Guidance for FDA

Reviewers

Premarket Notification

Submissions for Transfer Sets

(Excluding Sterile Connecting

Devices)

Comments and suggestions regarding this document may be submitted at anytime to Dockets

Management branch (HFA-305), Food and Drug Administration, 5630 Fishers Lane, rm. 1061,

Rockville, MD 20852. All comments should be identified with the title of this guidance

document.

Additional copies are available from the Office of Communication, Training, and Manufacturers

Assistance (HFM-40), 1401 Rockville Pike, Rockville, MD 20852-1448 or by calling 1-800-835-

4709 or 301-827-1800 or from the Internet at http://www.fda.gov/cber/guidelines.htm

For questions on the content of the document contact Martin Northern at 301-827-3524.

U.S. Department of Health and Human Services

Food and Drug Administration

Center for Biologics Evaluation and Research

July 2001
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TABLE OF CONTENTS

I. INTRODUCTION............................................................................................................. 1

II. DEVICE DEFINITIONS.................................................................................................. 2

III. PRODUCT DESCRIPTIONS.......................................................................................... 2

IV. DESIGN AND PERFORMANCE FEATURES............................................................. 3

V. SAFETY AND EFFECTIVENESS TESTING............................................................... 3

VI. LABELING........................................................................................................................ 5
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Guidance for FDA Reviewers

Premarket Notification Submissions for Transfer Sets (Excluding

Sterile Connecting Devices)

This guidance represents the Agency’s current thinking on the review of premarket notification

submissions for transfer sets (excluding Sterile Connecting Devices) used in blood

establishments. It does not create or confer any rights for or on any person and does not operate

to bind FDA or the public. An alternate approach may be used if such approach satisfies the

requirements of the applicable statutes and regulations.

I. INTRODUCTION

This guidance presents an overview of the type of information FDA reviewers should expect to

be included in premarket notifications submitted for such devices and the approach FDA

reviewers normally should take in reviewing premarket submissions for transfer sets (excluding

sterile connecting devices) used in blood establishments. The detailed requirements for

premarket notifications in 21 CFR Part 807 should also be consulted.

The development of this document is based on information currently recognized as important for

a complete and adequate review of these devices by the Regulatory Project Management Branch

(RPMB) in the Office of Blood Research and Review (OBRR). The use of this document for the

preparation of a 510(k) for transfer sets is not mandatory and its use does not ensure FDA

clearance of a device. However, the use of this document will help ensure that the basic

elements are present to conduct an evaluation of substantial equivalence for the device(s).

Certain 510(k) submissions may require additional information not described in this document.

This guidance is subject to revision depending upon new technological information and

regulatory requirements.

GENERAL INFORMATION

510(k) Summary or Statement. In accordance with the Safe Medical Devices Act of 1990 as

amended by the Food and Drug Administration Modernization Act (FDAMA) of 1997 and 21

CFR Part 807.87(h), the applicant must submit either: (1) a summary of the safety and

effectiveness information in the premarket notification submission upon which an equivalence

determination could be based (i.e., a "510(k) summary"); or (2) a statement that safety and

effectiveness information will be made available to interested persons upon request (i.e., a

"510(k) statement"). The summary or statement should be clearly identified as a "510(k)

summary" or a "510(k) statement".
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Truthful and Accurate Statement. As required by 21 CFR 807.87(k), the manufacturer or

applicant must also provide a statement that all data and information submitted in the premarket

notification are truthful and accurate and that no material fact has been omitted.

Indications for Use Form. On January 1, 1996, FDA implemented a change in the way premarket notifications (510(k)s) would be handled. FDA issued a letter on February 6, 1996,

concerning this change to all 510(k) submitters requesting that they clearly identify the

"Indications for Use" for which a substantially equivalent determination is sought using a

separate page that is clearly labeled as "Indications for Use". This separate sheet should include

the trade name of the device and the proposed uses for the device.

The New 510(k) Paradigm. On March 20, 1998, new guidance for the submission of 510(k)s

became effective. This guidance is titled "The New 510(k) Paradigm." More information on the

New 510(k) Paradigm is available at: http://www.fda.gov/cdrh/modact/modern.html.

Other documents and guidances which may be useful in the preparation of the 510(k) can be

found on the CDRH home page at http://www.fda.gov/cdrhor by telephone at the [CDRH FAX

on Demand at 800-899-0381].

II. DEVICE DEFINITIONS

A transfer set is a device intended for medical purposes that consists of a piece of tubing with

suitable adapters used to transfer blood or plasma from one container to another (21 CFR

864.9875).

Standards

Standard for these devices that is recognized by FDA:

ANSI/AAMI/ISO 10993-1: 1997 Biological Evaluation of Medical Devices - Part 1:

Evaluation and Testing

III. PRODUCT DESCRIPTIONS

The following information should be included in a 510(k) submission:

• Transfer sets are classified in 21 CFR 864.9875 (a), PRODUCT CODE is 81 KSB.

The trade name of the device must be clearly identified as required by 21 CFR

807.87(a).

• A detailed description of the product, its intended use(s), and its indication(s) for use.

• Identification of a legally marketed device to which substantial equivalence is

claimed and provide a comparative analysis (descriptive or tabular) of the similarities

and differences of the device to that legally marketed device in terms of intended use,
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indications for use, design features, technological and mechanical properties,

functional specifications, and operational parameters.

IV. DESIGN AND PERFORMANCE FEATURES

The design and performance features of the transfer set provide the basis for understanding the

intended uses and capabilities of the device. Design features address the intended uses of the

device to meet the need of the user and the patient, while the performance features ensure that

the device is safe and effective when used in accordance with the directions. The features listed

in this section are important in determining whether the transfer set described in the 510(k)

submission is substantially equivalent to a legally marketed device. A discussion of many of

these features can be found in the standards document identified in Section II of this guidance

document.

Materials of construction

U.S.P. Approved

Engineering diagrams

Functionality

Physical durability and robustness

Temperature range

Performance

Quality of product prepared

Safety features

Leachability

V. SAFETY AND EFFECTIVENESS TESTING

A. Biocompatibility of Materials

Except as noted below, biocompatibility testing is indicated for all parts of the device that

have direct or indirect contact with the patient and is performed to determine the potential

toxicity that can result from contact of the component materials of the device with the

patient’s body. The materials used in the construction of the device should not, either

directly or indirectly through the release of their material constituents, (1) produce

unreasonable risk of adverse local or systemic effects; (2) be carcinogenic; or (3) cause

adverse reproductive and developmental effects. The evaluation of any new device

intended for human use should include data from systematic testing to ensure that the

benefits provided by the final product will exceed any potential risks produced by device

materials.
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Biocompatibility testing is indicated when a "new" or non-conventional material or

chemical component is incorporated into a device and there is no known appropriate

predicate use, or for which the safety or effectiveness of the resulting formulation is in

question. These materials or chemical components include plastics, metals, colorants,

plasticizers, germicides, and chemical or other treatments of the device or device

components.

Biocompatibility testing should be submitted on the finished product, using test

conditions simulating as closely as possible actual patient use. Biocompatibility testing is

not indicated for materials and chemical components that have already been incorporated

in legally marketed devices with similar conditions of use, or have a demonstrated history

of safety and effectiveness; however, the biocompatibility of these materials and

chemical components should be fully discussed to support the lack of testing.

Refer to ISO-10993-1: 1997, Part I "Biological Evaluation of Medical Devices,

Evaluation and Testing", and the FDA-modified matrix to identify the types of

biocompatibility testing that should be considered in evaluating the safety-in-use of

medical devices and materials. The ISO Standard, Part 1, uses an approach to test

selection that is very similar to the Tripartite Biocompatibility Guidance. It also uses a

tabular format (matrix) for laying out the test requirements based on the various factors

discussed above. The matrix consists of two tables, "Initial Evaluation Tests for

Consideration" and "Supplementary Evaluation Tests for Consideration." To harmonize

biological response testing with the requirements of other countries, FDA will apply the

ISO Standard, Part 1, in the review process in lieu of the Tripartite Biocompatibility

Guidance.

Reviewers in OBRR should accept data developed according to ISO-10993-1: 1997, Part

1, with the matrix as modified and presented in Blue Book Memorandum #G95-1 entitled

"Use of International Standard ISO-10993, Biological Evaluation of Medical Devices

Part-1: Evaluation and Testing." The manufacturer or the applicant also has the option of

providing a summary of the specific tests conducted in accordance with the standard.

All testing performed should either be in compliance with the recommended standard

documents or test results should be accompanied by an explanation as to how the testing

or methodology is an acceptable alternative to that of the standard. FDA reviewers should

advise the manufacturer or applicant to initiate discussions with the RPMB prior to the

initiation of expensive, long-term testing of any new device materials to ensure that the

proper testing will be conducted and unnecessary testing will not be undertaken. We also

recognize that an ISO standard is a document that undergoes periodic review and is

subject to revision.

B. Device Performance

The submission would normally contain data to support the safe and effective operations

of the device when used according to the directions for use. However, the manufacturer
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or applicant now has the option of providing a declaration of conformance to a standard.

A declaration of conformance to a standard obviates the need for the submission of

protocols and raw data as called for by that standard. If the submission does not include a

declaration of conformance to a standard, the submission should include performance

data from bench testing. Additional data may include results from testing under actual

conditions or in a simulated environment in which the device is expected to be used. As

with the biocompatibility testing, functional testing should be performed in compliance

with the recommended standards or be accompanied by a justification that the testing or

methodology is an acceptable alternative to that particular standard.

FDA reviewers should advise manufacturers or applicants to initiate discussions with the

RPMB prior to the initiation of extensive performance testing to ensure that proper

testing will be conducted. Since standards are documents that undergo periodic review

and are subject to revision, FDA reviewers should also notify manufacturers or applicants

of any future revisions of any performance standards referenced here.

VI. LABELING

It is important to the user that the labeling for the transfer set bear clear, accurate, and complete

information for use concerning any relevant indications for use, conditions and limitations of

use, hazards, contraindications, and precautions in its use.

The 510(k) should identify and discuss all known situations and events that could cause the

device to malfunction or become a hazard to the user or patient when the device is being

properly used. The labeling should discuss these situations and hazards in a precaution, warning,

or advisory statement as appropriate.

A 510(k) submission for transfer sets should include the proposed package labels and labeling.

Labeling refers to the package label plus other written, printed, or graphic material that

accompanies the device or that is placed on either the device or any of its wrappers or containers.

Advertising may be considered labeling, especially if it accompanies the device. The labeling

must bear adequate directions for use and any warnings needed to ensure the safe use of the

device. See sections 201(k) and 502(f)(1) and (2) of the Federal Food, Drug, and Cosmetic Act.