FDA Decisions for Investigational 
Device Exemption Clinical 
Investigations 
 
Guidance for Sponsors, Clinical 
Investigators, Institutional Review 
Boards, and Food and Drug 
Administration Staff
 
Document issued on: August 19, 2014 
The draft of this document was issued on June 14, 2013. 
 
For questions for the Center for Devices and Radiological Health regarding this document, 
contact the Office of Device Evaluation, Office of the Director, Investigational Device 
Exemptions (IDE) Staff at 301-796-5640. 
For questions for the Center for Biologics Evaluation and Research regarding this document, 
contact the Office of Communication, Outreach and Development at 1-800-335-4709 or 240-
402-7800. 
 
 
 
 
 
 
 
 
 
 
U.S. Department of Health and Human Services 
Food and Drug Administration 
Center for Devices and Radiological Health 
    Center for Biologics Evaluation and Research  Contains Nonbinding Recommendations 
 
Preface 
Public Comment 
You may submit written comments and suggestions at any time for Agency consideration to 
the Division of Dockets Management, Food and Drug Administration, 5630 Fishers Lane, 
rm. 1061, (HFA-305), Rockville, MD, 20852. Submit electronic comments to 
http://www.regulations.gov.  Identify all comments with the docket number listed in the notice 
of availability that publishes in the Federal Register. Comments may not be acted upon by the 
Agency until the document is next revised or updated. 
Additional Copies 
Additional copies are available from the Internet. You may also send an e-mail request to 
CDRH-Guidance@fda.hhs.gov to receive a copy of the guidance. Please use the document 
number 1783 to identify the guidance you are requesting. 
Additional copies are available from the Center for Biologics Evaluation and Research 
(CBER) by written request from the Office of Communication, Outreach and Development 
(OCOD), 10903 New Hampshire Ave., WO71, Room 3128, Silver Spring, MD 20993-0002, 
or by calling 1-800-835-4709 or 240-402-7800, by email, ocod@fda.hhs.gov, or from the 
Internet at  
http://www.fda.gov/BiologicsBloodVaccines/GuidanceComplianceRegulatoryInform
ation/Guidances/default.htm.  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
2  Contains Nonbinding Recommendations 
 
Table of Contents 
1.  Introduction and Scope ...................................................................................................................................... 4 
2.  IDE Decisions .................................................................................................................................................... 5 
3.  IDE Approval .................................................................................................................................................... 6 
4.  IDE Approval with Conditions .......................................................................................................................... 7 
5.  Staged Approval or Staged Approval with Conditions ...................................................................................... 8 
6.  IDE Disapproval .............................................................................................................................................. 10 
7.  Information Conveyed in FDA Communications ............................................................................................ 12 
8.  Informed Consent Document ........................................................................................................................... 14 
9.  Supplements, Reports, and Amendments to IDEs ........................................................................................... 14 
10.  Examples ....................................................................................................................................................... 16 
10.1. Example 1 ............................................................................................................................................... 16 
10.2. Example 2 ............................................................................................................................................... 17 
1.3  Example 3 (variation on Example 2) ............................................................................................... 18 
11.  Conclusions ................................................................................................................................................... 19 
 
3  FDA Decisions for Investigational Device 
Exemption Clinical Investigations 
 
Guidance for Sponsors, Clinical 
Investigators, Institutional Review Boards, 
and Food and Drug Administration Staff 
This guidance represents the Food and Drug Administrations (FDAs) current thinking on 
this topic. It does not create or confer any rights for or on any person and does not operate to 
bind FDA or the public. You can use an alternative approach if the approach satisfies the 
requirements of the applicable statutes and regulations. If you want to discuss an alternative 
approach, contact the FDA staff responsible for implementing this guidance. If you cannot 
identify the appropriate FDA staff, call the appropriate number listed on the title page of this 
guidance.  
1.  Introduction and Scope 
FDA seeks to encourage medical device research and innovation to address important clinical 
needs and improve patient care. In many cases, device development and evaluation include 
clinical investigation. This guidance document has been developed to facilitate the initiation of 
clinical investigations to evaluate medical devices under FDAs Investigational Device 
Exemptions (IDE) regulations, Title 21 Code of Federal Regulations (CFR) Part 812.  
FDA approval of an IDE submission allows the initiation of subject enrollment in a clinical 
investigation of a significant risk1 device. This guidance is intended to provide clarification 
regarding the regulatory implications of the decisions that FDA may render based on review of 
an IDE as well as a general explanation of the reasons for those decisions.  
In an effort to promote timely initiation of subject enrollment in clinical investigations in a 
manner that protects study subjects, FDA has developed methods to allow a clinical investigation 
of a device to begin under certain circumstances, even when outstanding issues remain regarding 
the IDE submission. These mechanisms, including Approval with Conditions, Staged Approval, 
                                                           
1 21 CFR 812.3(m): A significant risk device means an investigational device that: 
(1) Is intended as an implant and presents a potential for serious risk to the health, safety, or welfare of a subject; 
(2) Is purported or represented to be for a use in supporting or sustaining human life and presents a potential for 
serious risk to the health, safety, or welfare of a subject; 
(3) Is for a use of substantial importance in diagnosing, curing, mitigating, or treating disease, or otherwise 
preventing impairment of human health and presents a potential for serious risk to the health, safety, or welfare of a 
subject; or 
(4) Otherwise presents a potential for serious risk to the health, safety, or welfare of a subject. 
  4  Contains Nonbinding Recommendations 
 
and communication of outstanding issues related to the IDE through Study Design 
Considerations and Future Considerations, are described in this guidance.2 
FDAs decision-making for IDEs was modified with passage of the Food and Drug 
Administration Safety and Innovation Act (FDASIA) (Pub. L. No. 112-144).  Section 601 of 
FDASIA amended Section 520(g) of the Federal Food, Drug, and Cosmetic Act (FD&C Act) to 
specify certain situations in which FDA cannot disapprove an IDE.  Section 520(g)(4)(C) of the 
FD&C Act states that, consistent with section 520(g)(1), FDA shall not disapprove an IDE 
because: 
(i)  the investigation may not support a substantial equivalence or de novo 
classification determination or approval of the device; 
(ii)  the investigation may not meet a requirement, including a data requirement, 
relating to the approval or clearance of a device; or  
(iii)  an additional or different investigation may be necessary to support clearance or 
approval of the device. 
However, the Agency recognizes that some IDE sponsors may wish to ensure that the pivotal 
study design may support a marketing application if it is successfully executed, meets its stated 
endpoints, and does not raise unforeseen safety concerns. Through mechanisms such as the Pre-
Submission3 process, FDA wishes to work interactively with sponsors interested in addressing 
important limitations with such a study that might impair its ability to support a future marketing 
application. 
FDAs guidance documents, including this guidance, do not establish legally enforceable 
responsibilities. Instead, guidances describe the Agencys current thinking on a topic and should 
be viewed only as recommendations, unless specific regulatory or statutory requirements are 
cited. The use of the word should in Agency guidances means that something is suggested or 
recommended, but not required.  
2.  IDE Decisions 
FDAs regulations4 provide for three FDA actions on IDE applications: 
  Approval5 
                                                           
2 This guidance does not offer specific information related to the design of a clinical investigation, nor does this 
guidance discuss the specific content that should be provided in an IDE application. For additional information on 
those topics, please refer to FDAs regulations (21 CFR Part 812) and to FDAs Guidance on IDE Policies and 
Procedures 
(http://www.fda.gov/MedicalDevices/DeviceRegulationandGuidance/GuidanceDocuments/ucm080202.htm).  
3 For more information, see FDAs Guidance Requests for Feedback on Medical Device Submissions: The Pre-
Submission Program and Meetings with Food and Drug Administration Staff - Guidance for Industry and Food and 
Drug Administration Staff. 
http://www.fda.gov/downloads/MedicalDevices/DeviceRegulationandGuidance/GuidanceDocuments/UCM311176.
pdf 
4 21 CFR 812.30. 
5  Contains Nonbinding Recommendations 
 
  Approval with Conditions6 
  Disapproval 
FDA must inform the sponsor7 or sponsor-investigator8 of its decision, or must notify the 
sponsor that the investigation may not begin, within 30 days from the date of receipt of the IDE 
application, or the IDE application will be deemed approved. If an IDE application is approved 
or approved with conditions, the sponsor may begin subject enrollment, up to the number of 
subjects and investigational sites specified in FDAs decision letter, upon receipt of Institutional 
Review Board (IRB) approval, which may occur prior to FDA approval.  
If FDA does not have outstanding issues that must be addressed to support the study of the 
subject cohort under the proposed investigational plan, the IDE will be approved without 
conditions.9 Alternatively, if FDA has identified issues that must be addressed in a timely 
manner but do not preclude initiation of subject enrollment in the clinical investigation, the IDE 
will be approved with conditions. In the case of approval with conditions, approval is granted 
and study enrollment may begin immediately provided that, within 45 days from the date of 
FDAs decision letter,10 the sponsor submits information addressing the issues identified in 
FDAs letter. Examples of the types of issues that may be identified in an approval with 
conditions letter are discussed later in this document. In certain instances, resolution of 
outstanding issues may be necessary before initiation of subject enrollment. In these instances, 
the IDE will be disapproved, meaning that the sponsor may not initiate enrollment in the clinical 
investigation until the sponsor responds to the issues identified in FDAs letter and receives an 
approval or approval with conditions letter.  
3.  IDE Approval  
If FDA approves an IDE application, the sponsor may begin subject enrollment upon receipt of 
IRB approval11 and in accordance with the limits described in FDAs decision letter, including 
                                                                                                                                                                                           
5 As discussed in Section 5, enrollment for an IDE application that is Approved or Approved with Conditions may in 
some cases be limited to a portion of the total expected enrollment (i.e., Staged Approval) while certain 
outstanding questions are answered concurrently with enrollment in the clinical investigation. 
6 FDA has traditionally referred to IDE approvals that have conditions as Conditional Approvals. FDA believes 
that the term Approval with Conditions is more appropriate because the term conveys that the IDE has been 
approved and may begin without awaiting further FDA review. 
7 21 CFR 812.3(n): Sponsor means a person who initiates, but who does not actually conduct, the investigation, that 
is, the investigational device is administered, dispensed, or used under the immediate direction of another individual. 
A person other than an individual that uses one or more of its own employees to conduct an investigation that it has 
initiated is a sponsor, not a sponsor-investigator, and the employees are investigators. 
8 21 CFR 812.3(o): Sponsor-investigator means an individual who both initiates and actually conducts, alone or with 
others, an investigation, that is, under whose immediate direction the investigational device is administered, 
dispensed, or used. The term does not include any person other than an individual. The obligations of a sponsor-
investigator under this part include those of an investigator and those of a sponsor. The remainder of this document 
uses the term sponsor for both sponsor and sponsor-investigator. 
9 The term approval in this document and in FDAs communications means approval without conditions. 
10 The remainder of this document references 45 days as the specified timeframe. Sponsors may also request an 
extension of this timeframe that should include a justification for why the extension is needed and will not impact 
study integrity or subject protection. 
11 FDA regulations do not specify when IRB review should take place, as long as it is done prior to initiation of the 
study. 21 CFR 812.42. Because changes are often made to the protocol as a result of FDAs review, sponsors may 
6  Contains Nonbinding Recommendations 
 
the maximum numbers of U.S. subjects and investigational sites. An IDE application is approved 
if FDA has determined that: the sponsor has provided sufficient data to support initiation of a 
human clinical study; no subject protection concerns preclude initiation of the investigation; and 
no additional conditions must be met. 
In some cases, FDA may determine that an outstanding issue remains that can be addressed with 
data that will be gathered concurrently with the enrollment of a portion of study subjects (i.e., 
staged approval, see Section 5). FDA may also inform the sponsor of recommended 
modifications to the study design that FDA believes will improve the study and may be 
necessary to enable the study to support a future marketing application (i.e., study design 
considerations) as well as other issues that FDA believes should be considered in preparing for a 
marketing application or a future clinical investigation (i.e., future considerations). These types 
of feedback are discussed in Section 7 of this document.    
4.  IDE Approval with Conditions 
If FDA approves an IDE application with conditions, the sponsor may begin subject enrollment 
upon receipt of IRB approval and in accordance with the limits described in FDAs decision 
letter, including the maximum numbers of U.S. subjects and investigational sites, and must 
submit information addressing the issues identified as conditions of approval in FDAs letter 
within 45 days. An IDE application is approved with conditions if FDA has determined that:  the 
sponsor has provided sufficient data to support initiation of subject enrollment in a human 
clinical study; no subject protection concerns preclude initiation of subject enrollment; but 
additional conditions must be met to address certain outstanding issues. Previously known as 
conditional approval, the phrase approval with conditions is now used to convey that the 
outstanding issues do not raise concerns that preclude FDA from granting approval for initiation 
of subject enrollment in the clinical investigation. Therefore, resolution of those issues is not 
required prior to initiation of subject enrollment in the study, except for certain issues related to 
the informed consent document. If FDA identifies issues with an informed consent document, 
FDAs letter will specifically state that they must be addressed before enrollment begins in order 
to ensure that informed consent is obtained in accordance with 21 CFR Part 50 - Protection of 
Human Subjects.12 Outstanding issues that may lead to approval with conditions include: 
  Requests for additional information or data involving non-clinical testing issues that do 
not need to be resolved prior to initiation of subject enrollment; 
  Late-stage follow-up procedures and assessments that relate to the care of study subjects 
but, because they occur late in the study, can likely be addressed in response to FDAs 
letter prior to subjects reaching that point in the study; 
  Minor issues related to the informed consent document that must be corrected before 
initiation of subject enrollment but FDA can review after implementation; 
  Other minor clarifications, corrections, or modifications (not related to study design) that 
do not need to be resolved prior to initiation of subject enrollment. 
                                                                                                                                                                                           
decide to wait until they receive FDA approval, or approval with conditions, before submitting their protocol for 
IRB review. 
12 Informed consent issues identified in an approval with conditions letter must be corrected before enrolling 
subjects, but can be reviewed by FDA after study enrollment begins. 
7  Contains Nonbinding Recommendations 
 
The sponsor must submit an amendment13 to the IDE to respond to the issues raised in FDAs 
approval with conditions letter within 45 days unless the sponsor has requested and FDA has 
granted an extension.14 For each issue identified in FDAs letter, an acceptable response provides 
the specific information or modification(s) FDA requested.  In some cases, the sponsor may 
choose to provide a scientifically valid alternative to FDAs request or a scientifically valid 
rationale for why the information or modification(s) is not needed. FDA will inform the sponsor 
of its decision within 30 days from the date of receipt of the amendment. During this time, the 
sponsor may continue to conduct the study.  If FDA determines that the issues have been 
adequately resolved, it will grant approval. However, if any issues remain, FDA may again grant 
approval with conditions and will communicate those remaining outstanding issues to the 
sponsor by letter. In this case, the sponsor may continue to enroll subjects in the study provided 
that, within 45 days, the sponsor responds to the remaining issues identified in FDAs letter. If 
the sponsors response to FDAs questions raises concerns regarding subject safety, or the 
sponsor does not respond, FDA may take appropriate regulatory actions to protect study subjects, 
including placing a clinical hold15 on the study. If the study is placed on hold, no additional 
subjects may be enrolled, and previously enrolled study subjects should receive appropriate 
monitoring and treatment for their safety. 
5.  Staged Approval or Staged Approval with Conditions 
This guidance defines processes, termed staged approval or staged approval with 
conditions16 (which are subsets of approval and approval with conditions decisions), by which 
FDA may grant IDE approval or approval with conditions for a portion of the intended study 
cohort, enabling certain outstanding questions to be answered concurrently with enrollment in 
this cohort. Staged approval permits the clinical investigation to begin in a timely manner while 
maintaining appropriate subject protections. In some cases, the sponsor proposes a staged 
enrollment in the IDE application. In other cases, the sponsor requests approval for the full 
subject cohort but, under certain circumstances described below, FDA may decide to grant 
staged approval for a limited number of subjects as an alternative to disapproving the IDE. 
As noted above, under staged clinical investigations, FDA will grant approval or approval with 
conditions for a portion of the planned subject cohort while the particular outstanding questions 
are addressed. FDA will grant approval with conditions if there are other issues that should be 
addressed within 45 days, which may include questions seeking clarification or information 
regarding the data that will be gathered to support future study expansion. Alternatively, if FDA 
and the sponsor have agreed to the additional data that will be provided and no other outstanding 
                                                           
13 Beginning August 19, 2013, all submissions that respond to deficiencies from an approval with conditions or 
disapproval letter are designated as IDE amendments. Prior to this date, responses to approval with conditions 
letters were designated as IDE supplements. 
14 In general, FDA will not issue an approval with conditions for issues that the agency believes will require longer 
than 45 days to address. If FDA identifies such issues but determines that they should not preclude initiation of 
subject enrollment in a study, FDA may issue a staged approval, as discussed in Section 5.  
15 Section 606 of FDASIA amended section 520(g)  of the FD&C Act by adding authority to place a study on 
clinical hold when, among other reasons established by regulation, the device involved represents an unreasonable 
risk to the safety of the persons who are the subjects of the clinical investigation.   
16 The remainder of this section will use the term staged approval to refer to staged approval and staged approval 
with conditions. 
8  Contains Nonbinding Recommendations 
 
issues remain to be addressed (i.e., under approval with conditions), a staged clinical 
investigation can receive approval, with enrollment limited to the number of subjects to be 
enrolled in the first stage.  
If the benefit-risk profile based on the IDE submission is sufficiently favorable to justify 
enrollment of a portion of the study subjects, a staged clinical investigation may be appropriate 
to allow initiation of subject enrollment in a study while providing additional mitigation of risk 
by limiting exposure of the investigational device to a smaller subject population.  Such an 
approach may be appropriate in the following situations: 
  Additional clinical confirmation of the safety profile is obtained by reviewing initial data 
from subjects enrolled early in the clinical investigation before enrolling the full subject 
cohort. 
  Additional non-clinical testing is needed to more fully characterize device performance to 
adequately evaluate the potential risks of the device, before permitting testing of the full 
subject cohort and is conducted concurrently with early enrollment in the clinical 
investigation.  
The sponsor will be permitted to expand enrollment once an IDE supplement containing the 
necessary additional information is submitted to FDA and found to be acceptable. In some cases, 
based on the information submitted, a partial expansion of enrollment may be granted (i.e., an 
additional stage of enrollment rather than expansion to full enrollment) while additional data are 
gathered to answer FDAs outstanding questions. In such cases, as with the first stage, the 
sponsor will be permitted to expand enrollment once a second IDE supplement, which includes 
the necessary additional information, is submitted to FDA for review and found to be acceptable.   
The size of the enrollment stages and the timing for the reporting of additional information 
should ideally be designed so that study enrollment  need not be halted while the data are 
reviewed. For example, if FDA wishes to see seven-day safety data on the first 30 subjects of a 
300-subject study, it may be appropriate to approve the first stage for 50 subjects. In this way, 
enrollment can continue while FDA reviews the data from the first 30 subjects and, if 
appropriate, grants expansion. 
Staged approval is most common for pivotal studies17 in which many subjects will be enrolled 
over an extended period of time but may be applicable to other clinical investigations as well. 
Some additional considerations specific to staged pivotal studies include: 
  The data FDA requests should not inappropriately unblind any of the relevant 
stakeholders, including the sponsor, investigators, or study management personnel, to 
critical study data or compromise the studys statistical integrity. If the requested data 
will necessarily do so, then a feasibility study may more appropriately answer these 
questions. 
  Data from the full planned cohort of subjects would be expected at the time of a 
marketing application. 
                                                           
17 Pivotal studies are discussed in more detail in the FDA guidance titled, Design Considerations for Pivotal 
Clinical Investigations for Medical Devices (available at 
http://www.fda.gov/downloads/MedicalDevices/DeviceRegulationandGuidance/GuidanceDocuments/UCM373766.
pdf). 
9  Contains Nonbinding Recommendations 
 
  A staged pivotal study should only be considered if the additional information that is 
requested is not expected to change critical elements of the clinical investigation (e.g., 
endpoints) or device design that would undermine data interpretation. If the information 
is expected to result in such changes, then a separate feasibility or early feasibility18 study 
may be more appropriate. In some cases, prospectively defined adaptive design 
techniques, rather than a staged study, may allow for a pivotal study to accommodate pre-
planned study changes based on data gathered early in the study without requiring 
additional feasibility data. 
  FDA may determine that new feasibility data are needed prior to approving the proposed 
pivotal IDE to allow for a comprehensive examination of study outcomes related to the 
device safety profile and/or of potential benefit in a small group of subjects before a large 
group of subjects may be exposed to the risks of the study. In such cases, approval of a 
feasibility study, rather than a staged pivotal study, may be appropriate. The data from 
the feasibility study may be used to inform the design and support IDE approval for a 
future pivotal study.  
6.  IDE Disapproval 
If an IDE application is disapproved, the sponsor may not initiate enrollment in the clinical 
investigation until the sponsor submits an amendment19 to the IDE to respond to the deficiencies 
identified in FDAs letter and subsequently receives a new letter from FDA granting approval or 
approval with conditions. Consistent with 21 CFR 812.30(b) and section 520(g) of the FD&C 
Act, FDA may disapprove an IDE for any of the following reasons:20 
  There has been a failure to comply with any requirement in 21 CFR Part 812 or section 
520(g) of the FD&C Act, any other applicable regulation or statute, or any condition of 
approval imposed by an IRB or FDA. (21 CFR 812.30(b)(1)). 
  The application or a report contains an untrue statement of material fact, or omits 
material information required by 21 CFR Part 812. (21 CFR 812.30(b)(2)). 
  The sponsor fails to respond to a request for additional information within the time FDA 
prescribes. (21 CFR 812.30(b)(3)). 
  There is reason to believe that risks to the subjects are not outweighed by the anticipated 
benefits to the subjects and the importance of the knowledge to be gained (21 CFR 
812.30(b)(4)). This assessment may be based on the following consideration: 
                                                           
18 Feasibility studies are developmental studies not intended to provide the primary clinical evidence to support a 
marketing application. Early feasibility studies are discussed in the guidance document entitled Investigational 
Device Exemptions (IDE) for Early Feasibility Medical Device Clinical Studies, Including First in Human (FIH) 
Studies (available at 
http://www.fda.gov/downloads/MedicalDevices/DeviceRegulationandGuidance/GuidanceDocuments/UCM279103.
pdf).  
19 There is no required timeframe within which a response to an IDE disapproval must be submitted. 
20 As used in this guidance, risk primarily refers to probable risk, rather than any possible risk.  
10  Contains Nonbinding Recommendations 
 
o  Subject safety. The investigational plan contains elements that would expose 
subjects to unacceptable probable risks, or fails to adequately protect study 
subjects from probable risks (including adequate monitoring and review of the 
investigation). 
  The informed consent is inadequate. (21 CFR 812.30(b)(4)). The consent requires 
changes to adequately inform subjects of the study that FDA must review before 
initiating subject enrollment. If the required changes are minor and do not require FDA 
review before initiating subject enrollment, this may be considered a condition of 
approval, as discussed in Section 4. 
  The investigation, as proposed, is scientifically unsound. (21 CFR 812.30(b)(4)).  The 
investigation does not pose a reasonable scientific question or the investigation does not 
include the collection of data or information related to that scientific question.  
  There is reason to believe that the device as used is ineffective. (21 CFR 812.30(b)(4)).  
This assessment may be based on the following consideration: 
o  Inadequate potential for benefit. Available data suggest the device is ineffective 
for the use that will be evaluated in the proposed study, or no information has 
been provided to suggest the device as used may result in patient benefit and the 
generation of knowledge adequate to justify the risks. For example, for a 
therapeutic device, the submission does not provide a scientifically plausible 
explanation for how the proposed mechanism of action of the device could have 
an impact on the outcome of interest, or for a diagnostic device, no data have been 
provided showing that the device is informative concerning the condition of 
interest. The amount of information or data to support scientific plausibility of the 
proposed use of the device will depend on the level of risk associated with the 
device/procedure and the alternatives available to the intended patient population. 
For a device with lesser risk, a scientific explanation for how the device could 
lead to patient benefit may be sufficient. However, for a device that poses more 
substantial risks to subjects, especially when alternative commercially available 
therapies, diagnostic devices or surgical procedures exist, initial evidence to 
support the likelihood of patient benefit would generally be necessary. If the study 
proposes to evaluate a significant risk device in patients for whom no alternatives 
exist, and/or if there is no way to evaluate the potential for benefit in a reasonable 
nonclinical model, FDA may allow limited enrollment as a feasibility study or 
staged pivotal study. 
  It is otherwise unreasonable to begin or to continue the investigation owing to the way in 
which the device is used or the inadequacy of (i) the report of prior investigations or the 
investigational plan; (ii) the methods, facilities, and controls used for the manufacturing, 
processing, packaging, storage, and where appropriate, installation of the device; or (iii) 
monitoring and review of the investigation. (21 CFR 812.30(b)(5)).  This assessment may 
be based on the following consideration: 
11  Contains Nonbinding Recommendations 
 
o  Device safety. The data and information provided are insufficient to adequately 
characterize the safety profile of the device such that, based on the data provided 
thus far, human clinical investigation is not considered reasonable. A specific 
safety concern may relate to the need for additional basic device evaluation (e.g., 
biocompatibility, mechanical durability, drug or biologic component 
characterization, electrical safety, software validation, or biological response in an 
animal model) or additional information regarding the methods, facilities, and 
controls used for the manufacturing, processing, packaging, storage, and, where 
appropriate, installation of the device. 
7.  Information Conveyed in FDA Communications 
Consistent with section 520(g) of the FD&C Act, FDA will not disapprove an IDE because the 
investigational plan for a pivotal study may not support approval or clearance of a marketing 
application. However, if FDA believes modifications to the study are needed to achieve this 
objective, FDA will convey such considerations to the sponsor to provide greater clarity and 
predictability. In addition, FDA will convey to the sponsor considerations that FDA believes will 
be important for future submissions related to the proposed investigation. These considerations 
are communicated in the following ways: 
  Study Design Assessment. For pivotal studies, FDAs decision letter will specify 
whether FDA believes that (1) the study design is adequate and may support a future 
marketing approval or clearance, if it is successfully executed and meets its stated 
endpoints without raising unforeseen safety concerns; or (2) additional modifications are 
needed in order for the study to do so.21 Similarly, for feasibility studies designed to 
support a future pivotal study, FDAs decision letter will specify whether FDA believes 
the study design is adequate to support the study goals.  
If FDA determines that a pivotal study design is adequate and may support a future 
marketing application, FDA intends to consider changes to its assessment of the study 
design only if the sponsor materially changes the device or the study design or important 
issues relevant to a determination of safety or effectiveness have emerged since it 
approved the IDE. In such cases, FDA will acknowledge the change in its assessment, 
document the rationale for the change, and discuss with the sponsor how the identified 
issues relate to safety and effectiveness. Appropriate management concurrence will 
support FDAs determination. 
 
  Study Design Considerations. If FDA identifies concerns unrelated to subject safety 
which the Agency believes should be addressed to enable the study to support the 
                                                           
21 An IDE disapproval or approval decision is a significant decision under section 517A of the FD&C Act (517A 
decision).  Factors unrelated to the approvability of the IDE, such as the study design assessment, study design 
considerations, and future considerations, may be appealed but are not considered significant decisions under 517A.  
For more information on 517A decisions and non-517A decisions, see FDAs draft guidance Center for Devices 
and Radiological Health Appeals Processes: Questions and Answers About 517A, available at 
http://www.fda.gov/MedicalDevices/DeviceRegulationandGuidance/GuidanceDocuments/ucm352248.htm; when 
final, this guidance will represent the Agencys current thinking on this topic.  
12  Contains Nonbinding Recommendations 
 
sponsors stated goals (e.g., a future marketing application or future study), FDA intends 
to communicate these study design considerations to the sponsor.22  Where FDA 
provides a suggested approach to address a study design consideration, FDA will adhere 
to the least burdensome principle, meaning that it will suggest only those modifications it 
deems necessary to successfully address outstanding issues related to approval/clearance 
of a future marketing application or study. Sponsors are encouraged but not required to 
address study design considerations. Sponsors who choose to propose changes to address 
the identified study design considerations must obtain approval from FDA prior to 
implementation (See Section 9). If FDA recommends major modifications to the 
investigational plan, FDA may recommend that the sponsor submit a Pre-Submission to 
discuss the study design before submitting modifications under the IDE.  
Examples of potential study design considerations (if unrelated to subject protection) 
include suggestions related to: 
o  Primary and important secondary endpoints and study success criteria 
o  Randomization and control plan 
o  Blinding (masking) 
o  Follow-up duration and assessments 
o  Statistical plan, including: 
  Statistical method for analysis of key endpoints 
  Sample size and power 
  Missing data handling 
  Type-1 error control 
  Interim analyses and stopping rules 
  Poolability   
o  Case report forms 
o  Enrollment criteria 
o  Core labs and independent adjudication committees 
  Future Considerations. Future considerations are issues or recommendations that FDA 
believes the sponsor should consider in preparing for a marketing application or a future 
clinical investigation but which FDA does not deem necessary to address to enable the 
current study to support its stated goals. Future considerations are intended to provide 
helpful, non-binding advice to sponsors regarding important elements of the future 
application that the IDE may not specifically address. Future considerations 
communicated to the sponsor are not intended to list all additional issues that the sponsor 
should consider in preparing for a future submission. Examples of typical future 
considerations include discussion of: 
o  Known limitations of the IDE clinical investigation in supporting certain claims 
or indications. For example, FDA may remind the sponsor that, due to a specific 
exclusion criterion, any approved/cleared indications for use based on the clinical 
                                                           
22 Any changes to the study design needed to protect study subjects will be communicated as deficiencies that may 
result in IDE disapproval (as discussed in section 6) and will not be communicated as study design considerations. 
13  Contains Nonbinding Recommendations 
 
investigation will be limited to that particular population rather than a broader 
population. 
o  Specific non-clinical testing that, while not necessary to support approval of the 
IDE, will be needed to support the marketing application. For example, FDA may 
have accepted shorter term device durability testing to support IDE approval but 
may wish to remind the sponsor that longer term testing will be needed to support 
a marketing application. 
8.  Informed Consent Document 
The process of informing potential study subjects of, among other things, the possible risks, 
benefits, and alternatives associated with participation in the clinical investigation is a necessary 
element of proper study conduct. FDA closely reviews the informed consent document as part of 
the IDE review. In order to support approval of the IDE, the informed consent document must 
meet the requirements of 21 CFR Part 50. Changes to address minor issues related to the 
informed consent may be addressed as a condition of approval as discussed in Section 4. 
Changes to address major issues will generally require FDA review prior to implementation and 
may be grounds for disapproval (see Section 6). Additional information on informed consent can 
be found on FDAs website: A Guide to Informed Consent  Information Sheet: Guidance for 
Institutional Review Boards and Clinical Investigators 
(http://www.fda.gov/RegulatoryInformation/Guidances/ucm126431.htm). 
9.  Supplements, Reports, and Amendments to IDEs 
In general, reports are intended to provide notification or updates for FDAs routine monitoring 
of a clinical investigation, while supplements are intended to seek FDAs approval for something 
new or different.   
Supplements 
Supplements to IDEs are submitted for several reasons, including the following: 
  To request approval for changes to a clinical investigation(e.g., to the investigational 
protocol or informed consent), including those proposed in response to study design 
considerations FDA previously identified; 
  To request approval for changes to the investigational device (e.g., device design or 
manufacturing) ; 
  To notify FDA that changes to the investigation or the device that do not require prior 
approval have been made (i.e., 5-day notice);23 
                                                           
23 The guidance document entitled Changes or Modifications During the Conduct of a Clinical Investigation, 
(available at http://www.fda.gov/medicaldevices/deviceregulationandguidance/guidancedocuments/ucm082145.htm) 
discusses the types of changes that require FDA approval and those that qualify for notification. For additional 
guidance on the use of 5-day notices in early feasibility studies, please see the guidance document entitled 
Investigational Device Exemptions (IDE) for Early Feasibility Medical Device Clinical Studies, Including First in 
Human (FIH) Studies (available at 
http://www.fda.gov/downloads/MedicalDevices/DeviceRegulationandGuidance/GuidanceDocuments/UCM279103.
pdf).  
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  To request approval for a new study (e.g., a pivotal study) under the same IDE as an 
earlier study (e.g., a feasibility study) for the same device studied for the same indication;  
  To request that the study be expanded in terms of number of approved subjects and/or 
investigational sites. This may be based on the sponsors providing data that were 
requested under a staged approval; 
  To request approval to terminate enrollment and/or follow-up in a manner different from 
that described in the approved investigational protocol; 
  To notify FDA when a study has been suspended and subsequently to request approval to 
resume a suspended study; 
  To request approval for a compassionate use, 24 live case demonstration, or other protocol 
deviation; and 
  To request an extension of time for responding to an FDA letter or for meeting a 
reporting requirement.   
The FDA decision process for supplements is similar to that described for original IDE 
submissions, with the same decision options (i.e., approval, approval with conditions, and 
disapproval) and review and response timelines. Similar to original IDE applications, an IDE 
supplement will receive a single decision for the entire supplement (i.e., approval, approval with 
conditions, or disapproval).  If a supplement is approved with conditions or disapproved, the 
sponsors response to the deficiencies identified in FDAs letter is designated as an amendment 
to that supplement.  
A notable difference between FDAs review of supplements requesting changes and the review 
of an original IDE submission is that FDA disapproval of a supplement requesting changes to an 
approved study does not imply that the IDE study itself is disapproved. For example, if a 
supplement to an approved IDE requests approval for changes to the clinical investigation, and 
that supplement is disapproved, the sponsor may not implement the requested changes. However, 
the previously approved clinical investigation remains approved and may continue.25  
Reports 
Reports to IDEs are submitted for several reasons, including the following: 
  To provide biannual investigator/site/IRB reporting information required for studies 
approved with an investigational site waiver; 
  To provide annual reports to FDA and, if requested by FDA, to provide more frequent 
interim reports; 
  To notify FDA of a failure to obtain informed consent; 
  To notify FDA of an Emergency Use; 
  To report to FDA on the outcome of an approved compassionate use or live case; 
  To report to FDA on unanticipated adverse device effects as required per 21 CFR 
812.150 (b)(1);  
                                                           
24 The guidance entitled Guidance on IDE Policies and Procedures, (available at 
http://www.fda.gov/medicaldevices/deviceregulationandguidance/guidancedocuments/ucm080202.htm), discusses 
Compassionate and Emergency Uses. 
25 If the supplement was submitted to address a safety issue in the study, FDA may determine that the study should 
be placed on clinical hold. 
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  To notify FDA of completion of enrollment; 
  To notify FDA of completion of a study (including all patient follow-up); 
  To provide the final IDE report to FDA; 
  To notify FDA of other information, as appropriate, related to the ongoing clinical 
investigation. 
For IDE reports, FDA will respond to the sponsor within 30 days if FDA has questions or 
requests for additional information; otherwise, FDA may close the submission without issuing a 
formal response letter to the sponsor. In such cases, FDA will generally inform the sponsor via 
email that the submission has been closed.  If a report is deficient, the sponsors response to the 
deficiencies identified in FDAs communication is designated as an amendment to that report. 
Amendments 
Any response to a deficiency letter is an Amendment to the submission for which the deficiency 
letter was sent. Amendments may be submitted to each of three parent document types: Original 
IDEs, IDE Supplements, and IDE Reports. Importantly, multiple Amendments will be accepted 
until all of the deficiencies have been resolved. 
10.  Examples 
The following are generic examples of how different IDE decision mechanisms may be 
employed.  
10.1. Example 1 
A sponsor submits an original IDE application to conduct a 30-subject feasibility study for a 
permanently implanted device to treat a serious chronic medical condition. The study is intended 
to provide data to support a future pivotal study.  
FDAs review results in the following conclusions: 
  The data provided are sufficient to support a feasibility clinical evaluation under the 
rigorous monitoring plan proposed. 
  Because questions remain regarding the consequences of the long-term presence of the 
device, longer-term animal data that include histology may be needed before a pivotal 
study exposing a large number of subjects to the device can be approved.  
  The sponsors proposed follow-up assessments do not include a particular evaluation that, 
while not a subject safety issue, is important for assessing the devices performance.  
  The informed consent document does not communicate a potential risk relevant for this 
study.  
FDA determines that none of the concerns should preclude the sponsor from initiating the 
feasibility study, provided that the informed consent document is amended. Therefore, FDA 
issues an approval with conditions letter to the sponsor. The letter states that the sponsor may 
initiate enrollment in the study, using an informed consent document that is modified to include 
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the potential risk discussed above on the condition that, within 45 days from the date of FDAs 
letter, the sponsor submits the modified consent form to FDA for review.  
In addition, FDAs letter notes that FDA believes changes to the study design are needed to 
enable the feasibility study to support a future pivotal study. An attachment to FDAs letter 
includes a study design consideration suggesting that the sponsor modify the follow-up 
assessments to include the evaluation noted above. The attachment also includes a future 
consideration related to the likely need for a longer-term animal study prior to initiating a future 
pivotal study to collect additional safety data, unless the sponsor is able to provide additional 
data or a scientifically valid rationale for why such a study is not needed.  
The sponsor submits an amendment to the IDE to respond to FDAs approval with conditions 
letter within 45 days. In addition to addressing the informed consent issue, the submission 
provides a modified clinical protocol addressing the study design consideration noted in FDAs 
letter. FDA approves the IDE without conditions. FDAs approval letter notes that FDA believes 
the study design is adequate to support the study goals.  
10.2. Example 2  
A sponsor submits an original IDE application to request approval of a 300-subject pivotal study 
at 10 sites to evaluate the safety and effectiveness of a permanently implanted device to treat a 
serious chronic medical condition.  
FDA identifies the following issues that must be addressed before initiating subject enrollment in 
a study: 
  Inadequate non-clinical durability testing to evaluate a potential failure mode.  
  Enrollment criteria do not exclude subjects with severe renal insufficiency in a study that 
requires contrast-enhanced imaging and for whom the device is contraindicated. This 
subgroup has an unacceptably high risk of serious adverse events and should not be 
enrolled in the study. 
FDA also identifies the following study design issues it believes should be addressed to enable 
the study to support a marketing application: 
  The sponsor proposed an historical control but FDA believes a concurrent randomized 
control group is needed because available historical control data are not representative of 
the current standard of care. 
  The sponsor proposed a 3-month follow-up duration, but FDA believes the primary 
endpoints should be evaluated at 6 months due to essential longer-term safety and 
effectiveness questions regarding this device. 
  There are inadequacies regarding definitions of parameters associated with the safety 
endpoint. 
  The protocol needs to include additional details regarding the statistical analysis plan. 
Based on the first two concerns, FDA disapproves the study. An attachment to FDAs letter 
conveys the four above-stated study design considerations, which the sponsor need not address.  
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In response to FDAs letter, the sponsor submits an amendment to the IDE that includes 
additional durability test data and a modified clinical protocol. Modifications to the protocol 
include changes to the enrollment criteria to exclude the specific sub-population of concern. The 
amendment specifically responds to each deficiency. Additional changes were made to address 
FDAs study design considerations. Specifically, the sponsor has proposed a longer follow-up 
duration but continues to believe that a historical control is appropriate.  
FDAs review of the amendment does not identify any issues precluding the sponsor from 
initiating the study. FDA determines that the durability test data provided strongly suggest good 
long-term device performance and are sufficient to support study of the device in a small group 
of subjects. However, the data are not adequate to fully FDAs concern and longer term non-
clinical durability testing should be conducted before the full subject cohort is exposed to the 
risks of the study. Furthermore, while the revised study design partially addresses FDAs 
concerns, based on the information provided, FDA continues to believe that a concurrent 
randomized control group is needed to enable the study to support a future marketing 
application. 
FDA issues a staged approval letter allowing the sponsor to begin study enrollment of up to 50 
subjects at five sites.  FDAs letter informs the sponsor that, concurrent with enrollment in the 
study, the sponsor should conduct longer-term durability testing. The results of this testing will 
be needed to support expansion of the study. FDAs letter also indicates that FDA believes the 
current study design is unlikely to support a marketing application. The study design 
consideration included in an attachment to FDAs letter explains why FDA believes that a 
historical control will not suffice and a concurrent control group is likely needed.   
The sponsor submits a Pre-Submission to discuss a new proposal for a concurrent control. FDA 
and the sponsor work together to develop minor modifications to the sponsors proposal to 
address FDAs concerns. 
The sponsor submits a supplement26 to the IDE to modify the study design as discussed in the 
Pre-Submission. FDA approves the IDE supplement. FDAs approval letter informs the sponsor 
that FDA believes the study design provided in the submission is adequate and may support a 
future marketing application, assuming that the study is successfully executed and meets its 
stated endpoints without raising unforeseen safety concerns. The enrollment continues to be 
limited to 50 subjects while the durability testing is ongoing.  
Two months later, with 37 subjects enrolled in the study, the sponsor submits an IDE supplement 
providing durability testing results and requests approval to enroll up to 300 subjects. FDA finds 
the results acceptable and grants the sponsor approval to enroll the full subject cohort.  
1.3  Example 3 (variation on Example 2) 
A sponsor submits an original IDE application to request approval of a 300-subject pivotal study 
at 10 sites to evaluate the safety and effectiveness of a permanently implanted device to treat a 
                                                           
26 Because none of the changes proposed in the example submission is in response to deficiencies, it is designated as 
a supplement and not an amendment. 
18  Contains Nonbinding Recommendations 
 
serious chronic medical condition. FDA identifies the same concerns described in Example 2. In 
contrast to Example 2, the sponsor chooses not to address the study design considerations 
provided in the attachment to FDAs letters. FDAs approval letters (for the initial stage and the 
subsequent full enrollment) inform the sponsor that FDA believes the current study design is 
unlikely to support a marketing application. The study design considerations provided explain 
the modifications that FDA believes are needed to enable the study to support a marketing 
application. The sponsor, however, chooses to conduct the study as currently designed. 
11.  Conclusions 
FDA recognizes the public health benefit of permitting clinical investigations of medical devices 
to proceed in a timely and efficient manner while ensuring proper subject protections. When 
determining whether to approve an IDE application, FDA considers many factors, as discussed 
in this document. Where appropriate, FDA seeks to offer flexibility in how to address 
outstanding issues (e.g., approval with conditions, staged approval, and future considerations) to 
allow clinical investigations to commence without unnecessary delay while ensuring that human 
subjects are adequately protected. 
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