Chapter I: Documentation regarding the application for interventional clinical performance studies and other performance studies involving risks for the subjects of the studies

For devices intended to be used in the context of interventional clinical performance studies or other performance studies involving risks for the subjects of the studies, the sponsor shall draw up and submit the application in accordance with Article 58 accompanied by the following documents:

1.Application form

The application form shall be duly filled in, containing the following information:


name, address and contact details of the sponsor and, if applicable, name, address and contact details of its contact person or legal representative in accordance with Article 58(4) established in the Union;


if different from those in Section 1.1, name, address and contact details of the manufacturer of the device intended for performance evaluation and, if applicable, of its authorised representative;


title of the performance study;


single identification number in accordance with Article 66(1);


status of the performance study, such as. the first submission, resubmission, significant amendment;


details and/ or reference to the performance study plan, such as including details of the design phase of the performance study;


if the application is a resubmission with regard to a device for which an application has been already submitted, the date or dates and reference number or numbers of the earlier application or in the case of significant amendment, reference to the original application. The sponsor shall identify all of the changes from the previous application together with a rationale for those changes, in particular, whether any changes have been made to address conclusions of previous competent authority or ethics committee reviews;


if the application is submitted in parallel with an application for a clinical trial in accordance with Regulation (EU) No 536/2014, reference to the official registration number of the clinical trial;


identification of the Member States and third countries in which the clinical performance study is to be conducted as part of a multicentre or multinational study at the time of application;


brief description of the device for performance study, its classification and other information necessary for the identification of the device and device type;


summary of the performance study plan;


if applicable, information regarding a comparator device, its classification and other information necessary for the identification of the comparator device;


evidence from the sponsor that the clinical investigator and the investigational site are capable of conducting the clinical performance study in accordance with the performance study plan;


details of the anticipated start date and duration of the performance study;


details to identify the notified body, if already involved at the stage of application for the performance study;


confirmation that the sponsor is aware that the competent authority may contact the ethics committee that is assessing or has assessed the application;


the statement referred to in Section 4.1.

2.Investigator's brochure

The investigator's brochure (IB) shall contain the information on the device for performance study that is relevant for the study and available at the time of application. Any updates to the IB or other relevant information that is newly available shall be brought to the attention of the investigators in a timely manner. The IB shall be clearly identified and contain in particular the following information:


Identification and description of the device, including information on the intended purpose, the risk classification and applicable classification rule pursuant to Annex VIII, design and manufacturing of the device and reference to previous and similar generations of the device.


Manufacturer's instructions for installation, maintenance, maintaining hygiene standards and for use, including storage and handling requirements, as well as, to the extent that such information is available, information to be placed the label, and instructions for use to be provided with the device when placed on the market. In addition, information relating to any relevant training required.


Analytical performance.


Existing clinical data, in particular:

  • from relevant peer-reviewed scientific literature and available consensus expert opinions or positions from relevant professional associations relating to the safety, performance, clinical benefits to patients, design characteristics, scientific validity, clinical performance and intended purpose of the device and/or of equivalent or similar devices;
  • other relevant clinical data available relating to the safety, scientific validity, clinical performance, clinical benefits to patients, design characteristics and intended purpose of similar devices, including details of their similarities and differences with the device in question.


Summary of the benefit-risk analysis and the risk management, including information regarding known or foreseeable risks and warnings.


In the case of devices that include tissues, cells and substances of human, animal or microbial origins detailed information on the tissues, cells and substances, and on the compliance with the relevant general safety and performance requirements and the specific risk management in relation to those tissues, cells and substances.


A list detailing the fulfilment of the relevant general safety and performance requirements set out in Annex I, including the standards and CS applied, in full or in part, as well as a description of the solutions for fulfilling the relevant general safety and performance requirements, in so far as those standards and CS have not or have only been partly fulfilled or are lacking.


A detailed description of the clinical procedures and diagnostic tests used in the course of the performance study and in particular information on any deviation from normal clinical practice.

3.Performance study plan as referred to in Sections 2 and 3 of Annex XIII.

4.Other information


A signed statement by the natural or legal person responsible for the manufacture of the device for performance study that the device in question conforms to the general safety and performance requirements laid down in Annex I apart from the aspects covered by the clinical performance study and that, with regard to those aspects, every precaution has been taken to protect the health and safety of the subject.


Where applicable according to national law, a copy of the opinion or opinions of the ethics committee or committees concerned. Where under national law the opinion or opinions of the ethics committee or committees is not required at the time of the submission of the application, a copy of the opinion or opinions shall be submitted as soon as available.


Proof of insurance cover or indemnification of subjects in case of injury, pursuant to Article 65 and the corresponding national law.


Documents to be used to obtain informed consent, including the patient information sheet and the informed consent document.


Description of the arrangements to comply with the applicable rules on the protection and confidentiality of personal data, in particular:

  • organisational and technical arrangements that will be implemented to avoid unauthorised access, disclosure, dissemination, alteration or loss of information and personal data processed;


  • a description of measures that will be implemented to ensure confidentiality of records and personal data of subjects;


  • a description of measures that will be implemented in case of a data security breach in order to mitigate the possible adverse effects.


4.6. Full details of the available technical documentation, for example detailed risk analysis/management documentation or specific test reports shall be submitted to the competent authority reviewing an application upon request.