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TGA presentation: NSW Health Pathology, 20 May 2016

Regulation of In Vitro Diagnostic Medical Devices: Transition to the new IVD Regulatory Framework

31 May 2016


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The Australian Government Department of Health (of which the TGA is a part) advises that (a) the presentation papers should not be relied upon in any way as representing a comprehensive description of regulatory requirements, and (b) cannot guarantee, and assumes no legal liability or responsibility for, the accuracy, currency or completeness of the information contained in the presentation paper.


  • Presented by: Michelle McNiven, Medical Devices Branch
  • Presented at: NSW Health Pathology
  • Presentation date: 20 May 2016
  • Presentation summary: This presentation is on the regulation of IVD medical devices with a focus on the regulatory requirements for in-house IVD medical devices.


Regulation of In Vitro Diagnostic Medical Devices

Transition to the New IVD Regulatory Framework

Michelle McNiven
Medical Devices Branch

Presentation to NSW Health Pathology, 20 May 2016

Slide 1 - Background

New IVD regulatory framework implemented 1 July 2010
  • IVDs regulated as a subset of medical devices
  • Requirements apply to both commercially supplied and in-house IVDs
  • Originally a 4-year transition - 1 July 2014 to comply with requirements

Slide 2 - Key Features of the New Framework

  • Four tier classification system based on different levels of risk for each class of IVD
  • All IVDs to comply with a set of Essential Principles for quality, safety and performance
  • All commercial IVDs & Class 4 in-house IVDs to be included in ARTG
  • Class 1-3 in-house IVDs exempt from ARTG subject to conditions
  • Provision for post-market monitoring Regulation of In Vitro Diagnostic Medical Devices

Slide 3 - What is a Medical Device?

Supplied to be used for human beings for the purpose of one or more of the following:
  • Diagnosis, prevention, monitoring, treatment or alleviation of disease;
  • Diagnosis, monitoring, treatment, alleviation of or compensation for an injury or disability;
  • Investigation, replacement or modification of the anatomy or of a physiological process;
  • Control of conception

[Therapeutic Goods Act 1989]

Slide 4 - What is an IVD?

A reagent, calibrator, control material, kit, specimen receptacle, instrument, software, equipment or system
  • Intended for the in vitro examination of human specimens for:
    • giving information about a physiological or pathological state
    • giving information about a congenital abnormality
    • determining safety and compatibility with a potential recipient
    • monitoring therapeutic measures

[Therapeutic Goods (Medical Devices) Regulations 2002]

Slide 5 - What is an In-House IVD?

Manufactured by a laboratory for use in that laboratory or laboratory network
  • Developed from first principles
  • Developed or modified from a published source
  • Developed or modified from any other source (eg, commercial IVD, RUO products, ASRs)
  • Used for a purpose other than the manufacturer’s intended purpose

[Therapeutic Goods (Medical Devices) Regulations 2002]

Slide 6 - Classification of IVDs

Four classes, determined by the risk posed to health of an individual or to the public

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

[Classification rules – Schedule 2A, Therapeutic Goods (Medical Devices) Regulations 2002]

Slide 7 - Classification Examples

  • Class 1 IVDs: Microbiological culture media; instruments/analysers
  • Class 2 IVDs: Pregnancy self-tests, H&E stain
  • Class 3 IVDs: sexually transmitted diseases; genetic tests (inc FISH)
  • Class 4 IVDs: screen blood donors for infectious diseases; ABO typing Regulation of In Vitro Diagnostic Medical Devices

Slide 8 - Extension to Transition Timeframe

  • Staged transition to allow additional time for compliance:
    • Deadline for commercially supplied IVDs - 1 July 2015.
    • Deadline for laboratories with transitioning in-house IVDs - 1 July 2017.
  • Laboratories experiencing difficulties, particularly for those tests based on modifications to commercial IVDs
    • Laboratories need to know the commercial IVD has been included in the ARTG
    • Laboratories cannot submit applications for conformity assessment for Class 4 in-house IVDs unless commercial IVD is included in ARTG

Slide 9 - Key Transition Dates for In-house IVDs

Deadline Requirement
30 June 2016 Application for TGA conformity assessment for Class 4 in-house IVDs (only required if laboratory chooses this pathway)
30 June 2017 Application for inclusion in the ARTG for Class 4 in-house IVDs Notification of Class 1-3 in-house IVDs to the TGA

Slide 10 - Can I Introduce New In-house IVDs During the Transition?

  • Class 1-3 In-house IVDs
    • New Class 1-3 in-house IVDs can be introduced anytime before 1 July 2017
    • Notification as at 1 July 2017 must cover all the Class 1-3 in-house IVDs in use
  • Class 4 In-house IVDs
    • Only considered transitional if in use prior to 1 July 2016.
    • New Class 4 in-house IVDs introduced after 30 June 2016 must be included in the ARTG prior to use Regulation of In Vitro Diagnostic Medical Devices

Slide 11 - In-house IVD Reforms

  • Additional reforms introduced in November 2015
  • Modifications to the requirements for Class 1-3 in-house IVDs
    • Allow NATA accreditation to ISO 17025 for non-medical testing laboratories
    • Changes to the notification form to allow attachment of NATA test list
    • Removal of mandatory annual notification
  • New alternative conformity assessment procedure for Class 4 in-house IVDs
    • Allows the use of NATA accreditation to ISO 15189 or TGA GMP licence

Slide 12 - Regulation of Class 1-3 In-House IVDs

Exempt from inclusion in ARTG, conditional on:

NATA accredited to:

  • ISO 15189 (medical testing laboratory)
  • ISO 17025 (non-medical testing laboratory)

Meet NPAAC Requirements for in-house IVDs Notify TGA of in-house Class 1-3 IVDs

  • By 1 July 2017

Renotify of new Class 1-3 in-house IVDs

  • By 1 July of subsequent years

Slide 13 - Notification of Class 1-3 In-house IVDs

  • Notification database – not publicly viewable
  • All Class 1-3 in-house IVDs can be entered in the one notification form
    • selection of predetermined broad testing categories; and
    • attachment of NATA test list
  • Notification fee applies each time a notification is submitted

Slide 14 - Classification Rules – Class 4 IVDs

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

  • IVDs intended to establish the safety of blood and blood components (ie, donor screening tests)
    • HIV, HCV, HTLV, Syphilis, CMV
  • IVDs intended to diagnose infections that cause serious diseases with a high risk of transmission
    • SARS, Smallpox, Ebola, highly virulent pandemic influenza strain

Slide 15 - Classification Rules – Class 4 IVDs

Rule 1.2: Detection of red blood cell antigens & antibodies & non-red cell typing:

  • Immunohaematology reagents (IHRs) intended to detect the following markers:
    • ABO system
    • Rhesus system – RH1-5
    • Kell – KEL1
    • Kidd – JK1, JK2
    • Duffy – FY1, FY2
  • All other IHRs are Class 3 IVDs (or lower)
  • IVDs for HLA tissue typing are also Class 3 IVDs

Slide 16 - Conformity Assessment - Class 4 In-house IVDs

Conformity Assessment (CA) Procedures Requirements for Class 4 in-house IVDs
Option 1 - TGA CA Same as for commercial Class 4 IVDs:
  1. TGA CA certification (Apply by 1 July 2016)
  2. Inclusion in ARTG
Option 2 - NATA accreditation (ISO 15189) Apply directly for inclusion in ARTG (by 1 July 2017)
  1. Subject to mandatory application audit
Option 3 - TGA GMP licence

Slide 17 - Fees for Class 4 In-house IVDs

  • Application for inclusion in ARTG using TGA Conformity Assessment Certification (CAC)
    • Application fee for TGA CAC
    • QMS certification (additional fees if on-site audit required)
    • Design Examination for each kind of Class 4 in-house IVD
    • Application fee for inclusion in ARTG
  • Application for inclusion in ARTG using NATA Accreditation or TGA GMP licence
    • Application fee for inclusion in ARTG
    • Mandatory audit fee

Slide 18 - Reduction in Fees for Class 4 In-house IVDs

  • In the majority of circumstances full fees would not be applied
  • Only changes made to a commercially supplied Class 4 IVD would require assessment
  • Fees can also be reduced by up to 70% if:
    • In the interests of public health; and
    • Would not be commercially viable if full fees were paid

Slide 19 - 'Post-market' Requirements

Laboratories must have procedures in place that allow for:

  • Ongoing monitoring of performance of their in-house IVDs (eg, IQC, EQAP)
  • Application of any necessary corrective actions
  • Notification to the TGA of:
    • any adverse events
    • Any malfunction/deterioration in a Class 4 in-house IVD resulting in the need to recover the device (within a laboratory or laboratory network)

Slide 20 - Exemption Provisions

  • In-house IVDs only considered to be 'supplied' when used to test & report on patient
  • No exemption required to develop or stockpile an in-house IVD
  • Automatic exemption to evaluate an IVD (commercial or in-house)
    • No reporting of patient results
    • TGA approval not required
  • Other Exemption provisions
    • Special Access Scheme
    • Authorised Prescriber
    • Emergency Exemption

Slide 21 - What Do Laboratories Need to Do?

  • Identify your in-house IVDs
  • Determine if you have any Class 4 in-house IVDs
    • Inclusion in ARTG required by 1 July 2017
    • Contact the TGA if unsure of which conformity assessment pathway to use
  • Ensure laboratory is NATA accredited for Class 1-3 in-house IVDs
    • Notification to TGA required by 1 July 2017
    • Notification form under development - TGA to advise when available for use
  • Understand 'post-market' requirements & have procedures in place for reporting adverse events

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