Validation of Next Generation INVOS NIRS Cerebral and Tissue Oximeter to Measure Cerebral and Somatic Tissue Oxygen Saturation in Healthy Volunteers
Phase: NA
Conditions: Oxygen Deficiency
Sponsor: Medtronic - MITG

 
056-F275, Version 2.0 
Global Form 
Clinical Investigation Plan Template  
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
   
   
 
 
 
 
Clinical Investigation Plan 
Clinical Investigation Plan/Study Title  Validation of Next Generation INVOS NIRS Cerebral 
and Tissue Oximeter to Measure Cerebral and 
Somatic Tissue Oxygen Saturation in Healthy 
Volunteers  
Clinical Investigation Plan Identifier MDT16010MAVJB3 
Study Product Name Next Generation INVOS 
Sponsor/Local Sponsor Covidien LP, a Medtronic company (“Medtronic”) 
MITG, Patient Monitoring & Recovery (PMR) 
6135 Gunbarrel Avenue, 
Boulder, CO 80301 
U.S.A. 
Document Revision B 
Lead Principal Investigator(s) David MacLeod, FRCA 
Human Pharmacology & Physiology Lab 
Duke University Medical Center 
Durham, NC 27710 
U.S.A. 
Confidentiality Statement 
The information contained in this document is confidential and the proprietary property of Medtronic. Any 
distribution, copying, or disclosure without the prior written authorization of Medtronic is strictly 
prohibited. Persons to whom the information is disclosed must know that it is confidential and that it may 
not be further disclosed by them. 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 2 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
 
 
1 Version History 
Version 
Date 
Summary of Changes 
Author(s)/Title 
A 
11 July 2016 
New Document 
 
 
B 
15 MAR 2017 
Justification for sample size was added. Also, 
additional changes required by CIP template 
were included. Term and definition section was 
updated to add additional terms. The adverse 
event reporting requirements were clarified.  
Hypocapnic state was removed from the study 
protocol. 
 
 
 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 3 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
 
2 Investigator Statement 
Study product Name 
Validation of Next Generation INVOS NIRS Cerebral and 
Tissue Oximeter to Measure Cerebral and Somatic Tissue 
Oxygen Saturation in Healthy Volunteers 
Sponsor 
Medtronic  
Clinical Investigation Plan Identifier 
MDT16010MAVJB3 
Revision Number/Date  
B   /  15 MAR 2017 
I have read the protocol, including all appendices, and I agree that it contains all necessary details for me 
and my staff to conduct this study as described. I will conduct this study as outlined herein and will make 
a reasonable effort to complete the study within the time designated. 
I agree to comply with the protocol and ethical principles that have their origin in the Declaration of 
Helsinki and will follow the United Stated Food and Drug Administration (FDA) regulations 21 CFR part 
812.2(b) - Investigational Device Exemption Abbreviated Requirements and other national regulatory 
guidelines as appropriate. I agree to ensure that the confidential information contained in this document 
will not be used for any purpose other than the evaluation and conduct of the clinical investigation 
without the prior written consent of Medtronic. 
I will provide all study personnel under my supervision copies of the protocol and access to all 
information provided by Medtronic. I will discuss this material with them to ensure that they are fully 
informed about the products and the study. 
Investigator’s Signature: 
 
Investigator’s Name: 
 
Institution: 
 
Date:  
 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 4 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
 
Table of Contents  
 
1 
Revision History ............................................................................................................. 2 
2 
Investigator Statement .................................................................................................... 3 
Table of Contents ................................................................................................................. 4 
3 
Glossary .......................................................................................................................... 7 
4 
Synopsis ....................................................................................................................... 10 
5 
Introduction ................................................................................................................. 15 
5.1 
Background ....................................................................................................................... 15 
5.2 
Purpose ............................................................................................................................. 15 
6 
Objectives and Endpoints ............................................................................................ 16 
6.1 
Objectives .......................................................................................................................... 16 
6.1.1 
Primary Objective(s) ............................................................................................................... 16 
6.2 
Endpoints .......................................................................................................................... 16 
6.2.1 
Primary Endpoint ................................................................................................................... 16 
7 
Study Design ................................................................................................................ 16 
7.1 
Duration ............................................................................................................................ 17 
7.2 
Rationale ........................................................................................................................... 17 
8 
Product Description ..................................................................................................... 17 
8.1 
General .............................................................................................................................. 17 
8.2 
Packaging .......................................................................................................................... 18 
8.3 
Intended Population .......................................................................................................... 18 
8.4 
Equipment......................................................................................................................... 18 
8.4.1 
Investigational New Generation INVOS ................................................................................ 18 
8.4.2 
INVOS 5100C System ............................................................................................................ 19 
8.4.3 
Other Study Materials (Sponsor) ............................................................................................. 19 
8.4.4 
Other Study Materials (Site) .................................................................................................... 19 
8.5 
Product Use ....................................................................................................................... 19 
8.6 
Product Training Requirements......................................................................................... 19 
8.7 
Product Receipt and Tracking ........................................................................................... 20 
8.8 
Product Storage ................................................................................................................. 20 
8.9 
Product Return .................................................................................................................. 20 
8.9.1 
Return .................................................................................................................................... 20 
8.9.2 
Recalls .................................................................................................................................... 20 
8.10 
Product Accountability ................................................................................................... 20 
9 
Selection of Subjects ..................................................................................................... 21 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 5 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
9.1 
Study Population ............................................................................................................... 21 
9.2 
Subject Enrollment ............................................................................................................ 21 
9.3 
Inclusion Criteria ............................................................................................................... 21 
9.4 
Exclusion Criteria .............................................................................................................. 21 
10 
Study Procedures ....................................................................................................... 22 
10.1 
Schedule of Events ......................................................................................................... 23 
10.2 
Subject Screening ........................................................................................................... 25 
10.3 
Subject Consent .............................................................................................................. 25 
10.4 
Enrollment Phase ........................................................................................................... 25 
10.4.1 
Visit 1 ..................................................................................................................................... 26 
10.4.2 
Visit 2A (Study Day) ............................................................................................................... 27 
10.5 
Desaturation Phase (Study Day) ..................................................................................... 27 
10.5.1 
Visit 2B (Study Day) ............................................................................................................... 27 
10.6 
Follow-up Phase ............................................................................................................. 31 
10.6.1 
Phone Call .............................................................................................................................. 31 
10.7 
Assessment of Safety ...................................................................................................... 31 
10.8 
Recording Data .............................................................................................................. 31 
10.8.1 
Source Documents ................................................................................................................. 31 
10.8.2 
Case Report Forms ................................................................................................................. 32 
10.9 
Deviation Handling ........................................................................................................ 32 
10.9.1 
Deviations .............................................................................................................................. 32 
10.9.2 
Informed Consent .................................................................................................................. 33 
10.10 
Subject Withdrawal or Discontinuation .......................................................................... 33 
11 
Risks and Benefits ..................................................................................................... 34 
11.1 
Potential Risks ............................................................................................................... 34 
11.1.1 
Investigational Devices ........................................................................................................... 34 
11.1.2 
Clinical Protocol/ Procedural Risks ........................................................................................ 34 
11.2 
Potential Benefits ........................................................................................................... 36 
11.3 
Risk-Benefit Rationale .................................................................................................... 36 
11.4 
Factors that may Compromise the Study Outcome Data ................................................ 37 
12 
Adverse Event Assessments....................................................................................... 37 
12.1 
Definitions/Classifications ............................................................................................. 37 
12.2 
Recording and Reporting Adverse Events ...................................................................... 38 
13 
Data Review Committees .......................................................................................... 39 
14 
Statistical Design and Methods ................................................................................. 39 
14.1 
Sample Size Justification ................................................................................................ 39 
14.2 
Statistical Analysis .......................................................................................................... 40 
15 
Ethics ........................................................................................................................ 41 
15.1 
Statement(s) of Compliance............................................................................................ 41 
15.2 
IRB Approval ................................................................................................................. 41 
15.2.1 
Progress Reports .................................................................................................................... 41 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 6 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
15.2.2 
Final Report ........................................................................................................................... 41 
15.2.3 
Withdrawal of IRB Approval .................................................................................................. 41 
15.3 
Subject Compensation .................................................................................................... 41 
15.4 
Liability Insurance ......................................................................................................... 42 
16 
Study Administration ................................................................................................. 42 
16.1 
Monitoring ..................................................................................................................... 42 
16.2 
Data Management .......................................................................................................... 42 
16.3 
Audits and Investigation Site Inspections ....................................................................... 43 
16.4 
Direct Access to Source Data/Documents ...................................................................... 43 
16.5 
Confidentiality ................................................................................................................ 44 
16.6 
CIP Amendments ........................................................................................................... 44 
16.7 
Record Retention ........................................................................................................... 44 
16.8 
Publication and Use of Information ................................................................................ 44 
16.9 
Suspension or Early Termination ................................................................................... 45 
17 
References ................................................................................................................. 45 
 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 7 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
 
3 Glossary 
 
Term 
Definition 
AE 
Adverse Event. For definition, refer to Section 12. 
A-Line 
Arterial catheterization. A catheter inserted into the artery that allows 
measurement of Mean Arterial Pressure (MAP) and sampling of arterial 
blood gas samples. 
ARMS 
Arithmetic Root Mean Square 
CBC 
Complete Blood Count. 
Capnograph 
A device that measures the concentration of carbon dioxide from each 
inspired and expired breath. Gases are collected with non-invasive side 
stream from the inhaled and exhaled gases of the subject. Capnograph 
outputs numeric values and waveform of the fractioned concentration of 
CO2 of each breath. 
CBF 
Cerebral Blood Flow. The volume of blood flowing through the brain per 
unit time. 
CIP 
Clinical Investigational Protocol 
CO2 
Carbon Dioxide. It can be measured with a capnograph. 
COHb 
Carboxyhemoglobin. Hemoglobin (Hb) with irreversibly bound carbon 
monoxide (CO). Carbon monoxide hinders the ability of Hb to deliver 
oxygen to the body. 
CRF 
Case Report Form. Forms where the clinical data are collected. eCRF is 
the electronic version of the CRF. 
ECG 
Electrocardiogram. A diagnostic tool that measures and records the 
electrical activity of the heart. 
EDC 
Electronic Data Capture. Electronic system where the study data are 
collected through the eCRF (Oracle Clinical). May also be referred to as 
RDC (Remote Data Capture). 
eCRF 
Electronic version of the CRF. 
EMR 
Electronic Medical Record. Digital version of a patient’s medical record 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 8 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
Term 
Definition 
within a single facility. 
EtCO2 
End-tidal Carbon Dioxide. The value of exhaled carbon dioxide displayed 
by the capnograph device. 
FDA 
Food and Drug Administration 
fSO2 
Calculated Field Oxygen Saturation. It is calculated from a weighted 
average of arterial and jugular venous blood oxygen saturation 
measurements (based on assumption that cerebral tissue contains 
arterial and venous blood in a specific ratio.) 
GCP 
Good Clinical Practice. 
Hb 
Hemoglobin 
HR 
Heart Rate. Heart contractions per minute. 
  
 
 
   
ICF 
Informed Consent Form 
IDE 
Investigational Device Exemption  
INVOS 
In-Vivo Optical Spectroscopy. 
IRB 
Institutional Review Board. 
ISF 
Investigator Site File. (Also known as Regulatory binder.) 
kg 
Kilogram  
MAP 
Mean Arterial Pressure. The calculated mean pressure within an artery 
over a complete cycle of one heartbeat. The pressure exerted by 
circulating blood upon the walls of blood vessels. Measured invasively 
via arterial line.   
MetHb   
Methemoglobin. A compound formed from hemoglobin by oxidation. 
Methemoglobin cannot carry oxygen.  
MITG 
Minimally Invasive Therapies Group  
NIBP  
Non-Invasive Blood Pressure. Sphygmomanometer inflated cuff method 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 9 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
Term 
Definition 
NIRS 
Near Infrared Spectroscopy. 
Normocapnia/ 
Normocarbia 
Subject specific state of normal carbon dioxide pressure, as measured at 
study start while breathing room air. 
NPO 
Null per os (refrain from eating or drinking for certain time). 
PI 
Principal Investigator. The person responsible for overseeing the study 
and assuring study completion in compliance of applicable regulations. 
PMR 
Patient Monitoring & Recovery 
POC 
Point of Care. It is when clinicians deliver healthcare products and 
services to patients at the time of care. 
rSO2 
Regional hemoglobin oxygen saturation.  Measured by a regional tissue 
oximeter (NIRS device). 
RDC 
Remote Data Capture 
SADE 
Serious Adverse Device Effect. For definition, refer to Section 12. 
SAE 
Serious Adverse Event. For definition, refer to Section 12. 
SAFB-SM 
INVOS sensor, Adult Somasensor. 
SaO2 
Arterial oxygen saturation. The true hemoglobin oxygen saturation of 
arterial blood, measured by a co-oximeter from an arterial blood sample.  
SpO2 
A non-invasive spectroscopic estimate of arterial oxygen saturation 
measured transcutaneously by a pulse oximeter. 
SjvO2 
Jugular venous oxygen saturation. The true hemoglobin oxygen 
saturation of jugular venous blood, measured by a co-oximeter from a 
jugular vein blood sample.  
SOP 
Standard Operating Procedures. 
SV 
Stroke Volume. The volume of blood pumped from one ventricle of the 
heart with each beat. 
UADE 
Unanticipated Adverse Device Effect. For definition, refer to Section 12. 
UCB 
Upper confidence bound  
USA 
United State of America  

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 10 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
 
4 Synopsis 
Title 
Validation of Next Generation INVOS NIRS Cerebral and Tissue Oximeter 
to Measure Cerebral and Somatic Tissue Oxygen Saturation in Human 
Volunteers 
Clinical Study Type 
Interventional (premarket) 
Product Name 
An investigational next generation In-Vivo Optical Spectroscopy (INVOS) 
Near Infrared Spectroscopy (NIRS) system will be used in this study. 
The system includes production equivalent
 System 
(investigational preamplifiers, monitor, and associated cables) in 
conjunction with Adult sensor 
).   
The investigation NIRS system is similar in function and application to a 
currently cleared and marketed NIRS system – the INVOS 5100C. The 
INVOS 5100C is intended for use as an adjunct a monitor of regional 
hemoglobin oxygen saturation of blood in the brain or in other tissue 
beneath the sensor.  
Sponsor  
Medtronic, MITG, PMR 
Indication under 
investigation  
INVOS Indication for Use: 
The noninvasive INVOS Cerebral/Somatic Oximetry System is intended 
for use as an adjunct monitor of regional hemoglobin oxygen saturation 
of blood in the brain or in other tissue beneath the sensor. It is intended 
for use in individuals greater than 40 kilograms (kg).  
 
Sensor Indications for Use: 
The INVOS™ Adult rSO2 Sensor is indicated for single patient use when 
cerebral/somatic monitoring of site-specific regional oxygen saturation 
(rSO2) is required in patients weighing >40 kg. 
Investigation Purpose 
The purpose of the study is to provide data for validation of the next 
generation of the INVOS Oximeter. 
Product Status 
Investigational, Investigational Device Exemption (IDE) 
Primary Objective(s) 
The primary objective of the study is to validate that the production 
equivalent 
 System, in conjunction with Adult Sensors 
), meets product requirements for cerebral accuracy, 
cerebral trending accuracy, and somatic trending.  
Study Design 
This is a prospective data collection, non-randomized, single center 
study to validate the accuracy of the 
 System in conjunction with 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 11 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
Adult Sensors (
). This is achieved by comparing INVOS 
collected cerebral tissue oxygen saturation with a calculated value 
derived from simultaneous arterial and jugular venous blood samples. 
Next generation INVOS rSO2 trending performance will be compared to 
legacy INVOS rSO2 on the somatic site. 
 
Up to 50 healthy adult and transitional adolescent volunteers with a 
variety of skin pigmentation will be enrolled. The subjects will be 
distributed across both genders as equally as practical and a range of 
skin pigmentations, including at least 
darkly pigmented subjects or at 
least 
 of the subject pool.  
 
This study will be conducted in three phases: Enrollment Phase, 
Desaturation Phase, and Follow-up Phase. During Enrollment Phase, 
subjects will be screened and qualified subjects will be enrolled. After 
enrollment, during Desaturation Phase, ECG and pulse oximetry will be 
applied. Intravenous and radial artery catheters will be placed. The 
jugular venous bulb catheter will be placed in the right or left jugular 
venous bulb with ultrasound guidance, and its position will be confirmed 
with skull x-ray. Two investigational INVOS sensors will be placed 
bilaterally on the patient’s forehead and other sensors will be placed on 
somatic sites.  
The INVOS investigational device will be evaluated for a targeted range 
of 70-100% SpO2 levels. Hypoxic mixtures of gas are delivered and data 
are collected at approximately (~) 5-minute intervals during steady 
periods of increasing and decreasing oxygen concentration (for more 
details refer to Section 10).  
At each INVOS data collection point, blood samples are drawn 
simultaneously from both jugular bulb and the radial arterial catheters 
and analyzed for hemoglobin oxygen saturation using a co-oximeter.  
The subjects are monitored and the protocol is stopped if SpO2 values 
from a pulse oximeter reach 60%.  
Subjects are followed up within 48 hours after the procedure. 
Sample Size 
The subject population will include up to a total of 50 subjects.  
Inclusion/Exclusion 
Criteria 
Inclusion Criteria 
Each patient must meet the following criteria to be enrolled in the study: 
1. Healthy, male or female subjects between the ages of 18 to ≤46 
years; 
2. Completion of a health screening for a medical history by a 
licensed physician, nurse practitioner, or physician assistant;   
3. Minimum weight 40kg; 
4. BMI within range 18.0 - 30.0. 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 12 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
Exclusion Criteria 
Patients who meet any of the following criteria will be excluded from the 
study: 
1. Prior or known allergies to lidocaine (or similar pharmacologic 
agents, e.g., Novocain) [self-reported];  
2. Prior known severe allergies to medical grade adhesive/tape 
(Band-Aid) [self-reported]; 
3. Taking any medication other than birth control [self-reported];  
4. Is currently participating in, or has recently participated in 
(discontinued within 30 days prior to the hypoxia procedure for 
this study) in an investigational drug, device, or biologic study 
[self-reported];  
5. Has a negative Allen’s Test to confirm non-patency of the 
collateral artery [clinical assessment by PI or delegate];  
6. Has made a whole blood donation or has had at least 450 ml of 
blood drawn within 8 weeks prior to the study procedure [self-
reported];  
7. Is female with a positive pregnancy test [serum or urine], or is 
female and is unwilling to use effective birth control between 
the time of screening and study procedure or is breastfeeding;  
8. Has anemia [lab values specific for gender]; 
9. Has a history of sickle cell trait or thalassemia [self-reported];  
10. Has an abnormal hemoglobin electrophoresis test [lab 
measurement]; 
11. Has a positive urine cotinine test or urine drug screen or oral 
ethanol test [Point of Care (POC) testing]; 
12. Has a room air saturation less than 95% by pulse oximetry 
[measurement by PI or delegate]; 
13. Has a clinically significant abnormal ECG [assessment by PI or 
delegate]; 
14. Has  a clinically significant abnormal pulmonary function test via 
spirometry [assessment by PI or delegate]; 
15. Has a COHb greater than 3%, or MetHb greater than 2% 
[measured by venous blood sample co-oximetry]; 
Study Procedures and 
Assessments 
Subjects will undergo medical screening including a medical history, 
physical examination, spirometry, electrocardiogram (ECG) and blood 
draw, Complete Blood Count (CBC), hemoglobin electrophoresis and 
venous co-oximetry [to measure carboxyhemoglobin (COHb) & 
methemoglobin (MetHb)]). A urine sample will be tested for the 
presence of cotinine (nicotine metabolite) to exclude smokers. 
Demographics, skin pigmentation intensity and baseline readings from 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 13 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
current INVOS 5100C will be recorded. All subjects will have urine drug 
screen and alcohol breathalyzer tests. Female subjects will also have a 
urine pregnancy test done. Subjects who meet all of the inclusion and 
none of the exclusion criteria will be enrolled. Jugular bulb and arterial 
catheters will be inserted for each subject. Jugular bulb catheter will be 
placed under ultrasound guidance. The study device (sensors) will be 
placed on subjects. Subjects will complete controlled desaturation 
(targeted range 70%-100%) sequences with arterial and jugular blood 
sample collections. Subjects will be followed up within 48 hours after 
desaturation phase. For more details on procedures, refer to Section 10.   
Safety Assessments 
Medtronic believes that this study is a “non-significant risk” (NSR) study. 
Subjects will be monitored for Adverse Events, Serious Adverse Events, 
and Device-Related Adverse Events as noted in Risks and Benefits of 
Section 11.3. 
 Statistics 
The subject population will include up to a total of 50 subjects. The 
planned sample size was determined through a power-based analysis 
based on previously collected Jugular Bulb study data during the device 
development cycle, and will be documented in the Statistical Analysis 
Plan (SAP). The study size is pre-defined to enroll up to 50 subjects 
accounting for larger than anticipated screen failures and subject 
dropouts. 
Sample size was initially estimated by bootstrapping the historical data 
collected from two Jugular Bulb clinical studies performed at Duke 
University. Results of bootstrapping data was compared for different 
study sizes, subject based to minimize the likelihood of a reported 
performance statistic greater than the product specification, taking into 
account repeated measurements per subject.
 
 
 
  
Statistical analyses will be conducted by Medtronic or its designee as 
outlined in the Statistical Analysis Plan (SAP). Any changes in statistical 
methods will be detailed in the SAP. 
Briefly, standard demographic information and baseline characteristics 
data will be summarized using descriptive statistics. 
For safety assessments, adverse events (AEs) will be summarized using 
frequency counts and percentages. Descriptive statistics will be provided 
by severity and relationship. 
Individual listings of adverse events, including event type, start date, 
duration, severity, and device-relatedness will be provided as 
appropriate. The safety analysis will be based on all patients participated 
in the study. 
The effectiveness analysis will be based on all evaluable data from this 
study. A per protocol analysis will be performed based on all subjects 
who are compliant with the study protocol, i.e. who provide valid 
informed consents and do not experience any major protocol deviations 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 14 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
and completed desaturation phase.  
INVOS rSO2 values will be compared to the calculated global field 
saturation of brain tissue (25% arterial saturation + 75% jugular venous 
saturation). The arithmetic root mean square (ARMS), bias, and standard 
deviation will be calculated for both individual and pooled data. 
Pearson linear correlation coefficient will present the strength of the 
linear correlation between fSO2 and rSO2. Bland-Altman analysis will 
assess agreement between rSO2 and fsO2 with multiple observations 
per individual. Any deviations from the original statistical plan will be 
justified and documented appropriately. 

 
056-F275, Version 2.0 
Global Form 
Clinical Investigation Plan Template  
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
   
   
 
 
 
5 Introduction  
5.1 
Background  
Cerebral oximeters estimate continuous, non-invasive cerebral oxygenation, values using near-infrared 
spectroscopy (NIRS) technology. An oximeter setup consists of a single patient use sensor, preamplifiers, 
and a display unit. The oximeters can support up to four sensors. The sensors have an adhesive pad that 
can be placed on the forehead and a cable that connects the sensors to the preamplifier. The pad 
contains a light source and light detectors. [1] The light source emits light in the near infrared range (724 
and 850 nm) that penetrates the skull and cerebrum, and the detector detects the light not absorbed 
during the light pathway through the skull and cerebrum. The preamplifier receives the light signal from 
the sensor and converts it to an electrical signal for future processing. The amount of oxygen present in 
the brain is a function of the difference between the amount of light emitted and collected by the sensor, 
which is projected by the percentage of oxygen displayed on the monitor screen as a number and a trend 
of changes in percentage oxygen.  
 
The In-Vivo Optical Spectroscopy (INVOS) system is used non-invasively to continuously monitor regional 
hemoglobin oxygen saturation (rSO2 index) of blood in the brain. The appropriate clinical testing to 
develop and advance the ability of the device to perform its intended function is considered to be a 
controlled desaturation in volunteer subjects. rSO2 is a measure of the combination of arterial and venous 
blood oxygen in the brain. The study is designed to evaluate the ability of the next generation INVOS 
(NIRS) system to monitor rSO2 in comparison against known reference methods, namely blood sample 
analysis by a co-oximeter. Since the majority of blood volume in the brain is venous blood, rSO2 can be 
expected to change when there is a change in the relative balance between oxygen delivery and oxygen 
consumption. This clinical testing has been designed to evaluate the ability of INVOS to measure trends 
in rSO2 during periods of controlled hypoxia and during periods of known hypercarbia. Such situations 
create a change in the availability of oxygen in the brain. Previous hypoxia studies [2, 3] have compared 
the rSO2 as reported by the INVOS to the "field" saturation (fSO2) calculated from arterial and jugular 
venous blood oxygen saturation measurements, based on the assumption that cerebral tissue contains 
arterial and venous blood in a given ratio at different levels of arterial oxygen saturation and different 
levels of inspired CO2. Increases or decreases in End-tidal Carbon Dioxide (EtCO2) will create events that 
occur primarily in the brain. These increases or decreases can be created by changing inspired CO2 levels 
to cause an increase in cerebral blood flow of approximately 3% for every 1 mmHg change in EtCO2 
without an associated change in the blood flow of the extra cerebral tissues. This will allow comparisons 
and challenges the algorithm at various levels of cerebral blood flow (CBF) [4]. Based on the assumption 
that cerebral tissue contains arterial and venous blood in, for example, a 1:3 ratio, fSO2 is calculated as: 
fSO2 = (0.25 X SaO2) + (0.75 X SjvO2).  
5.2 
Purpose 
The purpose of the study is to provide data for validation of the next generation INVOS. Monitored 
physiological parameter data will be collected and analyzed to support validation, and data may be used 
for additional product development lines within Medtronic as needed. 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 16 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
6 Objectives and Endpoints 
6.1 
Objectives 
6.1.1 
Primary Objective(s) 
The primary objective of the study is to validate that the 
 
System in 
conjunction with Adult Sensors 
 meet product requirements for cerebral accuracy, cerebral 
trending accuracy, and somatic trending.  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
7 Study Design  
This is a prospective data collection, non-randomized, single center study to validate the accuracy of 
 System in conjunction with Adult Sensors 
). This is achieved by comparing INVOS 
collected cerebral tissue oxygen saturation with a calculated value derived from simultaneous arterial and 
jugular venous blood samples. 
 
Up to 50 healthy volunteers with a variety of skin pigmentation will be enrolled. The subjects will be 
distributed across both genders as equally as practical and a range of skin pigmentations, including at 
least 
darkly pigmented subjects or 
of the subject pool.  
 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 17 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
This study will be conducted in three phases: Enrollment Phase, Desaturation Phase, and Follow-up 
Phase (see Figure 1 and Figure 2). During Enrollment Phase, subjects will be screened and qualified 
subjects will be enrolled. After enrollment, during Desaturation Phase, ECG, and pulse oximetry will be 
applied. Intravenous and radial artery catheters will be placed. A jugular venous bulb catheter will be 
placed in either the right or left jugular venous bulb with ultrasound guidance, and its position will be 
confirmed with skull x-ray.  
 
Two investigational INVOS sensors will be placed bilaterally on the patient’s forehead and other sensors 
will be placed on somatic sites.  
The INVOS investigational device will be evaluated for a targeted range of 70-100% SpO2 levels. Hypoxic 
mixtures of gas will be delivered and data are collected at approximately (~) 5-minute intervals during 
steady periods of increasing and decreasing oxygen concentration (for more details refer to Section 10).  
At each INVOS data collection point, blood samples will be drawn simultaneously from both jugular bulb 
and the radial arterial catheters and analyzed for hemoglobin oxygen saturation using a co-oximeter.  
The subjects will be continuously monitored and the protocol will be stopped if SpO2 values from a pulse 
oximeter reach 60%.  
Subjects will be followed up within 48 hours after the procedure. 
7.1 
Duration 
The study duration is anticipated to take approximately six hours to complete both the Enrollment and 
the Study Visits. The Enrollment Visit should take approximately 2 hours to complete and the Study Visit 
should take approximately 4 hours to complete per subject. Each subject will be contacted by phone 
within 48 hours of the study participation. 
7.2 
Rationale  
The INVOS line of tissue oximeters is predominantly in clinical use due to its long presence in the market 
and a vast array of publications supporting its use. [5, 6] It is in the interest of the medical community to 
continue the development of enhanced tissue oximeters, with improved performance and a wider range 
of capabilities. To satisfy this interest, Medtronic is pursuing this study. The new INVOS system features 
investigational new sensors, monitors, preamplifiers, and associated cables. The study is designed to 
evaluate the ability of the next generation INVOS (NIRS) system to monitor rSO2 in comparison against 
known reference methods, namely blood sample analysis by a co-oximeter. 
8 Product Description 
8.1 
General 
An investigational NIRS system (next generation INVOS system) will be used in this study. The new 
INVOS system features investigational new sensors, monitors, preamplifiers, and associated cables. 
The investigation NIRS system is similar in function and application to a currently cleared and marketed 
NIRS system –INVOS™ 5100C system. The INVOS™ 5100C system is an adjunct, a non-invasive real-
time monitor of changes in regional oxygen saturation (rSO2) of blood in the brain or other body tissues 
beneath the sensor in adults, pediatrics, infants, and neonates.  

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 18 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
8.2 
Packaging 
The Sponsor is responsible for packaging and labeling of the device for shipment to the study site Device.  
Research conducted for this study will utilize investigational devices and devices cleared through the 
510(k) regulatory process. FDA cleared devices are being used within the FDA-cleared indications for use 
and do not require special labeling.  
Investigational devices used for research on humans in the United States are provided under the 
Investigational Device Exemption regulation (full or abbreviated), meaning there are no regulatory 
approvals in place for marketing the device (e.g., 510(k)), but the device will be labeled with the 
following: 
“CAUTION - Investigational Device. Limited by Federal (or the United States) Law to investigational use.” 
1 
It is the investigator’s responsibility to ensure the appropriate labeling is visible and remains intact 
throughout the life of the study. 
8.3 
Intended Population 
Healthy adult volunteers will be selected for this study. The investigational NIRS system will provide non-
invasive real-time monitoring of changes in regional oxygen saturation (rSO2) of blood in the brain or 
other body tissues beneath the sensor for effective oxygen monitoring in adults and transitional 
adolescents. 
8.4 
Equipment 
8.4.1 
Investigational New Generation INVOS  
An investigational next generation INVOS (NIRS) system will be used in this study. The investigational 
next generation INVOS is a production equivalent 
 System consisting of an investigational 
monitor, investigational preamplifiers, and associated cables in conjunction with investigational adult 
sensors 
).   
8.4.1.1 
Investigational Adult Sensor 
). 
Investigational Adult Sensors 
 will have the same principles of operation as production 
sensors but have mechanical changes such as a different number of emitters / detectors, and/or different 
spacing. Investigational sensors have the same risk profile as the production sensors.  
 
The Sensors are disposable transducers capable of producing and detecting optical data from the patient, 
converting that data into electrical signals and sending them to the INVOS System. They are applied to 
                                               
 
 
1 21CFR812.5 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 19 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
the forehead or somatic region via self-contained, medical-grade patient adhesive. Electrical signals from 
the detectors are sent through the shielded cable to the INVOS System for processing. 
8.4.1.2 
Investigational Preamplifiers 
Investigational preamplifiers used in this study have the same principle of operation as the currently 
marketed INVOS 5100C preamplifiers. The sensors are connected to the preamplifiers. The preamplifier 
processes the optical signals and synchronizes operation to enable simultaneous data collection from 
multiple sensors.  
8.4.1.3 
Investigational INVOS Monitor 
Investigational monitor will be used as a display system. 
 
 
 
   
8.4.2 
INVOS 5100C System  
The INVOS™ 5100C system (FDA cleared) will be used including monitor, preamplifier, and associated 
cables in conjunction with Adult Sensor SAFB-SM.  
8.4.3 
Other Study Materials (Sponsor) 
Additional equipment such as Pulse Oximetery (SpO2 sensors and N600x monitors), and a co-oximeter 
machine may be provided by the sponsor to the study site (if needed). 
The Data Collection tool is a data acquisition system (DAS) housed in a laptop connected to the INVOS 
systems and is used to harvest the raw data. 
8.4.4 
Other Study Materials (Site) 
Standard site monitoring equipment will be used and applied to the subjects, such as pulse oximeter(s), 
electrocardiography (ECG), capnography (with EtCO2), heart rate (HR), and continuous blood pressure.  
Arterial and jugular venous catheters will be used for arterial and jugular sampling, respectively.   
Blood will be processed immediately after sampling with co-oximeter. All parameters will be monitored 
electronically and may be recorded. 
8.5 
Product Use 
Complete instructions for using the INVOS systems and the DAS with data collection software will be 
communicated via the Instructions For Use (IFU) of the INVOS and the data collection instructions 
provided to the study at the Site Initiation Visit. 
8.6 
Product Training Requirements 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 20 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
Prior to investigation site activation or subsequent involvement in clinical study activities, Medtronic will 
provide clinical study training relevant and pertinent to the involvement of personnel conducting clinical 
study activities and investigator responsibilities. 
 
As a minimum, Investigators and coordinators will be trained on their responsibilities, the Clinical 
Investigation Plan (CIP), Informed Consent process, the use of data acquisition systems, and any 
applicable local regulations prior to enrollment of their first subject. Study-specific training will be 
documented prior to investigation site activation. 
 
The support and training of the site using the study product will be performed by employees of 
Medtronic. 
8.7 
Product Receipt and Tracking 
The investigator or designee will maintain records of investigational and non-investigation product 
delivery to the study site e.g. device shipping forms. 
8.8 
Product Storage 
The investigator will store the investigational product and any other devices, which are provided by the 
Sponsor for the sole purpose of conducting the study. The storage area should be locked/secure with 
access limited only to approved study staff. Devices should not be stored with standard clinical inventory.  
8.9 
Product Return 
8.9.1 
Return  
The Investigator will return all Medtronic provided unused and used investigational and non-
investigational equipment (e.g. monitors, pre-amplifiers, and etc.) and maintain documentation of return. 
All used investigational and non-investigational INVOS sensors will be returned to Medtronic. All other 
pulse oximeter (FDA cleared) sensors (e.g. Max-A) will be discarded per site’s institutional requirements. 
8.9.2 
 Recalls 
Medtronic will immediately inform investigators to cease the use of the recalled product and will arrange 
for the return of the recalled devices.  
8.10 Product Accountability  
The investigator will record/track use of the investigational and non-investigational devices for each 
subject. The investigator/site staff is responsible for maintaining accurate records: 
• 
Devices received (sponsor to investigator) will be tracked on device shipment form, 
• 
All used investigational and non-investigational devices (investigator to subject) will be tracked 
on the study provided electronic Case Report Forms (eCRFs), 
• 
Devices returned/discarded (investigator to sponsor) will be tracked on return forms. 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 21 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
The site monitor will verify accountability of the study devices during routine monitoring visits to the site. 
9 Selection of Subjects 
9.1 
Study Population 
Up to 50 healthy volunteers will be selected for this study. The subjects will be distributed across both 
genders as equally as practical and a range of skin pigmentations, including at least  darkly pigmented 
subjects or at least 
 of the subject pool.  
9.2 
Subject Enrollment 
Subjects will be enrolled in the study once all eligibility requirements for the study have been met. 
Subjects who give informed consent for the protocol in order to undergo eligibility screening for will not 
be considered enrolled until the screening is completed as indicated in Section 10 and they are 
determined to meet all eligibility criteria. Study enrollment will be accomplished by successful completion 
of the study inclusion /exclusion criteria and screening evaluation. 
The Enrollment Phase Visit 1 and its results will stay effective for 60 days.  
9.3 
Inclusion Criteria 
Each patient must meet the following criteria to be enrolled in the study: 
1. Healthy, male or female subjects between the ages of 18 to 46 years; 
2. Completion of a health screening for a medical history by a licensed physician, nurse practitioner, 
or physician assistant;   
3. Minimum weight 40kg; 
4. BMI within range 18.0 - 30.0. 
9.4 
Exclusion Criteria 
Patients who meet any of the following criteria will be excluded from the study: 
1. Prior or known allergies to lidocaine (or similar pharmacologic agents, e.g., Novocain) [self-
reported];  
2. Prior known severe allergies to medical grade adhesive/tape (Band-Aid) [self-reported]; 
3. Taking any medication other than birth control[self-reported];  
4. Is currently participating in, or has recently participated in (discontinued within 30 days prior to 
the hypoxia procedure for this study) in an investigational drug, device, or biologic study [self-
reported];  
5. Has a negative Allen’s Test to confirm non-patency of the collateral artery [clinical assessment by 
PI or delegate];  
6. Has made a whole blood donation or has had at least 450 ml of blood drawn within 8 weeks prior 
to the study procedure [self-reported];  

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 22 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
7. Is female with a positive pregnancy test [serum or urine], or is female and is unwilling to use 
effective birth control between the time of screening and study procedure or is breastfeeding;  
8. Has anemia [lab values specific for gender]; 
9. Has a history of sickle cell trait or thalassemia [self-reported];  
10. Has an abnormal hemoglobin electrophoresis test [lab measurement]; 
11. Has a positive urine cotinine test or urine drug screen or oral ethanol test; 
12. Has a room air saturation less than 95% by pulse oximetry [measurement by PI or delegate] 
13. Has a clinically significant abnormal EKG [assessment by PI or delegate];  
14. Has a clinically significant abnormal pulmonary function test via spirometry [assessment by PI or 
delegate]; 
15. Has a COHb greater than 3%, or MetHb greater than 2% [measured by venous blood sample co-
oximetry]. 
10 Study Procedures  
The study consists of three phases: Enrollment Phase, Desaturation Phase, and Follow-up Phase (see 
Figure 1 and Figure 2). The associated activities of each phase will be completed during Visits 1 – 2 and 
Follow-up. 
REDCap Survey:
PRE-SCREENING #
Visit 1:  ICF signed:
ENROLLMENT 
Visit 2A
Visit 2B:
Enrollment Pass
STUDY #
Follow up        
Phone call
Study Complete
Enrollment Fail
Study Incomplete
Enrollment Fail
Study Withdrawal
Enrollment 
Withdrawal
Enrollment 
Withdrawal
 
Figure 1: Study Flow Diagram 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 23 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
10.1 Schedule of Events 
The Schedule of Events (Table 1) summarizes the intervals and data collection procedures. Clinical data 
will be entered electronically into secure systems (EDC, Oracle Clinical); Enrollment, Baseline 
Assessments, Adverse Events, Protocol Deviations, and Device Deficiencies will be collected through 
eCRF.  
Table 1: Schedule of Events 
 
Pre-
Screening 
Enrollment Phase Desaturation 
Phase 
Follow-up 
Phase 
Visit 1 
Visit 2A 
Visit 2B 
Phone 
call 
Informed Consent 1 
 
x 
 
 
 
Inclusion/exclusion 
 
x 
x 
 
 
Demographics 
x 
x 
 
 
 
Medical History  
x 
x 
x 
 
 
Physical Exam including vitals 2 
 
x 
 
 
 
INVOS 5100C reading3 
 
x 
 
 
 
Pulmonary function test4  
 
x 
 
 
 
A single 12-lead ECG 
 
x 
 
 
 
Skin tone 5 
 
x 
 
 
 
Blood pressure, Heart Rate 6 
 
x 
 
x 
 
ASA physical status and Allen’s Test 
 
x 
 
 
 
ROBD Mild Hypoxia Exposure 
 
x 
 
 
 
Jugular bulb and arterial catheters7 
 
 
 
x 
 
Two investigational sensors placed on the 
forehead 8 
 
 
 
x 
 
Two (investigational and legacy) sensors 
placed on somatic sites 9 
 
 
 
x 
 
Sensor placement images 10 
 
 
 
x 
 
ECG monitoring 
 
 
 
x 
 
Breathe a gas mixture of O2/N2/CO2 steps 
(#1-18) 11 
 
 
 
x 
 
Study Blood Draws 12 
 
 
 
x 
 
Adverse Event Assessment 13  
 
x 
x 
x 
x 
Concomitant Medications 
 
x 
x 
x 
x 
Laboratory Assessment 14 
 
 
 
 
 
CBC  
 
x 
 
 
 
Hemoglobin electrophoresis 15  
 
x 
 
 
 
Venous co-oximetry 16 
 
x 
 
 
 
Urine cotinine test 
 
x 
x 
 
 
Serum Pregnancy Test (Female) 
 
x 
 
 
 
Urine drug screen  
 
x 
x 
 
 
Alcohol breathalyzer (Oral Ethanol) tests 
 
 
x 
 
 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 24 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
 
Pre-
Screening 
Enrollment Phase Desaturation 
Phase 
Follow-up 
Phase 
Visit 1 
Visit 2A 
Visit 2B 
Phone 
call 
Urine pregnancy test (Female) 
 
 
x 
 
 
Participant stipend 17 
 
x 
x 
x 
 
Follow up 
 
 
 
 
 
Phone call within 48 hrs 18 
 
 
 
 
x 
1) Written informed consent must be obtained prior to any study-specific evaluations. After 
successful completion of the screening survey and survey review by study staff, qualified subjects 
will be invited to attend Visit 1 to complete the ICF. 
2) Physical Exam will be performed during the enrollment phase, Visit 1. It will include subject’s 
heart rate, sitting blood pressure, respiration, height, weight, and body mass index.  
3) Baseline readings will be collected from the forehead with one or two sensors using the 510k 
cleared INVOS 5100C.  
4) Pulmonary function test (PFT) assessment via spirometry. 
5) Subject’s Skin tone will be evaluated and recorded (e.g. light, medium, and dark) will be 
evaluated and recorded on provided study eCRFs.  
6) Blood pressure (BP) and Heart rate (HR) will be recorded at enrollment visit 1. BP and HR 
continuously will be monitored during desaturation phase. 
7) Jugular bulb and arterial catheters will be inserted for each subject. Jugular bulb catheter will be 
placed under ultrasound guidance and placement will be verified with a single lateral skull x-ray.  
The tip of the jugular catheter should be positioned cephalad to the inferior border of the first 
cervical vertebrae (C1) to minimize the risk of jugular venous blood mixing with extra-cranial 
effluent venous drain. Side and location of the catheters will be recorded in the study provided 
eCRFs. 
8) Two investigational NIRS sensors will be placed on the forehead.  
9) Two sensors (investigational and legacy) will be placed on somatic site (e.g. calf) of the subjects.  
10) De-identified images may be taken on the locations before and after sensor application(s).  
11) Each subject will complete a series of Desaturation Sequence steps (#1-18) with incremental 
reduction/increase of SpO2 to target ranges between 70-100%. Each subject will complete three 
Desaturation Sequences (
 For more details, refer to Section 10.5. 
12)  The arterial (SaO2) and venous (SjvO2) blood draws will be repeated to target two paired 
samples per step. A total of 
 paired arterial and venous draws (pair = 1 jugular: 1 arterial) will 
be collected during the study. The jugular sample will be drawn approximately over a period of 
seconds (
). For more details, refer to Section 10.5. 
13) Information will be collected throughout the study with starting Visit 1, Enrollment Phase and 
through Follow-up Phase. Adverse Event assessment for the purposes of this study will cease 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 25 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
RE00056085     Rev B   15 MAR 2017 
RC053246 
 
after follow-up phone call within 48 hours after desaturation visit. All Adverse Events, regardless 
of relatedness or outcome, must be reported. For more details, refer to Section 12. 
14) The local laboratory will be used for all laboratory assessments.  
15) Hemoglobin electrophoresis is used to identify variant and abnormal hemoglobin. 
16) Venous co-oximetry to measure carboxyhemoglobin (COHb) and methemoglobin (MetH) 
17) The subject will be paid 
.  
18) Each subject will be contacted by phone within 48 hours of the study participation. Any AEs will 
be recorded. 
Sponsor representatives may be available at the site as needed to assist with data acquisition systems.  
10.2 Subject Screening  
Prior to the Enrollment Phase, interested subjects will complete an online REDCap screening survey and 
have the opportunity to review the Informed Consent Forms (ICFs). After successful completion of the 
screening survey, the study staff will review the survey and qualified subjects will be invited to attend 
study Visit 1.   
10.3 Subject Consent 
Informed consent must be obtained before a subject is enrolled in the study and/or before any study-
specific procedures are initiated. Well in advance of the consent discussion, the subject will receive 
electronic copies of the IRB approved Patient Information and Informed Consent Form (ICF) for personal 
review. 
Prior to the Enrollment Phase, potential subjects will complete an online screening survey and have the 
opportunity to review the study ICFs. After successful completion of the screening survey, the study staff 
will review the survey and qualified subjects will be invited to attend study visit to complete the ICF. 
During the study visit, the Investigator or designee will inform the prospective subjects on the study 
procedures, the expected and unknown risks and possible benefits, and explain the consenting process 
and answer all subject questions and concerns. The subject interested in the study will be asked to sign 
and date the ICF.  
The signed original informed consents will be maintained in the investigator’s records, and an electronic 
or paper copy of each ICF will be given to the subject.  
If the ICF is amended/updated throughout the life-cycle of the study, study subjects may be asked to re-
consent by reviewing, signing, and personally dating the updated ICF. If the ICF is updated, subjects who 
are still receiving treatment will be re-consented at the direction of the IRB. 
10.4 Enrollment Phase  
Enrollment phase includes Visit 1 and Visit 2A (Figure 2).  
 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 26 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
Enrollment
Desaturation
Follow Up
Visit 
2A
Visit 2B
Phone call
Visit 1
PHASES
VISITS
 
Figure 2: Study Phase Diagram 
10.4.1  Visit 1 
Once ICF is signed, the following will be performed: 
• 
Demographics (gender, race, ethnicity); 
• 
Skin tone will be evaluated and recorded (for example light, medium, and dark);  
• 
Medical History including known allergies to lidocaine or medical adhesive; 
• 
Concomitant Medications including the history of prescription and over the counter medication will be 
carefully noted and recorded. Medication name, indication for use, dose, frequency, route of 
administration start/stop date; 
• 
Physical examination including an evaluation of general appearance, cardiovascular, respiratory 
musculoskeletal system, skin, neurologic function, and head, eyes, ears, nose and throat; 
• 
Vital signs - height, weight, calculated body mass index (BMI) and temperature will be recorded at 
visit 1 only. Heart Rate, Systolic & Diastolic Blood Pressures, Respiratory Rate and Oxygen Saturation 
(SpO2) will be recorded at visit 1 and during the Desaturation Phase;   
• 
The American Society of Anesthesiologist (ASA) physical status classification system is used to 
evaluate the degree of a patient's "sickness" or "physical state.” Only subjects with ASA Physical 
status 1 will be enrolled;  
• 
Pulmonary function test (PFT) assessment via spirometry and a single 12-lead ECG are to be 
completed at screening;   
• 
Blood samples analyzed for:  
- 
CBC – (hemoglobin and red blood cell (RBC)); 
- 
Serum human chorionic gonadotropin level for pregnancy in women of childbearing potential;  
- 
Hemoglobin electrophoresis is used to identify variant and abnormal hemoglobin; 
- 
Venous co-oximetry to measure carboxyhemoglobin (COHb) and methemoglobin (MetH); 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 27 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
• 
Urine sample will be tested for the presence of cotinine (nicotine metabolite) to exclude smokers; 
• 
Urine drug screen will be performed to test for the presence of drugs such as opiates, 
benzodiazepines, marijuana, amphetamines, and barbiturates; 
• 
Female subjects will have to attest to birth control methods between Visit 1 and Visit 2 A 
(desaturation phase);  
• 
Allen’s Test will be performed to confirm patency of the collateral artery. The following information 
will be evaluated Hand Dominance, Right Radial, Right Ulnar, Left Radial, Left Ulnar;  
• 
Baseline readings (rSO2) from current INVOS 5100C will be recorded from the forehead with one or 
two sensors (left and right);  
• 
Gas and facemask test: 
- 
A clear plastic tight-fitting facemask connected to Reduced Oxygen Breathing Device 
[ROBD] (gas mixer) breathing circuit will be placed on the subject. 
- 
A pulse oximeter will be placed on subject’s finger to monitor the oxygen saturation.  
- 
The subject will be asked to breathe 21% oxygen (room air) for 2 minutes followed by 
15% oxygen for 2 minutes to determine the subject’s suitability to breathe a mildly 
hypoxic gas mixture through a facemask. 
• 
The Enrollment Phase Visit 1 and its results will stay effective for 60 days.  
10.4.2 Visit 2A (Study Day) 
• 
On the study day, subjects will arrive at the clinical research unit with appropriate fluid and solid 
intake as directed by study staff.  
• 
Any significant change in health status since Visit 1 will be recorded. 
• 
Concomitant Medications: All subjects will have urine drug screen and alcohol breathalyzer (Oral 
Ethanol) tests done.  
• 
Female subjects will also have a urine pregnancy test done. 
• 
Inclusion and Exclusion Criteria will be reviewed. 
• 
Enrollment Pass is based upon successful meeting all of inclusion and none of exclusion criteria 
during Visits 1 and 2A. 
10.5 Desaturation Phase (Study Day) 
10.5.1 Visit 2B (Study Day) 
After Enrollment Pass is received, subjects will enter the Desaturation Phase:  
• 
Jugular vein bulb and arterial catheters will be inserted for each subject. Jugular vein bulb catheter 
will be placed under ultrasound guidance and catheter tip placement will be verified with a single 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 28 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
lateral skull x-ray. Ideally, the tip of the jugular catheter should be positioned cephalad to the inferior 
border of the first cervical vertebrae (C1) to minimize the risk of jugular venous blood mixing with 
extra-cranial effluent venous drain. 
• 
Intravenous access will be established for maintenance hydration and drug administration (if 
needed).   
• 
ECG electrodes will be placed on subject’s chest, arms, and feet. Areas, where electrodes will be 
placed may be shaved as needed.  
• 
Two or more pulse oximeters will be placed on fingers to monitor the amount of oxygen in the blood. 
• 
A blood pressure cuff (ccNexfin) will be placed on one finger to measure the non-invasive blood 
pressure continuously.  
• 
Two investigational (Adult sensor 
) sensors will be placed bilaterally on the forehead. 
Forehead skin where sensors will be applied is cleaned. Sensors will be connected to investigational 
next generation INVOS system.  
• 
Two sensors (investigation Adult sensor 
 and legacy SAFB-SM) will be placed on 
somatic sites (e.g. calf) of the subjects. Areas where sensors will be placed may be shaved as 
needed. Both sensors will be connected to 
 preamplifiers, which will be 
connected to investigational next generation and Legacy INVOS 5100C monitors. 
• 
De-identified images may be taken on the locations before and after sensor application.  
• 
Subjects will be asked to breathe a gas mixture of O2/N2/CO2 with a tight fitting mask using a closed-
looped gas delivery system or alternative method allowing the control of CO2 blood levels at 
normocapnia (subject specific normal value of ~ 40 mmHg) and at different desired CO2 levels. Each 
subject will complete a series of steps (#1-18) with incremental reduction/increase of SpO2 to target 
ranges between 70-100%. Each subject will complete at least one of three Desaturation Sequences  
(Figure 3). Completion all three Sequences are desirable. Please refer to Section 10.10 
• 
Each desaturation sequence step will last approximately 2 to 6 minutes. All three Desaturation 
Sequences are presented in Figure 3 below:  
o Sequence #1: steps # 1-8 
o Sequence #2: steps # 9-13 
o Sequence #3: steps # 14-18
 
• 
The first two desaturation sequences are conducted in subject specific normocapnia and the third 
desaturation sequence will be conducted under 
.  
• 
 
 
 
 
 
 
 
 
• 
Modifications to the hypoxia sequence for patient safety will be left to the judgment of the 
Principal Investigator.  

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 29 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
 
 
• 
Study Blood Draws: 
o 
At each plateau, after ~ 
minutes wait time (stability period) and extended wait time ~  
minutes for return to room air and 100% oxygen saturation steps, two paired 
(simultaneously drawn) jugular bulb vein and arterial blood samples are drawn (
 
Draw waste or leader blood samples prior to the draw of paired blood samples may be used 
to ensure the accuracy of blood samples. 
o 
Co-oximetry is used to determine the jugular venous saturation (SjvO2) and arterial 
saturation (SaO2). Each blood sample will be analyzed multiple times or using multiple co-
oximeter machines. Blood samples will be averaged to provide one SjvO2 and one SaO2 value 
for each paired draw at that plateau. Blood samples are analyzed in real-time and results 
from the co-oximeters will be stored electronically.  
o 
Co-oximetry raw data (co-oximeter blood oximetry results and the time of analysis) will be 
provided to Medtronic. 
 
 
 
  
o 
The jugular sample will be drawn approximately over a period of
 (targeting rate 
of
.) 
o 
The arterial sample will be drawn at approximately the midpoint of the jugular bulb draw.  
o 
Each blood draw (either venous or arterial) is approximately 1.5 ml, totaling approximately  
ml per paired sample (pair = 1 jugular plus 1 arterial).  
o 
With a target of two paired samples per plateau step, a total of 
 paired arterial and venous 
draws may be collected during the study. Total blood draw during the study is estimated to 
be 
 If less than the targeted 
 pairs of blood samples are collected, it will 
not be considered a protocol deviation.  
After the procedure: 
• 
The breathing circuit will be disconnected and the subject will be monitored by the clinical staff until 
normal baseline levels are attained.  
• 
All equipment will be removed from the subject. 
• 
A copy of the IRB-approved site’s discharge instructions will be provided to the subject. 
 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 30 of 46 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 31 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
 
   
10.6 Follow-up Phase 
10.6.1  Phone Call 
Each subject will be contacted by phone within 48 hours after completion of desaturation phase to 
perform a safety assessment. The safety assessment will include asking the subject the following 
questions: 
• 
Have you had any medical problems since your discharge from the clinical research unit? 
• 
Have you taken any medications (either prescribed or self-medicated) since discharge from the 
clinical research unit? 
For more details on AE, refer to Section 12. 
10.7 Assessment of Safety 
Safety analysis will be performed on all participants who will have the NIRS sensors placed on the 
forehead or any sensor placed on somatic sites. Methods and timing for assessing, recording, and 
analyzing safety parameters, including adverse events are described in Section 12 and Section 14. 
10.8 Recording Data 
10.8.1 Source Documents 
The investigator will clearly mark the clinical records to indicate that the subject is enrolled in this clinical 
study. 
Subject’s medical record will be used as part of source documents. Source documents are all information, 
original records of clinical findings, observations, or other activities in a clinical trial necessary for the 
reconstruction and evaluation of the trial. Source data are contained in source documents. Adequate 
original records will be maintained for the study. Examples of these original documents and data records 
include: ICF, all events, hospital records, clinical and office charts, laboratory notes, memoranda, 
evaluation checklists, device dispensing records, collected records, copies or transcriptions certified after 
verification as being accurate and complete, radiology files (ultrasounds, X-rays), informed consent form, 
and records kept at the laboratories and at medical-technical departments involved in the clinical trial.  
In order to accurately collect all study data, worksheets/ forms may be developed for study specific data 
not found in the medical records and will be considered as the source document for these data points. 
The device (investigational and non-investigational) use (disposition) for the individual subject during this 
trial will be recorded directly on the study provided eCRF page and will be considered as source data. The 
copy of device disposition eCRF page will be printed and left at the site as the source document.   

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 32 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
10.8.2 Case Report Forms 
The electronic Case Report Forms (eCRFs) will be utilized for participants enrolled in the study. The 
appropriate eCRF will be completed by the site within a target of 5 business days after each study 
examination. All data requested on the eCRF must be recorded or the entry will be queried.   
The investigator must ensure accuracy, completeness, and timeliness of the data reported in the eCRFs 
and in all other required reports. Data reported on the eCRFs, which are derived from source documents, 
such as patient medical records, must be consistent with the source documents or the discrepancies need 
to be justified in a documented rationale, signed and dated by the Principal Investigator (PI), to be filed 
in the subject file.  
 
Training will be provided to site personnel on the use of data collection tools. The final version of eCRFs 
will be provided to the investigation sites when the investigational site has been declared ready for the 
study. 
 
All clinical data generated in the study will be submitted to Medtronic for quality assurance review and 
statistical analysis. All eCRFs will be reviewed for completeness and evident errors. Questions or queries 
will be resolved by contact with the clinical sites.  
 
Sponsor study personnel will review collected data and create data queries for missing data that impacts 
data analysis. Queries will be sent to the investigator or appropriate support staff for resolution.  
10.9 Deviation Handling 
10.9.1 Deviations 
The investigator is required to conduct this study in accordance with the protocol, Good Clinical Practice 
(GCP), Institutional Review Board (IRB) requirements, and applicable regulations. 
A study deviation is defined as an event when the investigator or site personnel did not conduct the study 
according to the protocol or the clinical trial agreement. 
The investigator is required to obtain prior approval from the sponsor and IRB before initiating deviations 
from the study protocol, except where necessary to protect the life or physical well-being of a subject in 
an emergency. Such approval will be documented in writing and maintained in the study investigator 
files.  
Major deviations are defined as deviations with respect to: 
• 
Patient informed consent procedure; 
• 
Patient eligibility criteria; 
• 
Study data collection and reporting; 
• 
Serious Adverse Event /Serious Adverse Device Effect /Unanticipated Adverse Device Effect 
/Unanticipated Serious Adverse Device Effect reporting (for reporting refer to Section 12). 
All deviations and reasons to deviate from the study protocol must be reported to the Sponsor as soon as 
a possible, but no later than 5 working days of the protocol deviation. 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 33 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
The Principal Investigator is responsible for reporting the protocol deviation in accordance with the 
policies and procedures established by the IRB. 
10.9.2 Informed Consent  
If an investigator uses a device without obtaining informed consent, the investigator shall report such use 
to the sponsor and the reviewing IRB within 5 working days after the use occurs.  
The sponsor shall submit to FDA a copy of any report by an investigator of use of a device without 
obtaining informed consent, within 5 working days of receipt of notice of such use.  
10.10 Subject Withdrawal or Discontinuation  
Subjects may withdraw from the study at any time and for any reason. If a subject officially withdraws 
from the study, the reason for withdrawal will be documented. 
Possible reasons for withdrawn from the study are: 
• 
Subject withdrew consent; 
• 
Investigator withdrew subject from the study for medical reasons; 
• 
Investigator withdrew subject from the study due to failure to maintain adequate compliance; 
• 
Investigator withdrew subject from the study due to inclusion/exclusion criteria not met. 
• 
Investigator withdrew subject from the study due to an inability to establish arterial and/or 
jugular lines.  
• 
Investigator withdrew subject from the study due to the occurrence of slurred speech, confusion, 
somnolence, fainting, or other alteration of the mental status of the subject. 
Following terms are used for withdrawal and completion: 
• 
Enrollment Withdrawal: Removal from study prior to Desaturation Phase; initiated by either by 
subject, sponsor or PI (Visits 1 or 2A); 
• 
Study Withdrawal: Removal from the study after Enrollment Pass;  
• 
Study Incomplete: Completion of some study related activities by the subject in Visit 2B; 
• 
Study complete: Completion of all study related activity by the subject in Visits 1 and 2, and 
Follow-up phone call. Desaturation Phase, Visit 2B, is considered complete if Sequence #1 or #2 
are completed. Completion of all Sequences #1, #2, and #3 are desirable, but not considered 
incomplete, should subjects withdraw for any reason;  
• 
Lost to follow up: Subjects lost to follow-up will be documented. The investigator should make 
every attempt to contact the subject to have the subject complete the follow-up phone call within 
48 hours or to determine the occurrence/resolution of adverse events (if any). 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 34 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
11 Risks and Benefits 
11.1 Potential Risks 
Risks to participation are primarily physical. There are no social, economic, legal, long-term psychological 
or other risks that have been identified. Risks under this protocol relate to both study devices and study 
procedures. We believe that the risks from the device(s) are in keeping with the definition of non-
significant risk devices (NSR) (See Section 11.3). Further, the devices in this study are non-invasive and 
the clinical protocol design is minimal risk to the subject. No treatment or treatment decisions will be 
made during the course of this study. Following is a list detailing potential risks from study devices and 
the clinical protocol.   
11.1.1 Investigational Devices  
11.1.1.1 
Sensors/ Preamplifiers/ Monitor 
 
 
 
 
 
 
  
 
  
 
 
 
 
 
 
 
 
11.1.2 Clinical Protocol/ Procedural Risks 
11.1.2.1 
Arterial and Jugular Bulb Catheters  
Complications of jugular bulb catheter insertion/monitoring are uncommon and usually related to catheter 
insertion. Placement of an arterial or venous catheter is often uncomfortable, even with local anesthesia.  
The risks common to arterial and venous catheter placement are those associated with any vascular 
catheter. These include pain, bleeding, hematoma, infection, thrombosis and embolism. Complications 
with internal jugular bulb catheterization include carotid artery puncture, pneumothorax, nerve injury, 
infection, thrombosis [4] hemomediastinum, hydromediastinum, hydrothorax, and vessel 
perforation/damage and catheter embolism. The insertion complications will be reduced by inserting the 
catheter under ultrasound guidance. In the case of accidental arterial puncture, local pressure will be 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 35 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
applied to the site. Drawing of the venous sample will be done under careful slow draw to avoid 
collapsing of the jugular bulb structure.  
Radial arterial cannulation is used often in appropriate patients during clinical care. Major complications 
rates are rare and <1%. [7] Complications of arterial catheters include trauma at the insertion site, 
catheter-related difficulties, bleeding, and hematomas. More severe complications, which occur less 
frequently include phlebitis, infection, sepsis, radial artery aneurysm, thrombosis, abscess formation, 
cellulitis, paralysis of the median nerve, air embolism, compartment syndrome, carpal tunnel syndrome, 
occlusion with local and distal ischemia and loss of hand. The use of an aseptic cannulation technique 
performed by clinicians who have extensive experience and the short duration of catheterization will 
minimize these risks. Subjects are counselled to avoid strenuous wrist activity after removal of the 
catheter to minimize for hematoma formation and bruising.   
11.1.2.2 
Desaturation 
Scientific literature suggests that hypoxia to 50% saturation and even lower, has been experienced or 
induced in healthy volunteers for short periods of time without serious adverse effects. [8-11] The risks 
of breathing increased levels of oxygen for short period of time has no associated risks. The risk of 
breathing decreased levels of oxygen in the study is minimal. The lower level of oxygenation attained are 
comparable to those attained at high altitude (up to about 17,000 feet), but are well within the tolerance 
of normal volunteers for short-term exposure. Subjects are counselled that they may discontinue 
breathing from the facemask or mouthpiece at any time they feel discomfort. The subjects 
“cardiorespiratory” parameters are monitored continuously during the study. 
Controlled desaturation is part of a standard required for pulse oximetry validation.   
In the event that any of the above mentioned risks should occur despite the intensive monitoring of 
subjects that takes place during the study, there is always a licensed board certified anesthesiologist 
present during the study.  
11.1.2.3 
X-Ray 
Skull x-ray is taken to confirm catheter tip position. X-rays are monitored and regulated to provide the 
minimum amount of radiation exposure needed to produce the image. The radiation exposure from this 
research is about 0.1 microsievert (mSv). [12] There is radiation that naturally occurs from space and 
from rocks in the soil. This natural radiation is greater at higher altitudes. The total amount of radiation is 
the same as a person would get from living in a high altitude city such as Denver for 4 weeks, or taking 8 
airplane flights from New York to Los Angeles. 
A possible health problem seen with radiation exposure is the development of cancer later in life. This 
extra cancer risk is higher at younger ages and for girls and women. The extra lifetime risk of dying of 
fatal cancer due to the radiation exposure from this research may range from about one in 70,000 to 
about one in 30,000. At such low radiation exposures, scientists disagree about the amount of risk. These 
estimates are very uncertain, and there may be no extra risk at all.  
When compared this possible extra cancer risk to other risks (over a lifetime) that everyone is subject to 
in everyday life. For example, the chances of a person dying of cancer with no extra radiation exposure 
are about one in 4. The chances of dying in a car crash are about one in 82, and the chances of being 
killed by a car while crossing the street are about one in 730. [10]  
11.1.2.4 
 
 
 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 36 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
H
 
 
 
 
 
 
 
 
 
11.2 Potential Benefits 
There are no medical benefits to the subjects who participate in this study. There is, however, the 
potential for benefiting future patients should this study enable the development of improved medical 
monitoring devices. 
11.3 Risk-Benefit Rationale 
 
 
 
 
  
 
 
  
 
 
 
  
 
 
 
 
 
 
  
 
 
 
                                               
 
 
2 21CFR812.2 (b)(1)(ii) and 21CFR812.3(m) 
3 Information Sheet Guidance For IRB, Clinical Investigators, and Sponsor. Significant Risk and Nonsignificant Risk Medical Device Studies/  
January 2006/UMC126418 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 37 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
 
 
11.4 Factors that may Compromise the Study Outcome Data 
The study outcome may be compromised by a misplaced or dislodged jugular vein catheter. To minimize 
this possibility, the catheter will be inserted by a clinician with experience of jugular venous catheter 
placement. Placement will be guided by ultrasonography and the position of the catheter tip will be 
confirmed by lateral skull x-ray.  
 
 
  
12 Adverse Event Assessments 
12.1 Definitions/Classifications 
• 
Adverse Events (AE): Any untoward medical occurrence, unintended disease or injury, or untoward 
clinical signs (including abnormal laboratory findings) in subjects, users or other persons, whether or 
not related to the investigational medical device. 
• 
Adverse Device Effect (ADE): Adverse event related to the use of an investigational medical 
device. 
• 
Serious Adverse Event (SAE): Adverse event that 
1) led to death, 
2) led to a serious deterioration in the health of the subject, that either resulted in 
a) Resulted in a life threatening illness or injury, or 
b) Resulted in a permanent impairment of a body structure or a body function, or 
c) In-patient or prolonged hospitalization, or 
d) Medical or surgical intervention to prevent life threatening illness or injury or permanent 
impairment to a body structure or a body function, or  
3) led to fetal distress, fetal death or a congenital abnormality or birth defect 
Note: Planned hospitalization for a pre-existing condition, or a procedure required by the 
protocol, without serious deterioration in health, is not considered a serious adverse event. 
• 
Serious Adverse Device Effect (SADE): Adverse device effect that has resulted in any of the 
consequences characteristic of a serious adverse event.  
• 
Unanticipated Adverse Device Effect (UADE): Any serious adverse effect on health or safety or 
any life threatening problem or death caused by, or associated with, a device, if that effect, problem, 
or death was not previously identified in nature, severity, or degree of incidence in the CIP or 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 38 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
application (including a supplementary plan or application), or any other unanticipated serious 
problem associated with a device that relates to the rights, safety or welfare of subjects.  
• 
Device Deficiency (DD): Inadequacy of a medical device with respect to its identity, quality, 
durability, reliability, safety or performance. Device deficiencies include malfunctions, use errors, and 
inadequate labelling.  
12.2 Recording and Reporting Adverse Events 
 
AE  
AE information will be collected throughout the study starting with Visit 1 Enrollment Phase and through 
Follow-up Phase.  
Adverse Event assessment for the purposes of this study will cease after follow-up phone call within 48 
hours after desaturation visit. All AEs considered at least possibly related to the study will be followed 
until resolved, stabilized, and/or returned to baseline. 
All Adverse Events and Device Deficiency information will be collected throughout the study on the 
source, regardless of relatedness or outcome and will be reported to study sponsor as soon as 
possible, but no later than 10 working days after the investigator learns of the event.  
Information reported on the eCRF will may include: 
• 
A description of the event 
• 
The date of event onset 
• 
The relatedness of the event to the device 
• 
Actions are taken as a result of the event 
• 
The outcome of the event 
 
UADE/SADE/SAE  
The investigator must report any UADE/SADE/SAE to the sponsor and IRB as soon as possible, but no 
later than 10 working days after the investigator learns of the effect.  
Medtronic will immediately conduct an evaluation of any UADE/SADE/SAE and report the results to 
reviewing IRB, all participating investigators, and to the FDA within 10 working days of first receiving 
notice of the effect.  
 
DD/Product Complaint/Product Malfunction 
Complaints can be filed orally, in writing, or electronically by an employee of the Company, a user facility, 
a healthcare professional, a subject, or a subject representative. 
All INVOS system failures, malfunctions, and product nonconformities will be documented on the 
appropriate eCRF and the device should be returned to Medtronic for analysis. Instructions for returning 
the investigational device will be provided to the study site. 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 39 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
In addition, potential complaints may be found throughout the clinical study data as reported on eCRFs. 
Additionally, potential complaints may be learned about in alternative fashions within source documents 
or in discussions with site staff.  
Any complaint should be reported to the Medtronic research contact below as soon as possible, but no 
later than 10 working days after the investigator first learns of the effect. If an event occurs on late 
Friday evening, or if office is closed due to long holidays or for any other reasons, the event will be 
reported the following working day. 
 
Emergency Contact Information  
 
 
 
 
13 Data Review Committees  
Not applicable.  
14 Statistical Design and Methods 
Statistical analyses will be conducted by Medtronic or its designee as outlined in the Statistical Analysis 
Plan (SAP). Any changes in statistical methods will be detailed in the SAP. 
14.1 Sample Size Justification 
The subject population will include up to a total of 50 subjects. The planned sample size was determined 
through a power-based analysis based on previously collected Jugular Bulb study data during the device 
development cycle, and will be documented in the Statistical Analysis Plan (SAP). The study size is pre-
defined to enroll up to 50 subjects accounting for larger than anticipated screen failures and subject 
dropouts. 
 
 
 
 
 
 
 
 
 
 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 40 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
A priori statistical power analysis determined that a minimum of 
 subjects for normocapnia
 
 study procedures is required to achieve at least 
power at 
 to detect a difference 
to 
 ARMS success criterion for cerebral overall accuracy, and 
 ARMS for cerebral and somatic 
trending accuracy. The null hypothesis and expected accuracy were adjusted conservatively, and the 
sample size was increased to account for any unexpected inter and intra subject variability and 
performance of the final revision of the INVOS system. 
Based on the study desaturation sequence profile it is required secondary to the minimum number of 
subjects, that a minimum number of paired blood draws for each study endpoint will be collected as 
defined below: 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
14.2 Statistical Analysis 
Briefly, standard demographic information and baseline characteristics data will be summarized using 
descriptive statistics. 
For safety assessments, adverse events (AEs) will be summarized using frequency counts and 
percentages. Descriptive statistics will be provided by severity and relationship. 
Individual listings of adverse events, including event type, start date, duration, severity, and device-
relatedness will be provided as appropriate. The safety analysis will be based on all patients participated 
in the study. 
 
The effectiveness analysis will be based on all evaluable data from this study. A per protocol analysis will 
be performed based on all subjects who are compliant with the study protocol, i.e. who provide valid 
informed consents and participated in the desaturation phase.  
 
INVOS rSO2 values will be compared to the calculated global field saturation of brain tissue (25% arterial 
saturation + 75% jugular venous saturation). The arithmetic root mean square (ARMS), systemic bias, and 
standard deviation will be calculated for both individuals and pooled data. 
Pearson linear correlation coefficient will present the strength of the linear correlation between fSO2 and 
rSO2. Bland-Altman analysis with limits of agreement will assess agreement between rSO2 and fsO2 with 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 41 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
multiple observations per individual. Any deviations from the original statistical plan will be justified and 
documented appropriately. 
15 Ethics 
15.1 Statement(s) of Compliance  
The investigator is responsible for ensuring that the clinical study is conducted in accordance with: 
• 
The CIP and to Standard Operating Procedures (SOPs), 
• 
Food and Drug Administration (FDA) Good Clinical Practice (GCP) guidelines and regulatory 
requirement(s), including 21 CFR 812, 21 CFR 50, 21 CFR 56. FDA Financial Disclosure 
regulations, as well as International Conference on Harmonization (ICH) guidelines and any other 
regional/national requirements for clinical trials, as applicable. 
• 
The clinical study will not begin until IRB and regulatory authority approvals/notification are 
received. Written IRB approval and any conditions of approval imposed by the IRB must be 
submitted to the sponsor. 
15.2 IRB Approval 
The clinical study will not begin until IRB approval notification is received. This protocol and an informed 
consent form and any other written information to be provided to the subjects and, if applicable will be 
approved initially and reviewed at least annually by an IRB constituted according to regulatory and 
institutional requirements. The IRB granting the initial approval shall be responsible for continuing review 
and approval of this study including the ICF. A copy of the IRB’s dated approval will be retained in the 
study files or Investigator Site File. Any additional requirements imposed by the IRB or regulatory 
authority shall be followed, if appropriate. 
15.2.1 Progress Reports 
The sponsor shall submit progress reports to the IRB at least yearly. 
15.2.2 Final Report 
The sponsor shall submit a final report to the IRB within 6 months after termination or completion of the 
investigation. 
15.2.3 Withdrawal of IRB Approval  
The investigator shall report to the sponsor, within 5 working days, a withdrawal of approval by the 
reviewing IRB of the investigator's part of an investigation.  
15.3 Subject Compensation 
The study will incur no cost to the subject. Total of up to
 per study compensation will be provided 
to subjects for their participation in the study.  

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 42 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
15.4 Liability Insurance 
The clinical study liability insurance coverage statement will be included in the Clinical Trial Agreement 
between Medtronic and the site.  
16 Study Administration 
16.1 Monitoring  
Site monitoring visits will be performed by the Clinical Research Specialist (CRS) or other qualified 
sponsor staff per the monitoring plan to ensure: 
• 
Overall compliance with the protocol, GCP, and the applicable regulations 
• 
Accurate records are being maintained  
• 
Accurate and complete study data are being reported (comparing CRF to source documents) 
• 
Informed consent has been obtained for all study subjects  
• 
Adverse events and protocol deviations are documented and reported. 
• 
Investigational device accountability and disposition are accurately documented.  
Monitoring visits will be conducted at the start, during, and at the closure of the clinical study in 
accordance with Medtronic internal SOPs and the Monitoring Plan. An interim monitoring visit may be 
combined with the closing monitoring visit. 
The frequency of monitoring visits will occur based on subject enrollment, duration of the study, study 
compliance, site performance, site adherence to the protocol, findings from previous monitoring visits, 
and any suspected inconsistency in data that requires investigation. The monitoring visit frequency may 
be changed based on subject enrollment rates. 
If problems are encountered with the quality of the collected data, the study will be halted for the period 
of time until the problem has been assessed and possible additional training or other actions have been 
completed to correct the problem. The evaluation of the data quality will be the responsibility of the 
Medtronic Clinical Affairs’ personnel or designee.  
The Investigator or authorized study personnel must be available at each monitoring visit. Access to the 
subject records and other source data must be provided to study CRAs, the sponsor, regulatory 
authorities, auditors, IRB members or inspectors. 
Source data entered in the CRFs should be documented in the subject’s clinical study records, i.e. study 
files that contain original information used for study data collection or adverse event reporting.  
16.2 Data Management 
Some data will be recorded via an electronic data capture (EDC) system, using electronic Case Report 
Forms (eCRFs).  
The investigator must ensure accuracy, completeness, and timeliness of the data reported in the CRFs 
and in all other required reports. Data reported on the CRFs which are derived from source documents 
must be consistent with the source documents and discrepancies need to be justified in a documented 
rationale, signed and dated by the Investigator, and filed in the subject medical file. 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 43 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
Only authorized persons can complete eCRFs. eCRFs shall be signed by investigators (physicians only) as 
specified on the Delegated Tasks List included in the Investigator Site File. 
The EDC system maintains an audit trail of entries, changes or corrections in eCRFs. If a person is only 
authorized to complete eCRFs or make changes to an already signed eCRF, the investigator shall re-sign 
this CRF. 
All collected data will be reviewed for completeness, correctness and consistency. In the event of 
discrepant data, the CRS will request data clarification from the sites, which the sites will resolve 
electronically in the EDC system. The quality checks will be included in the eCRFs. Medtronic will perform 
oversight of the data management of this trial according to Medtronic SOPs that will be made available 
on request.  
Medtronic will produce an EDC Study Specification document that describes the quality checking to be 
performed on the data. eCRFs and correction documentation will be maintained in the EDC system’s audit 
trail. System backups for data stored at Medtronic and records retention for the study data will be 
consistent with Medtronic SOPs. 
It is expected that eCRFs will be completed within 5 business days from the performed visit or as soon as 
source documents are available, except for any adverse events and device deficiencies that require 
immediate reporting per section 12 above and for Protocol Deviation requiring pre-approval.  
A delayed completion of the eCRF will not be considered a Protocol Deviation. 
INVOS raw data will be collected by data acquisition system (DAS). Additional raw data will be collected 
from the site’s data acquisition systems (e.g. co-oximeters and LabChart). These data will be transferred 
to Medtronic for analysis directly. 
16.3 Audits and Investigation Site Inspections 
In addition to regular monitoring visits, Medtronic may conduct audits at participating investigation sites. 
The purpose of an audit is to verify the adequate performance of the clinical study related activities, 
independent of the employees involved in the clinical study. Regulatory authorities may also perform 
inspections at participating investigation sites. Any regulatory authority inspection announcements shall 
be forwarded immediately to Clinical Study Manager. 
 
The investigator and/or institution shall permit Medtronic and regulatory bodies direct access to source 
data and documents, taking into account any restrictions due to local law, to perform clinical study 
related monitoring, audits, IRB review (if applicable), and regulatory inspections. 
16.4 Direct Access to Source Data/Documents  
The investigator and institution will permit study-related monitoring, audits, IRB/ review, and regulatory 
inspection(s) by providing direct access to applicable source data.  
The Study monitors will perform ongoing study monitoring visits to confirm that critical protocol data 
(i.e., source data) entered into the eCRFs by authorized site personnel are accurate, complete, and 
verifiable from source documents.  
 
Raw data will not be monitored. 
 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 44 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
16.5 Confidentiality 
All records and other information about subjects participating in this study will be treated as confidential. 
The identity of a subject will never be disclosed in the event that study data are published.  
 
Subject confidentiality will be maintained throughout the clinical study in a way that ensures the 
information can always be tracked back to the source data. For this purpose, a unique subject 
identification code will be assigned and used to allow identification of all data reported for each subject. 
 
Regulatory authorities and IRB may also be granted direct access to the medical history records in order 
to comply with legal and regulatory requirements. Investigators are to instruct their staff in the methods 
and importance of maintaining subject confidentiality according to local and national regulations and 
institutional requirements.  
16.6 CIP Amendments 
The investigator will propose any appropriate modification(s) of the Clinical Investigation Plan or 
investigational device or investigational device use. Medtronic will review this proposal and decide 
whether the modification(s) will be implemented. 
 
Medtronic will submit any significant amendment to the Clinical Investigation Plan, including a justification 
for this amendment, to the appropriate regulatory authorities and to the investigators to obtain approval 
from their IRB. 
 
Any amendment to the protocol requires written approval by the IRB prior to its implementation, unless 
there are overriding safety reasons. In some instances, an amendment may require a change to the ICF.  
 
The Sponsor and Investigator will obtain the IRB approval concerning the revised ICF prior to 
implementation of the change. The Investigator understands that subjects must be consented using the 
most current IRB approved version of the ICF. If the ICF is updated, subjects who are still receiving 
treatment will be re-consented at the direction of the IRB. 
16.7 Record Retention 
Study related documents including all study related Source Documents (Section 16.4), CRFs, ICFs, 
Investigator Site File, Final study reports, etc. should be maintained on site for a minimum of 2 years 
after the completion or termination of the study. Prior to the destruction of the study related data, the 
investigator must notify the sponsor. 
An investigator may withdraw from the responsibility to maintain records for the period required as 
indicated in the section above and transfer custody of the records to any other person who will accept 
responsibility. An investigator must notify sponsor immediately if records are being transferred.  
Medtronic will notify FDA no later than 10 working days after the transfer occurs. 
16.8 Publication and Use of Information 
Publication/Presentation statement will be included in the Clinical Trial Agreement between Medtronic and 
the site.  
 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 45 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
16.9 Suspension or Early Termination 
Early termination results when the study is closed prior to the end of the study. A study suspension is a 
temporary postponement of the study activities related to enrollment. Both are possible for the study.  
If the study is terminated or suspended, no additional enrollment will be allowed unless otherwise 
informed by the sponsor. The current subjects will be followed according to the protocol. 
If the study is terminated prematurely or suspended by the sponsor, the sponsor will promptly inform the 
investigators and regulatory authorities (if required) of the termination and the reason(s). IRB will also be 
promptly informed and provided with the reason(s) for termination or suspension by the sponsor or by 
the investigator. The investigator will promptly inform the patients and assure appropriate therapy and 
follow-up for the subject. 
If the investigator (or IRB) terminates or suspends the investigation without prior agreement of the 
sponsor, the investigator will promptly inform the sponsor, the institution (if required) and the IRB, and 
provide a detailed written explanation of the termination or suspension. The sponsor will inform the 
regulatory authorities (if required). 
In the case of early termination of the study, all study subjects should be followed until the resolution of 
any pending adverse event(s). 
Medtronic reserves the right to discontinue the study at any time for administrative or other reasons. 
Written notice of study termination will be submitted to the investigator in advance of such termination. 
Termination of a specific site can occur because of, but not limited to, inadequate data collection, low 
subject enrollment, or non-compliance with the protocol or other research requirements. 
17 References 
1. 
Elser, H.E., D. Holditch-Davis, and D.H. Brandon, Measurement of Cerebral Blood Flow and 
Cerebral Oxygenation. Newborn & Infant Nursing Reviews, 2011. 11(3): p. 153-159. 
2. 
510(k) K960614. 
3. 
Michael B. Kim, et al., Estimation of jugular venous O2 saturation from cerebral oximetry or 
arterial   O2 saturation during isocapnic hypoxia. Journal of Clinical Monitoring and Computing, 
2000. 16(3): p. 191–199. 
4. 
Schell, R.M. and D.J. Cole, Cerebral Monitoring: Jugular Venous Oximetry. Anesthesia & 
Analgesia, 2000. 90(3): p. 559-566. 
5. 
Casati, A., et al., Continuous Monitoring of Cerebral Oxygen Saturation in Elderly Patients 
Undergoing Major Abdominal Surgery Minimizes Brain Exposure to Potential Hypoxia. Anesthesia 
& Analgesia, 2005. 101(3): p. 740-747. 
6. 
Murkin, J.M., et al., Monitoring Brain Oxygen Saturation During Coronary Bypass Surgery: A 
Randomized, Prospective Study. Anesthesia & Analgesia, 2007. 104(1): p. 51-58. 
7. 
B, S., P. A, and P. UJ, Clinical review: complications and risk factors of peripheral arterial 
catheters used for haemodynamic monitoring in anaesthesia and intensive care medicine. Critical 
Care, 2002. 3(6): p. 199–204. 
8. 
Boye, S., et al., Anesthesiological Management in a Non-accessible Environment Preparation of 
Volunteers for Investigations with Controlled Hypoxemia in a 3 Tesla Magnetic Field for Assessing 

056-F275, Clinical Investigation Plan Template, Version 2.0 
Page 46 of 46 
 
 
This document is electronically controlled. Printed copies are considered uncontrolled. 
Confidential 
MDT16010MAVJB3 
     
   
 
 
 
Cerebral Energy Metabolism, in IFMBE Proceedings Olaf Dössel and W.C. Schlegel, Editors. 2009: 
Munich, Germany. p. 880-882. 
9. 
H. Benoit, et al., Accuracy of pulse oximetry during intense exercise under severe hypoxic 
conditions. European Journal of Applied Physiology and Occupational Physiology, 1997. 76(3): p. 
260-263. 
10. 
Mäntysaari, M., et al., Unaltered Blood Coagulation and Platelet Function in Healthy Subjects 
Exposed to Acute Hypoxia. Aviation, Space, and Environmental Medicine, 2011. 82(7): p. 699-
703. 
11. 
Marla J. De Jong, et al., Accuracy and precision of buccal pulse oximetry Heart & Lung: The 
Journal of Acute and Critical Care, 2011. 40(1): p. 31-40. 
12. 
Society, A.N. Radiation Dose Calculator. 2016  [cited 2017 1/6/2017].