufacturers need todemonstrate that their IVDs perform as claimed. This requires “adequate” performance evaluation(PE) data supporting manufacturers’ IVD performance claims. What qualifies as “adequate” PE data is,however, the most pressing question asked by manufacturers when designing, manufacturing or placingdevices on the EU market, or when putting them into service via CE Marking.The In Vitro Diagnostics Directive 98/79/EC (IVDD)demands that adequate PE data “should originate fromstudies in a clinical or other appropriate environment orresult from relevant biographical references” (IVDDAnnex III).Since 2017, further specifications regarding the adequacyof IVD PE data have been provided by the European Invitro Medical Devices Regulation (EU) 2017/746 (IVDR).The Regulation states that PE of a device is “a continuousprocess by which data are assessed and analysed todemonstrate the scientific validity, analytical performanceand clinical performance of that device for its intendedpurpose as stated by the manufacturer” (IVDR Annex XIII).The IVDR also states that performance data can beobtained from state-of-the-art literature (scientific validity)as well as “correct detection or measurement of theparticular analyte (analytical performance)” and “resultsthat are correlated with the particular clinical condition or aphysiological or pathological process or state in accordancewith the target population and intended user (clinicalperformance).” The analytical and clinical performance ofan IVD has to be established in analytical performancestudies and clinical performance (CP) studies usingmethodologically sound procedures, unless any omissioncan be justified as not applicable (Annex I). This concept isidentical under the current IVDD and the upcoming IVDR.Page 2 of 13

WHITE PAPERIVD manufacturers have done/should do their utmostto meet their obligation to provide adequate PE data,but most companies have never undergone an auditunder the current IVDD, and it remains uncertainwhether this performance data will be considered“adequate” by Notified Bodies (NB) under the IVDR.While this might appear to be a significant change, theEU Commission stated in an IVDR fact sheet publishedin 2018 that, “In terms of impact on manufacturers andproducts, the IVDD and the IVDR largely share the samebasic regulatory process. No existing requirements havebeen removed, but the IVDR adds new requirements.”1This white paper focuses on requirements for clinical performance (evaluation)studies, conducted to obtain adequate performance data for demonstrating clinicalperformance, and summarizes our understanding of the main obstacles to tackle forexisting or new clinical performance (evaluation) studies.Requirements for IVD performance evaluation studies: Current or past?Information on specific requirements for IVD performanceevaluations, including definitions for different types ofPE studies, was quite limited in previous EU guidancedocuments and standards.2 For example, the IVDDdoes not include a definition for PE studies. However, thedefinition given for the “devices for performance evaluation”does indirectly address these PE studies, indicating thatPE studies include “studies in laboratories or medicalanalyses or studies in other appropriate environmentsoutside the own premises of the IVD medical devicemanufacturer.” That’s why these PE studies are oftencalled “external” PE studies.The EN 13612 standard “Performance evaluation of in vitrodiagnostic medical devices,” published in October 2002,provided more guidance on these “external” PE studies andfurnished information about when PEs should be performed.This standard refers directly to the IVDD, which requires“that the manufacturer provides evidence in his technicaldocumentation that the IVD medical device performs asclaimed, whether these claims are of a technical, analyticalor diagnostic nature.EN 13612 also defines: Preconditions, which need to be fulfilled beforeconducting a PE study3 When to perform PE studies; PE studies are part ofthe design validation or may be required after a designchange, so typically will be done on a frozen or changeddesign at the end of the IVD design development General terms applicable to PE studiesEN 13612 also provides information on: The requirement to establish certain roles and functionssuch as the coordinator or investigator of a PE study Generating PE- specific documents such as theevaluation plan and evaluation reportWhile EN 13612 describes many of the PE studyelements, it leaves the specific study planning andconduct up to the manufacturer, as these effortsdepend on the level of complexity of the IVD andthe design of the intended PE study.Such evidence can be shown by data already availableto the manufacturer or by scientific literature or by dataoriginating from performance evaluation studies in aclinical or other appropriate environment in accordancewith the intended use.”Page 3 of 13

WHITE PAPERWhat has changed?In 2003, the ISO 14155 standard“Clinical investigation of medicaldevices for human subjects Good clinical practice (GCP)” waspublished, specifying generalguidance on conducting clinicalinvestigations with medicaldevices on human subjects; thisstandard was first updated in2011. Even though ISO 14155excludes IVD medical devicesfrom its scope, it was commonunderstanding that, next tocompliance to EN 13612,compliance to ISO 14155 neededto be considered for those IVDclinical PE studies which posedrisks to involved subjects,whether due to methods ofsample taking or if the outcomeof the IVD assessment affectedthe subjects’ treatment.In addition, requirements forconducting clinical investigationsand PE studies were introducedinto national country legislationsin many EU member states overtime. Many of these nationalregulations include Good ClinicalPractice (GCP) requirements forstudies in humans as describedin ISO 14155, which applyregardless of whether medicaldevices or IVDs are involved.It is worth mentioning thatmanufacturers and clinical studysponsors must always considerthese country legislations whena clinical site in the respective EUmember state is involved in a PEstudy, even if “only samples weretaken” at that site.In May 2017, the IVDR was adopted, and will replace the IVDD on May 26, 2022 in theEuropean Union. The new Regulation will likely roll out progressively, with compliancedeadlines dependent upon the IVD product’s risk class.The IVDR introduces the concept that “Clinical performance studies shall be performedunless due justification is provided for relying on other sources of clinical performancedata,” which will increase the number of necessary clinical performance studies(CP studies, known as PE studies under the IVDD).Specifically, IVDR Chapter VI, Annex XIII, Section 2, and Annex XIV describe elementsrequired for CP studies such as an establishment of a purpose for the planned CPstudy, ethical considerations, methods to be used in the study and the study design.A clinical performance study plan (CPSP) must address most of these elements, butcertain information can also be provided in stand-alone documents. The results andconclusions need to be provided in a clinical performance study report (CPSR). CPstudies, which do not meet the IVDR Annex XIII requirements, might be considered as“other sources of clinical data.” A sound rationale for why such data supports CP needsto be provided by the manufacturer.The IVDR also referred to ISO 14155 in recital 66, underlining the expectation thatcompliance to ISO 14155 should be considered for CP studies. To provide furtherguidance, a new standard, ISO 20916, “In vitro diagnostic medical devices - Clinicalperformance studies using specimens from human subjects - Good study practice,”was published in 2019, and the IVDR was updated with its first corrigendum to citeISO 20916 instead of ISO 14155. Recital (66) now states:The rules on performance studies should be in line withwell-established international guidance in this field, such asthe international standard ISO 20916 on clinical performancestudies using specimens from human subjects, currentlyunder development The establishment of ISO 20916 and the IVDR introduces clear definitions ofdifferent types of CP studies as well as roles and responsibilities of all involvedparties (e.g., sponsor, study site, ethical committees, etc.). In addition, it providesguidance for the compliant conduct of respective clinical performance studies.This guidance allows manufacturers to more efficiently plan the compliant conductof respective CP studies and enables Competent Authorities as well as NotifiedBodies to establish their respective controls regarding when such studies arestarted and whether they support CE Marking.For the compliant study conduct, manufacturers need to establish and/or maintainwell-defined processes for applying ISO 20916. Additionally, they need to maintainmore thorough and compliant documentation regarding these studies’ conduct andresults (e.g., generating the CPSR), which will eventually need to be provided to theNotified Bodies when applying for CE Marking.Page 4 of 13

WHITE PAPERISO 20916 at a glanceGeneralAs mentioned above, the ISO 20916 standard provides detailed guidance onCP studies, including appropriate IVD definitions and insights into the roles andresponsibilities of all involved parties in line with CP study requirements includedin the IVDR. ISO 20916 also differentiates between:Interventional CP studies: Studies in which test results obtained during thestudy can influence patient management decisions and might be used to guidetreatmentsNon-interventional CP studies, which are further divided into studies: In which specimen collection is primarily done for the purpose of the CP study,and the specimen collection procedures pose additional risks to the subjector When the conduct of the study involves additional risks for the subjectsand studies Which do not pose a risk to the participants — e.g., studies with leftoverarchived specimensISO 20916 and specifically Annex G of the standard (adverse eventcategorization) should be considered for all CP studies. Depending on theIVD and the planned study’s complexity, Annexes A through F also requirerespect, as they are applicable for higher-risk CP studies. Thus, the firstquestions each sponsor of a planned CP study with an IVD should ask are: Is the planned CP study interventional or non-interventional? Does the study pose additional risks to the subjects?Answering these questions will define applicable CP study processes (see alsonormative Annex A: additional general requirements for certain studies) and isessential for the planning, conduct and closeout of the anticipated CP study.4Ethical considerationsAs with any clinical study involving human subjects, CP studies shall always be conducted in accordance with ethicalprinciples such as the Declaration of Helsinki5 to protect the study participants’ rights, safety, dignity and well-beingand to ensure that the data generated are scientifically valid, reliable and robust.Normative Annex E of ISO 20916 describes the general documents needed for ethics committee (EC) submission aswell as information to be provided to the EC before, during and after the study.6Page 5 of 13

WHITE PAPERCP studies: PlanningTo ensure that the CP study is planned and conducted adequately, a clinical performance study protocol (CPSP)(named clinical performance study plan in the IVDR) should be generated.Topics usually included in the CPSP are described in ISO 20916Section 5.5.3 and normative Annex B, and include, among otheritems, information on:7 Sponsor(s)Study IVD (and comparator, if applicable) and intended useSpecimens and, when applicable, subjects providing specimensObjectives and endpoints (primary and secondary)Procedure involvedInformed consent processStatistical considerationMonitoring and data management(Serious) adverse event, (serious) adverse device effectsand device deficiency documentation and reportingOther activities and documents required duringthe setup of the CP study are:8 Risk evaluation to assess the risksassociated with study participation Site selection (selection, assessment andqualification of study staff and study sites) Monitoring plan Case report forms Contracts (with all involved parties) Labeling Good Clinical Practice (GCP) studydocumentation (see ISO 20916 Annex H)Page 6 of 13

WHITE PAPERCP studies: ConductThe CP study can only be started following written approval or favorable opinionfrom the involved EC(s) and, where applicable, approval from the respective NCA.Site initiation: Prior to full initiation of involved study sites, sponsors must ensurethat required study site documentation is in place, including signed contract(s) andrespective approval(s). The IVD needs to be available at the study site. In addition,sponsors must confirm that the study site personnel have received adequate trainingon general study requirements (e.g., study site personnel responsibilities) and specificCP study requirements (e.g., the CPSP and proper use of the IVD).Site monitoring: Once CP study sites begin enrolling participants, sponsors shouldconduct clinical monitoring to verify that the study is conducted according to theCPSP, ISO 20916 and any other applicable requirements. During routine monitoring,it will be verified, among others that: The IVD is being used according to CPSP or instruction for useThe IVD is available and IVD accountability is performed accuratelyStudy records are correct, complete and up to dateSafety event (device deficiency, (serious) adverse event, (serious) adverse deviceeffect) documenting and reporting is done appropriately to country legislation The General Data Protection Regulations (GDPR) are respectedActivities conducted as well as findings or observations should be documented in amonitoring report (see ISO 20916 Section 7.3.3).CP study closeoutCloseout activities will be conducted for each study site to ensure that the siterecords are complete, all sponsor records are retrieved, remaining IVDs are returnedor destroyed, issues have been resolved and relevant parties are informed about theend of the study.A clinical performance study report (CPSR) will be generated for every CP study.ISO 20916 Section 8.2 outlines a CPSR’s expected content. The results section,for example, should include information on the statistical analysis used as well asperformance and safety results. The CPSR results section should also provide anaccounting of all subjects included in the study and specimens collected, plus adiscussion and overall conclusion on the outcome of the study.Normative Annex D provides further guidance for CPSR generation for certainhigher-risk CP studies.ISO 20916 also covers other topics including document retention, prematurestudy termination and auditing.Page 7 of 13

WHITE PAPERStudieswithcompaniondiagnosticsGeneralThere seems to be some uncertainty about studyrequirements on the part of the sponsor when itcomes to studies in which the clinical performance ofan IVD, e.g., companion diagnostics (CDx), is testedalong with an investigational medicinal product (IMP) inone study. CDx are a specific type of IVD, unfortunatelynot defined in the current IVDD since the CDx conceptemerged only after the IVDD came into effect in 1998.The IVDR as well as ISO 20916, however, closed this gapby defining CDx (Article 2 (f)): being a device which isessential for the safe and effective use of a correspondingmedicinal product to:(a) identify, before and/or during treatment, patientswho are most likely to benefit from the correspondingmedicinal product; or(b) identify, before and/or during treatment, patientslikely to be at increased risk of serious adversereactions as a result of treatment with thecorresponding medicinal product 9Requirements for CP studies withcompanion diagnosticsAs mentioned above, CP studies in which testresults obtained during the study are used for patientmanagement decisions and to guide treatments areconsidered interventional clinical performance studies.This applies to most studies involving CDx products.According to ISO 20916 Annex A, these interventionalstudies involve additional general requirements.Those studies require a CPSP, investigator’s brochure(IB), informed consent (ICF) and other essential studydocuments as specified in Annex H. EC approval will needto be obtained as well as NCA approval in many EU memberstates. Therefore, compliance with these general ISO 20916requirements should be considered to ensure that the ethicalprinciples addressed above are met. Another importantaspect is the establishment of proper IVD safety eventdocumentation and reporting. Finally, a CPSR needs tobe generated.11The IVDR and ISO 20916 further define requirements forCP studies with CDx.10Page 8 of 13

WHITE PAPERChallenges for CP studieswith companion diagnosticsConsiderations for CP studieswith CDxThe CDx manufacturer and the investigational medicinalproduct developer are often separate companies and roles,and responsibilities for the planned study are not clearlycontractually defined between these two companies.The pharmaceutical company usually drives studies withCDx while the CDx manufacturer plays a supporting role inthe study’s setup and execution. Medicinal product studieswith CDx are then conducted according to general andnational medicinal product regulations and requirements.Overall medicinal product study requirements and CPstudy requirements need to be addressed when conductinga study with an investigational medicinal product and aCDx. The following issues should be considered:Among pharmaceutical companies or their involvedpartners such as contract research organizations (CRO),there is often a certain unawareness regarding theapplicability of ISO 20916 for CP studies with a CDxsince the current IVDD does not reference this standard.In addition, national legislative requirements for CPstudies are often hard to identify (national regulations arefrequently written in national languages only). Furthermore,the written procedures of CDx manufacturers and involvedpharmaceutical companies might not adequately addressCP study processes.Not sufficiently addressing these challenges, along withhigher NCA, EC and Notified Body scrutiny, may lead tosignificant delays of the respective studies. Along with requirements for medicinal productstudies, understand and follow national legislationapplicable to CP studies with CDx. This applies toall involved parties. Review your written processes to close eventual gaps(processes for medicinal product studies are not thatdifferent from those for CP studies). Define roles and responsibilities for the pharmaceuticalcompany and CDx manufacturer for conducting thesestudies. Ensure that all necessary tasks are coveredand documented. Consider ALL applicable ISO 20916 aspects fordeveloping the essential study documents.Two study protocols might be expected; however,if only one protocol is written, ensure that the studyprotocol identifies the IVD involved as IVD for PE(including respective labeling) and includes requiredIVD CP study-specific elements. The same applies toother essential study documents like informed consentcovering both study elements. The CDx requires anadditional investigator’s brochure (IB). Ensure that study site personnel are qualified toconduct CP studies and are trained on the appropriatestudy requirements, and that qualified infrastructure isestablished as requested by the NCA and EC.12 Set up appropriate safety recording and reportingprocesses defining who will be responsible forrecording and reporting safety events (IVD-relatedand/or IMP related) as well as when to report accordingto the medicinal product regulations and/or IVDregulations (e.g., safety events due to the inclusion ofsubjects based on “false” IVD results). Reach out to theNCA for guidance, if needed. Ensure that all required EC and NCA study approvalsfor the medicinal product and the CDx studycomponents are obtained. Besides “medicinal productEC” approvals, commonly additional “CP study EC”approvals need to be obtained for all study sitesinvolved in medicinal product studies with CDx, evenif the samples are shipped outside of the respectivecountry for analysis.Page 9 of 13

WHITE PAPERConclusionsGeneral requirements for PE studies under the EU IVDDhave been in place since 2002 through the EN 13612and ISO 14155 standards and through national EUcountry legislations, but IVD manufacturers might nothave adequately identified or considered this mixture ofregulations when designing, planning and performingtheir CP studies.With the establishment of ISO 20916 in 2019 andthe IVDR, clear definitions of different types of clinicalperformance studies as well as roles and responsibilitiesof all involved parties (e.g., sponsor, study site, ethicalcommittees, etc.) are now available. In addition, theyprovide detailed guidance for the compliant conduct ofrespective CP studies.This allows manufacturers to plan the compliant conduct ofrespective CP studies more efficiently. NCAs and NotifiedBodies obtained direction for their assessment as towhether setup, conduct and evaluation of the CP study areor were compliant. For this reason, all IVD manufacturersconducting CP studies should consider ISO 20916requirements for their study design and conduct, even ifthe IVDR will only come into force in May 2022.The number of tasks to consider for CP studies is immense.It is crucial that experienced and trained personnel with aproficient understanding of their roles and responsibilitiesare involved in the planning and conduct of these CPstudies. In addition, manufacturers and sponsors mustbudget adequately for CP studies. Manufacturers mightconsider ISO 20916-compliant conduct of CP studiesan extra burden, but following this standard will result inrobust clinical performance data, easier demonstration ofclinical evidence and potentially faster approval processesunder the IVDR.There is a significant risk that clinical performance dataobtained in recent years without adequately respectingISO 20916 (or EN 13612) may not be accepted byNotified Bodies to support clinical performancerequirements under IVDD and IVDR. The expected“up-classification” of many IVDs through the rule-basedclassification system under the IVDR and the associatedNotified Body involvement could result in CE certificatesnot being granted or even CE certificates being suspended,which ultimately could lead to manufacturers having toredo their clinical performance testing.Page 10 of 13

WHITE PAPERRegarding studies with CDx, we haverecently seen increased scrutiny by theinvolved ECs and NCAs on the describedCP study elements. CDx studies might havereceived approval with the medicinal productin the past and the “CP study part” might nothave been controlled to the necessary level.Consequently, clinical evidence collected incurrent and previous noncompliant studieswill likely not be accepted for the requireddemonstration of clinical performance underIVDR (CE Marking) and potentially for themarketing authorization application for theinvolved medicinal product. Complete redos ofthe CDx studies for recertification under IVDRfor the CDx and the medicinal product, as wellas field safety corrective actions (FSCA) oreven recalls, are realistic scenarios.Thus, it is advisable for IVD manufacturersto proactively review study data collectedin older CP studies and assess whetherthese studies have met general CP studycriteria. Identified gaps should carefully bediscussed in the context of available scientificvalidity and analytical performance data.Further studies, like post-market performancefollow-up (PMPF), might need to be initiatedto support current clinical claims and toprepare supportive information and adequateevidence for the demonstration of clinicalperformance. Sometimes a redo of CP studiesmight also be necessary. Proactive planningof CP studies or PMPFs usually leavessignificantly more flexibility for the design andscope of the respective study when comparedto CP studies, which need to be initiated toremedy deficiencies identified by NotifiedBodies. Adequate documentation is key, andeven a well-structured PMPF plan laying outplanned PMPF activities might reduce the riskof a CE suspension.Page 11 of 13

WHITE ents/312022.A list of potentially applicable EU harmonized standards was published and regularly updated in the Official Journalof the European Union (OJEU) until 2017. Many manufacturers used this as their source of information over years toidentify the best applicable standards to demonstrate conformity to EU Directives.3.EN 13612 section 4.1 Preconditions: Before starting a PE study it shall be ensured by the coordinator that:a) the performance claims of the IVDMD which are the subject of the study are specified;b) the IVD has been manufactured under controlled production processes and conditions;c) the IVD MD to be evaluated meets the quality control release specifications;d) a sufficient number of samples of the IVD MD can be provided during the entire period of theperformance evaluation study;e) all legal requirements for performance evaluation studies are met;f) the investigator(s) is (are) adequately skilled and trained to conduct the study and the necessaryresources are available.4.ISO 20916 requires written procedures for all CP study processes, which need to be part of the Quality ManagementSystem (QMS) of the involved al-research-involvinghuman-subjects/6.National legislation and the risk the study is posing to study participants/subjects will further define the level of ECcommunication needed, and whether national Competent Authority (NCA) study notification or approval is required.7.Much of the required information can be documented in stand-alone documents separate from the CPSP (e.g.,information on study sites or SAE reporting), but should be very carefully addressed. Often these documents need to beincluded in respective country submissions or notifications to ECs and NCAs.8.Additional factors, such as the current coronavirus pandemic, and their potential impacts need to be considered whenplanning and conducting CP studies.9.The US FDA provides a similar definition.10. IVDR recitals 10 to 12 provide further information about which IVDs are considered to be CDx and which aren’t and therole of CDx.11. The applicability of ISO 20916 requirements needs to be checked for all studies with CDx, as well as those considered tobe non-interventional.12. Involved study personnel might need to obtain medicinal product study and medical device study requirements trainingin some EU countries.Page 12 of 13

Learn moreNeed help with new IVD requirements for Europe? Emergo by UL supports regulatory compliance and market access fordevice manufacturers worldwide.Here’s how we help: Device classification and conformity assessment EU technical file and CER preparation ISO 13485:2016 certification and audits.Learn more about global market access for medical devices at EmergobyUL.comAbout the authorDietmar Falke, PhD heads the Clinical Research team at Emergo by UL. For more than 13 years, Dr. Falke has been involvedin or responsible for conducting pharmaceutical and medical device clinical studies. He has wide experience in projectmanagement of clinical studies from trial design to the generation of the final report, including submission to authorities andethics committees.Oliver Eikenberg, PhD Oliver Eikenberg has over 17 years of medical device regulatory experience combined with technicalhands-on experience in device development, manufacturing, and product management. In his role as Senior Consultant,Oliver focuses on medical device regulations in the EU and the US, including Quality Management System implementations.Emergo by UL and the Emergo by UL logo are trademarks of Emergo Global Consulting LLC 2019. All rights reserved. This document may not be copied or distributed, in whole orin part, without express written permission from Emergo by UL. It is provided for general information purposes only and is not intended to convey legal or other professional advice.

The IVDR introduces the concept that "Clinical performance studies shall be performed unless due justification is provided for relying on other sources of clinical performance data," which will increase the number of necessary clinical performance studies (CP studies, known as PE studies under the IVDD).

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