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Classification of IVD medical devices

Version 1.1 November 2011

Overview

The medical devices regulatory framework has a separate classification system for IVD medical devices (IVDs). Under this system, IVD medical devices are classified according to the risk posed to the health of the public or an individual, and relates to the risk of an incorrect result arising from the use of the IVD.

The detailed legislation describing the classification of IVDs can be found in:

IVDs are classified according to subregulation 3.3 (2) as follows:

Classification Level of risk
Class 1 IVD no public health risk or low personal risk
Class 2 IVD low public health risk or moderate personal risk
Class 3 IVD moderate public health risk or high personal risk
Class 4 IVD high public health risk

The same classification rules apply to both commercial IVDs and in-house IVDs.

The manufacturer is responsible for determining the class of an IVD using the classification rules in Schedule 2A and having regard to:

The manufacturer is responsible for determining the class of a device using a set of classification rules with regard to:

Identical devices may be classified differently if they are to be used for different diagnostic purposes. This is why the manufacturer's intended use of the device is critical to determining the appropriate class. The intended use can be obtained from the:

Please note: There are IVD medical devices where the classification in Australia may be different to the classification in other countries. Australia has aligned the principles for classification of IVDs with those of the Global Harmonisation Task Force (GHTF); however the manufacturer should take into account Australian legislation when determining the classification of a device that is to be supplied in Australia.

Principles for applying the classification rules

The classification rules are outlined in Schedule 2A of the Regulations and are based on the manufacturer's intended purpose, taking into account the degree of risk involved to the patient and the public. The classification must be consistent with the information accompanying the IVD including the labels, Instructions for Use, brochures and operating manuals. If the intended purpose of the device is not clear, the TGA will request further clarification from the manufacturer and may also consider the purpose generally accepted in clinical and laboratory practice.

All the classification rules must be considered to determine the classification of the IVD. In some cases, more than one classification rule may be applicable to an IVD, but if this occurs the higher risk classification applies -see subregulation 3.3(7). There are exceptions to this principle, whereby a number of the classification rules state that despite certain other rules, a particular risk classification should always apply to a type of IVD. These include for example, Rule 1.5 which specifies that IVDs that are non assay-specific quality control material are Class 2 IVDs; or Rule 1.8 which specifies that IVDs for export only are classified as Class 1 IVDs.

A number of IVDs are supplied with, or are required to be used in combination with, other IVDs, non-IVD medical devices or accessories to medical devices. The classification rules must be applied separately to each device. An accessory to an IVD is described as an item that its manufacturer specifically intends to be used together with an IVD, to enable that IVD to be used as intended. Accessories are classified independently of the IVD that they are to be used with -see subregulation 3.3 (4).

Materials that are intended to be used for the calibration or quality control of a particular named assay are considered to be part of a single assay with a common intended purpose. Therefore they have the same risk classification as each of the other assay components based on the common intended purpose of the assay, even if these materials are sold separately.

If one or more IVDs are supplied as part of a system or a procedure pack, the class for the entire pack is the highest class of any individual IVD in the pack. For example, if a procedure pack contains a selection of Class 1, 2 and 3 IVDs, then the entire pack is classified as a Class 3 IVD.

If a procedure pack contains a mixture of IVDs and non-IVD medical devices, the individual component of the highest Class will determine the overall classification of the procedure pack; the equivalence of IVD and non-IVD classifications is prescribed in regulation 3.1. The individual device of the highest Class will also determine if the procedure pack is to be included in the ARTG as an IVD medical device or a non-IVD medical device - see subregulation 3.3(9). For example, a procedure pack contains a portable prothrombin time meter (Class 1 IVD), test strips or cartridges for prothrombin time self-testing (Class 3 IVD), and a lancet (Class IIa medical device) for obtaining a blood specimen. The procedure pack would take on the highest classification assigned to any individual component, namely Class 3 IVD, and is required to be included in the ARTG as an IVD medical device. When an IVD and a medical device within a procedure pack are of the same classification level (equivalent risk class) subregulation 3.3 (10) applies and the primary intended purpose of the device is to be considered to determine whether the pack is included on the ARTG as an IVD or a medical device. Where components of a procedure pack are also supplied separately, they need to be separately included in the ARTG, e.g. Medical devices such as lancets.

For more information on systems and procedure packs, please see Section Systems and Procedure packs in the Australian Regulatory Guidelines for Medical Devices (ARGMD).

Classification rules

Flowchart

Flowchart of IVD classification rules

Classification Rule 1.1 - Detection of transmissible agents posing a high public health risk

From Therapeutic Goods (Medical Devices) Regulations 2002 - Schedule 2A

1.1 Detection of transmissible agents posing a high public health risk

An IVD medical device intended to be used for any of the following purposes is classified as a Class 4 IVD medical device or a Class 4 in-house IVD:

  1. to detect the presence of, or exposure to, transmissible agents in blood, blood components, blood products, cells, tissues or organs or any derivatives of these products of human or animal origin, in order to assess their suitability for transfusion or transplantation;
  2. to detect the presence of, or exposure to, a transmissible agent that causes a serious disease with a high risk of propagation in Australia.

Rationale

Devices captured by this rule pose a high public health risk.

Rule 1.1 is presented in two parts - paragraph 1.1 (a) describes IVDs that are used to establish the safety of blood and blood components for transfusion, or cells, tissues and organs for transplantation. In most cases, the result of the test is a major determinant as to whether the donation or product will be used.

Paragraph 1.1 (b) describes IVDs that are used to diagnose clinical infections that cause serious diseases with a high risk of transmission from person to person in the Australian population.

Serious diseases are defined in Regulation 1.3 as those:

Rule 1.1 applies to all assays used to determine suitability for transfusion or transplantation as part of the laboratory's infectious disease testing algorithm, and includes front-line or screening assays, confirmatory assays, supplemental assays, and IVDs that detect structural components or surrogate markers of transmissible agents that cause serious disease.

Some IVDs are intended only to be used in a diagnostic setting but are identical to those intended to be used for screening blood and tissue donations. These IVDs may be classified according to other rules if Rule 1.1 (b) does not also apply, provided the Sponsor can provide assurance that the IVD is marketed in accordance with the alternate classification. For example, a syphilis assay can be classified as a Class 4 IVD if it is intended to screen blood and tissue donations, but is a Class 3 IVD as per rule 1.3 (1) (a) if it is intended for diagnostic purposes only.

Examples

Classification Rule 1.2 - Detection of red blood cell antigens and antibodies and non red cell typing

From Therapeutic Goods (Medical Devices) Regulations 2002 - Schedule 2A

1.2 Detection of red blood cell antigens and antibodies and non red cell typing

  1. An IVD medical device is classified as a Class 3 IVD medical device or a Class 3 in-house IVD if:
    1. The device is intended to be used for detection of biological markers in order to assess the immunological compatibility of blood, blood components, blood products, cells, tissues or organs that are intended for transfusion or transplantation; and
    2. The device is not one of the devices mentioned in subclause (2). 
  2. An IVD medical device intended to detect the following markers is classified as a Class 4 IVD medical device or a Class 4 in-house IVD: 
    1. ABO system - ABO1 (A), ABO2 (B), ABO3 (AB);
    2. Rhesus system - RH1 (D), RH2 (C), RH3 (E), RH4 (c), RH5 (e);
    3. Kell system - KEL1 (K);
    4. Kidd system - JK1 (Jka), JK2 (Jkb); and
    5. Duffy system - FY1 (Fya), FY2 (Fyb).

Rationale

Devices captured by this rule present a high individual risk, where an erroneous result would put the patient in an imminent life-threatening situation.

Classification rule 1.2 divides blood grouping IVDs into two subsets depending on the nature of the blood group antigen the IVD is designed to detect, and its importance in a transfusion setting. Essentially, all IVDs for testing for antigens or antibodies for any of the red blood cell markers not specifically mentioned in Rule 1.2 (2), and all IVDs used in tissue typing to test for human leukocyte antigens and antibodies, are Class 3 IVDs. The red blood cell markers captured by rule 1.2 (2) are critical to ensuring safe transfusion of blood and blood components, or transplantation of cells, tissues and organs, and are Class 4 IVDs.

Examples

Classification Rule 1.3 - Detection of transmissible agents or biological characteristics posing a moderate public health risk or a high personal risk

From Therapeutic Goods (Medical Devices) Regulations 2002 - Schedule 2A

1.3 Detection of transmissible agents or biological characteristics posing a moderate public health risk or high personal risk

  1. An IVD is classified as Class 3 IVD medical devices or a Class 3 in-house IVD if it is intended for any of the following uses:
    1. detecting the presence of, or exposure to, a sexually transmitted agent;
    2. detecting the presence in cerebrospinal fluid or blood of an infectious agent with a risk of limited propagation;
    3. detecting the presence of an infectious agent where there is a significant risk that an erroneous result would cause death or severe disability to the individual or foetus being tested;
    4. pre-natal screening of women in order to determine their immune status towards transmissible agents;
    5. determining infective disease status or immune status where there is a risk that an erroneous result will lead to a patient management decision resulting in an imminent life-threatening situation for the patient;
    6. the selection of patients;
      1. for selective therapy and management; or
      2. for disease staging; or
      3. in the diagnosis of cancer;
    7. human genetic testing;
    8. to monitor levels of medicines, substances or biological components, when there is a risk that an erroneous result will lead to a patient management decision resulting in an immediate life-threatening situation for the patient;
    9. the management of patients suffering from a life-threatening infectious disease;
    10. screening for congenital disorders in the foetus. 
    Note: For paragraph (f) An IVD medical device would fall into Class 2 under clause 1.5 if:
    1. a therapy decisions would usually be made only after further investigation; or
    2. the device is used for monitoring.
  2. Despite subsection (1) an IVD is classified as a Class 3 IVD medical device or a Class 3 in-house IVD if it is used to test for transmissible agents included in the Australian National Notifiable Diseases Surveillance System (NNDSS) list as published from time to time by the Australian government.

Rationale

IVDs captured by this rule present a moderate public health risk or a high individual risk, where an erroneous result could lead to a patient management decision resulting in a significant impact on patient outcome. These IVDs usually provide the critical or sole determinant for correct diagnosis.

The Australian National Notifiable Diseases Surveillance System (NNDSS) publishes a list of diseases that are required to be notified nationally. The list is available on the Australian Government Department of Health and Ageing website. A case definition is provided for each disease or disease group and a number of the case definitions rely on laboratory definitive evidence, laboratory suggestive evidence, clinical evidence (probable cases), or a combination of various markers to be present to require their notification. Contribution to the diagnosis of a particular disease through the results of testing for any of the markers mentioned as either suggestive or definitive evidence, are taken to be Class 3 IVDs. Where information presented in the Instructions for Use for a particular assay represents that an additional marker (beyond those specified in the case definitions) may also be used to diagnose a notifiable disease, these too are taken to be Class 3 IVDs.

IVDs that are used to detect the presence of, or exposure to, sexually transmitted agents are Class 3 IVDs. The Australian Government has in place a national strategy which aims to reduce the transmission of sexually transmitted infections in Australia. The Second National Sexually Transmissible Infections Strategy 2010-2013 is available on the Department of Health and Ageing website. In addition to tests for HIV, HCV and Hepatitis B virus which are regarded as serious diseases in Australia (and are therefore Class 4 IVDs), the second National STI Strategy 2010-2013 continues and expands the work of the first strategy and discusses eight sexually transmitted infections of national importance as follows (with causative organisms provided in parentheses): gonorrhoea (Neisseria gonorrhoeae), chlamydia (Chlamydia trachomatis), syphilis (Treponema pallidum), donovanosis (Klebsiella (Calymmatobacterium) granulomatis), genital herpes (Herpes simplex virus 2), lymphogranuloma venereum (C. trachomatis L-1, L-2, L-3), genital warts (Human papillomavirus) and trichomoniasis (Trichomonas vaginalis).

Examples:

Classification Rule 1.4 - IVD medical devices for self-testing

From Therapeutic Goods (Medical Devices) Regulations 2002 - Schedule 2A

1.4 IVD medical devices for self-testing

An IVD medical device for self-testing is classified as a Class 3 IVD medical device unless:

  1. the result of the examination is not determining a serious condition, ailment, or defect; or
  2. the examination is preliminary and follow-up additional testing is required.

Rationale

Self-testing IVDs are intended to be used by individuals with no scientific or technical expertise, or formal training in a medical field or discipline to which the test relates. Self-test devices can pose a low, moderate or high personal risk and can therefore fall into Class 1, 2 or 3.

The definition of IVD medical device for self-testing as prescribed under regulation 1.3, includes IVDs intended for use in the collection of a sample by a lay person and, if the sample is tested by another person (e.g. a laboratory) the results are returned directly to the person from whom the sample was taken without the direct supervision of a health professional who has formal training in a medical field or discipline to which the test relates. The TGA interprets 'direct supervision' to mean written or verbal communication from a health professional who is personally treating the person and therefore has already established a professional relationship with their client, or verbal communication with the person by a health professional who is able to explain the significance of the test and answer questions that the person may have regarding the interpretation of the result. This applies regardless of the nature of the result, e.g. positive, negative, quantitative value.

Rule 1.4 classifies IVDs for self-testing as Class 3 IVDs if the condition, ailment or defect to which the test relates is generally considered to be:

In situations where use of the self test does not determine a serious condition or the result is purely preliminary, other classification rules apply. For example a positive result from a pregnancy self-test kit will generally be followed up with a visit to the user's medical practitioner therefore a pregnancy self test kit is not regarded as a Class 3 IVD, rather it is classified as a Class 2 IVD using rule 1.7. Certain types of self-testing IVDs are prohibited from entry on the ARTG and thus cannot be legally supplied in Australia. Unless they are for use as part of a government-sponsored screening program, are for monitoring a previously diagnosed disease or they are for export only, self-testing IVDs used to test for pathogenic organisms or transmissible agents (including all notifiable infectious diseases), self-testing genetic tests and self-testing IVDs used to test for serious disorders (such as cancer or myocardial infarction) are excluded from being entered on the ARTG. A full description of IVDs that are excluded from entry on the ARTG is contained in the Therapeutic Goods (Excluded purposes) Specification 2010 made under section 41BEA of the Act.

Examples

Classification Rule 1.5 - Non assay-specific quality control material

From Therapeutic Goods (Medical Devices) Regulations 2002 - Schedule 2A

1.5 Non assay-specific quality control material

Despite clauses 1.1 to 1.4, an IVD medical device that is intended to be used as non assay-specific quality control material is classified as a Class 2 IVD medical device or a Class 2 in-house IVD.

Rationale

Devices in this class pose a low public health risk or moderate personal risk.

Quality control material is taken to be controls, calibrators and standards, and as a subset of this, non assay-specific quality control materials are those that are not assigned for use with a specific assay.

This rule does not apply to quality control materials that are assigned for use with a specific assay, or where the manufacturer of the quality control material has provided detailed information (e.g. references ranges) relating to a particular assay - these are taken to be the same risk class as the parent assay based on the common intended purpose, even if they are sold separately.

Examples

Classification Rule 1.6 - Reagents, instruments etc.

From Therapeutic Goods (Medical Devices) Regulations 2002 - Schedule 2A

1.6 Reagents, instruments etc

  1. A reagent or other article that possesses specific characteristics, intended by the manufacturer, to make it suitable for in vitro diagnostic procedures related to a specific examination is classified as a Class 1 IVD medical devices or a Class 1 in-house IVD.
  2. Despite clauses 1.1 to 1.5, the following IVD medical devices are classified as Class 1 IVD medical devices or a Class 1 in-house IVD:
    1. an instrument, intended by the manufacturer, specifically to be used for in vitro diagnostic procedures;
    2. a specimen receptacle;
    3. a microbiological culture medium.
  3. In this clause:
    • examination means a set of operations having the object of determining the value or characteristics of a property.  
    • Note 1. In some disciplines (for example, microbiology) an examination is the combination of a number of tests, observations or measurements.
    • specimen receptacle means a device, whether vacuum-type or not, specifically intended by its manufacturer for the primary containment and preservation of a specimen derived from the human body for the purpose of in vitro diagnostic examination. 
    • Note 1. A specimen receptacle is considered to be an in vitro diagnostic device.
    • Note 2. A product for general laboratory use is not an in vitro diagnostic medical device unless the product, in view of its characteristics, is specifically intended by its manufacturer to be used for in vitro diagnostic examination.

Rationale

Devices captured by this rule present a low individual risk and minimal or no public health risk.

Products for general laboratory use are not IVD medical devices unless such products, in view of their characteristics, are specifically intended by their manufacturer to be used for in vitro diagnostic examination. For example, pipettes, test tubes and general consumables which are not specifically intended by the manufacturer to be used to perform a particular test are not considered IVD medical devices.

Stains are generally considered to be IVDs if they are intended by the manufacturer to be for a diagnostic purpose. Single staining solutions for diagnostic use are classified as Class 1 IVDs under rule 1.6 (1) only if they are supplied separately and without instructions on how to perform a particular staining procedure, because they are regarded as general purpose reagents. If staining solutions are supplied either individually or as a kit, together with instructions linking that stain to a particular staining process, the staining solution or kit must be classified according to the overall intended purpose of the stain.

Stain powders or base ingredients used to prepare stains for use in a diagnostic setting are not considered to be IVDs because they are not finished products. However, once a powder or base ingredients have been made into a stain by a laboratory, the finished staining solution/s would be regarded as an in-house IVD and an appropriate risk classification applied according to the overall intended purpose of the stain.

Due to their interdependence, an instrument or software that is specifically required to be used to perform a particular test will be assessed at the same time as the test kit even though the instrument itself is classified as Class 1 IVD.

Examples

Classification Rule 1.7 - Other IVDs are Class 2 IVD medical devices

From Therapeutic Goods (Medical Devices) Regulations 2002 - Schedule 2A

1.7 Other IVD medical devices are Class 2 IVD medical devices

An IVD medical device not mentioned in this Schedule is classified as a Class 2 IVD medical device or Class 2 in-house IVD.

Rationale

Devices captured by this rule present a moderate individual risk or a low public health risk.

An erroneous result is unlikely to have a significant negative impact on patient outcome. The devices captured by this rule rarely provide the sole determinant for the correct diagnosis. If it is the sole determinant other information is available such as presenting signs and symptoms or clinical information, which may guide the physician.

This class also includes IVDs that detect infectious agents that are not easily propagated in a population.

Examples

Classification Rule 1.8 - IVD medical devices intended for export only

From Therapeutic Goods (Medical Devices) Regulations 2002 - Schedule 2A

1.8 IVD medical devices intended for export only

Despite clauses 1.1 to 1.7, an IVD medical device is classified as a Class 1 IVD medical device if it is intended by the manufacturer for export only.

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Content last updated: Friday, 25 November 2011

Content last reviewed: Friday, 25 November 2011

Web page last updated: Monday, 28 November 2011

URL: http://www.tga.gov.au/industry/ivd-classification.htm

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