{"id":48560,"date":"2023-08-28T12:50:17","date_gmt":"2023-08-28T19:50:17","guid":{"rendered":"https:\/\/www.washington.edu\/research\/?page_id=48560"},"modified":"2026-02-04T11:21:45","modified_gmt":"2026-02-04T19:21:45","slug":"fda","status":"publish","type":"page","link":"https:\/\/www.washington.edu\/research\/hsd\/guidance\/fda\/","title":{"rendered":"FDA Regulated Research"},"content":{"rendered":"
This guidance provides researchers, the Human Subjects Division (HSD), and the UW Institutional Review Boards (IRBs) with an overview of the human subjects requirements for research that is regulated by the Food and Drug Administration (FDA) and for studies that involve the use of an investigational drug or device.<\/p>\n There are many additional sponsor, investigator, and sponsor-investigator responsibilities outside of IRB responsibilities which are described in guidance issued by the FDA.<\/p>\n Details about the following FDA regulated activities can be found elsewhere:<\/p>\n Drugs are regulated by the Center for Drug Evaluation and Research (CDER), a division within the FDA. The CDER grants Investigational New Drugs (INDs) for both emergency and non-emergency use.<\/p>\n Devices are regulated by the Center for Devices and Radiological Health (CDRH), a division within the FDA. The CDRH grants Investigational Device Exemptions (IDEs) and Humanitarian Device Exemptions (HDEs) and grants Humanitarian Use Device status to devices. <\/p>\n Researchers who have the role of both sponsor and investigator<\/a> have additional FDA-specified responsibilities which the UW expects them to fulfill. <\/p>\n HSD staff make the determination about the applicability of specific FDA regulations<\/strong> based on interpretation of FDA regulations and the information provided in the IRB application by the researcher. The HSD staff procedures for making these determinations are outlined in the SOP FDA Regulated Research<\/strong>.<\/p>\n The FDA regulations include general requirements for IRB approval of clinical investigations involving human subjects as well as additional requirements for studies involving investigational drugs and devices.<\/strong><\/p>\n These activities are not considered by the FDA to be part of the clinical investigation.<\/strong> Although these activities may be associated with FDA regulated studies, the FDA regulations do not apply:<\/p>\n The FDA requires sponsors<\/a>\/sponsor-investigators<\/a> to obtain an Investigational New Drug (IND) approval from the FDA before conducting research on a new drug<\/a>, or on a new use of an already approved drug unless the drug qualifies for an IND exemption.<\/strong><\/p>\n What is an IND exemption?<\/strong> The FDA identifies particular categories of drug research that do not require an IND approval and that are not subject to the FDA drug regulations (21 CFR 312). These IND exemptions are described in the worksheet, FDA Drugs and the IND Requirement<\/a> and the FDA provides guidance at this webpage<\/a>.<\/p>\n Who makes the determination?<\/strong> The sponsor\/sponsor-investigator is responsible for determining whether their planned use of an investigational drug is IND exempt and reporting that information in their Zipline IRB application and in the supplement, Drugs, Biologicals, Botanicals, Supplements<\/a>. The IRB reviewer considers that determination and requests additional information if needed. If the use of the drug qualifies as IND exempt, it may qualify for expedited review if it meets the requirements described in the worksheet, Expedited Review<\/a>.<\/p>\n When to apply for an IND.<\/strong> If the use of the investigational drug does not qualify as IND exempt, the sponsor\/sponsor-investigator must apply to the FDA for IND approval. When it is known that an IND is required, the FDA application should be submitted before or at the same time as the IRB application to reduce delays in beginning the study. Review time for initial submission of an IND is 30 days from the date the FDA receives the application.<\/p>\n How to apply for an IND.<\/strong> The FDA provides guidance about the application process at this webpage<\/a>. <\/p>\n IND and IRB approval.<\/strong> The IRB review may begin prior to FDA approval, but the IRB application cannot be fully approved until the IRB receives documentation that the FDA received the application and has issued an IND. This documentation (email, letter) must: (1)<\/strong> be from the sponsor, FDA, a multi-site coordinating center, or a Contract Research Organization (CRO); (2)<\/strong> refer to the specific research study by title; and (3)<\/strong> provide the IND number assigned by the FDA. The IND number must also be entered into the Zipline SmartForm for drugs. Per the FDA, the investigation may proceed once the sponsor has been notified by the FDA that the investigation may proceed or 30 days after the FDA receives the application so long as the IND is not placed on Clinical Hold<\/a>.<\/p>\n The FDA requires sponsors<\/a>\/sponsor-investigators<\/a> to obtain an Investigational Device Exemption (IDE) approval from the FDA before conducting research on a new device, or on a new use of an already-approved device<\/a> unless the device qualifies for an IDE exemption<\/em> or as an abbreviated IDE<\/em>.<\/strong> The FDA provides a helpful summary presentation about IDEs on this webpage<\/a>.<\/p>\n What is an IDE exemption?<\/strong> The FDA identified particular types of devices that do not require an IDE approval and that are not subject to the FDA device regulations (21 CFR 812). These IDE exemptions are described in the worksheet, FDA Devices and the IDE Requirement<\/a>.<\/p>\n Who makes the determination?<\/strong> The sponsor\/sponsor-investigator is responsible for determining whether their planned use of an investigational device is IDE exempt and reporting that information in their Zipline IRB application and in the supplement, Devices<\/a>. The IRB reviewer considers that determination and requests additional information if needed. If the use of the device qualifies as IDE exempt, it may qualify for expedited review if it meets the requirements described in the worksheet, Expedited Review<\/a>.<\/p>\n What is an abbreviated IDE?<\/strong> When particular criteria are met, the study can be considered to have an FDA approved IDE without having applied for one. This is called an abbreviated IDE and in these cases no interaction with, or documentation from the FDA is required. The requirements for an abbreviated IDE are described in the worksheet, FDA Devices and the IDE Requirement<\/a>.<\/p>\n Who makes the determination?<\/strong> The sponsor\/sponsor-investigator is responsible for determining whether their planned use of an investigational device qualifies for an abbreviated IDE and reporting that information in their Zipline IRB application and in the supplement, Devices<\/a>. However, the FDA requires concurrence from the convened IRB that the use of the device qualifies.<\/p>\n Significant risk versus nonsignificant risk device.<\/strong> One criterion for an abbreviated IDE is that the use qualifies as nonsignificant risk<\/em>. Guidelines for making that determination are in the worksheet, FDA Devices and the IDE Requirement<\/a>.<\/p>\n Obtaining an IDE from the FDA<\/strong><\/p>\n FDA Device Tracking Requirements<\/strong> The tracking requirement is permanent. It ends only when the manufacturer has evidence to confirm that: (1)<\/strong> the FDA has lifted the tracking requirement; (2)<\/strong> a device has been returned, destroyed, or explanted; or (3)<\/strong> the patient\/subject has died.<\/p>\n Tracking is typically required:<\/p>\n Required elements of consent.<\/strong>The FDA required elements of consent can be found in the worksheet, Consent Requirements and Waivers<\/a>. Additional guidance about how to describe procedures, risks, and costs of participation related to investigational drugs and devices can be found in the Separate Key Information consent template<\/a>.<\/p>\n Reporting requirements.<\/strong> Certain IRB determinations and findings about FDA regulated research must be reported to the FDA. These include: suspension or termination of IRB approval; unanticipated problems; serious or continuing noncompliance. More information about reporting requirements can be found on this webpage, Guide to Reporting New Information<\/a> and in the SOP RNI Reporting by Researchers<\/a>.<\/p>\n
Print<\/a><\/p>\nGUIDANCE Contents<\/h3>\n
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Purpose and Applicability<\/h2>\n
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Context<\/h2>\n
Identifying FDA Regulated Activities<\/h2>\n
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Additional Requirements for Investigational Drugs, Biologics, Botanicals, and Supplements<\/h2>\n
IND Exemption<\/h3>\n
Obtaining an IND from the FDA<\/strong><\/h3>\n
Additional Requirements for Investigational Devices<\/h2>\n
IDE exemption<\/strong><\/h3>\n
Abbreviated IDE<\/strong><\/h3>\n
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\nThe FDA requires that device manufacturers track certain devices. The requirement is communicated to the manufacturers with an IDE determination or as part of the device market approval. Tracking facilitates notification and recall should a device present a serious risk to health that requires prompt attention. A device registry typically satisfies the requirements of a tracking program. <\/p>\n\n
IRB Review Procedures<\/h2>\n
What to submit for an FDA regulated study<\/h3>\n
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What to submit for an investigational drug study.<\/h3>\n
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What to submit for an investigational device study.<\/h3>\n
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Consent considerations for FDA regulated studies.<\/h3>\n