Medical Devices; Immunology and Microbiology Devices; Classification of the High Throughput DNA Sequencing for Hereditary Cancer Predisposition Assessment Test System
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Abstract
The Food and Drug Administration (FDA) is classifying the high throughput DNA sequencing for hereditary cancer predisposition assessment test system into class II (special controls). The special controls that apply to the device type are identified in this order and will be part of the codified language for classification of the high throughput DNA sequencing for hereditary cancer predisposition assessment test system. We are taking this action because we have determined that classifying the device into class II will provide a reasonable assurance of the safety and effectiveness of the device. We believe this action will also enhance patients' access to beneficial innovative devices, in part by reducing regulatory burdens.
Full Text
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<title>Federal Register, Volume 91 Issue 192 (Tuesday, October 6, 2026)</title>
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[Federal Register Volume 91, Number 192 (Tuesday, October 6, 2026)]
[Rules and Regulations]
[Pages 63487-63491]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2026-20443]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Food and Drug Administration
21 CFR Part 866
[Docket No. FDA-2026-N-10990]
Medical Devices; Immunology and Microbiology Devices;
Classification of the High Throughput DNA Sequencing for Hereditary
Cancer Predisposition Assessment Test System
AGENCY: Food and Drug Administration, HHS.
ACTION: Final amendment; final order.
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SUMMARY: The Food and Drug Administration (FDA) is classifying the high
throughput DNA sequencing for hereditary cancer predisposition
assessment test system into class II (special controls). The special
controls that apply to the device type are identified in this order and
will be part of the codified language for classification of the high
throughput DNA sequencing for hereditary cancer predisposition
assessment test system. We are taking this action because we have
determined that classifying the device into class II will provide a
reasonable assurance of the safety and effectiveness of the device. We
believe this action will also enhance patients' access to beneficial
innovative devices, in part by reducing regulatory burdens.
DATES: This order is effective October 6, 2026. The classification was
applicable on September 29, 2023.
FOR FURTHER INFORMATION CONTACT: Jingya Wang, Center for Devices and
Radiological Health, Food and Drug Administration, 10903 New Hampshire
Ave., Bldg. 66, Rm. 3250, Silver Spring, MD 20993-0002, 301-837-7257,
<a href="/cdn-cgi/l/email-protection#92d8fbfcf5ebf3bcc5f3fcf5d2f4f6f3bcfafae1bcf5fde4"><span class="__cf_email__" data-cfemail="87cdeee9e0fee6a9d0e6e9e0c7e1e3e6a9efeff4a9e0e8f1">[email protected]</span></a>.
SUPPLEMENTARY INFORMATION:
I. Background
Upon request, FDA (the Agency or we) has classified the high
throughput DNA sequencing for hereditary cancer predisposition
assessment test system into class II (special controls), which we have
determined will provide a reasonable assurance of the safety and
effectiveness of the device. In addition, we believe this action will
enhance patients' access to beneficial innovation, in part by reducing
regulatory burdens by placing the device into a lower device class than
the automatic class III assignment.
The automatic assignment of class III occurs by operation of law
and without any action by FDA, regardless of the level of risk posed by
the new device. Any device that was not in commercial distribution
before May 28, 1976, is automatically classified into, and remains
within, class III and requires premarket approval unless and until FDA
takes an action to classify or reclassify the device (21 U.S.C.
360c(f)(1)). We refer to these devices as ``postamendments devices''
because they were not in commercial distribution prior to the date of
enactment of the Medical Device Amendments of 1976, which amended the
Federal Food, Drug, and Cosmetic Act (FD&C Act).
FDA may take a variety of actions in appropriate circumstances to
classify or reclassify a device into class I or II. We may issue an
order finding a new device to be substantially equivalent under section
513(i) of the FD&C Act (21 U.S.C. 360c(i)) to a predicate device that
does not require premarket approval. We determine whether a new device
is substantially equivalent to a predicate device by means of the
procedures for premarket notification under section 510(k) of the FD&C
Act (21 U.S.C. 360(k)) and part 807 (21 CFR part 807).
FDA may also classify a device through ``De Novo'' classification,
a common name for the process authorized under section 513(f)(2) of the
FD&C Act (see also part 860, subpart D (21 CFR part 860, subpart D)).
Section
[[Page 63488]]
207 of the Food and Drug Administration Modernization Act of 1997 (Pub.
L. 105-115) established the first procedure for De Novo classification.
Section 607 of the Food and Drug Administration Safety and Innovation
Act (Pub. L. 112-144) modified the De Novo classification process by
adding a second procedure. A device sponsor may utilize either
procedure for De Novo classification.
Under the first procedure, the person submits a premarket
notification (510(k)) for a device that has not previously been
classified. After receiving an order from FDA classifying the device
into class III under section 513(f)(1) of the FD&C Act, the person then
requests a classification under section 513(f)(2).
Under the second procedure, rather than first submitting a 510(k)
and then a request for classification, if the person determines that
there is no legally marketed device upon which to base a determination
of substantial equivalence, that person requests a classification under
section 513(f)(2) of the FD&C Act.
Under either procedure for De Novo classification, FDA is required
to classify the device by written order within 120 days. The
classification will be according to the criteria under section
513(a)(1) of the FD&C Act. Although the device was automatically placed
within class III, the De Novo classification is considered to be the
initial classification of the device.
We believe this De Novo classification will enhance patients'
access to beneficial innovation, in part by reducing regulatory
burdens. When FDA classifies a device into class I or II via the De
Novo process, the device can serve as a predicate for future devices of
that type, including for 510(k)s (see section 513(f)(2)(B)(i) of the
FD&C Act). As a result, other device sponsors do not have to submit a
De Novo request or premarket approval application to market a
substantially equivalent device (see section 513(i) of the FD&C Act,
defining ``substantial equivalence''). Instead, sponsors can use the
less burdensome 510(k) process, when necessary, to market their device.
II. De Novo Classification
On March 29, 2021, FDA received Invitae Corporation's request for
De Novo classification of the Invitae Common Hereditary Cancers Panel.
FDA reviewed the request in order to classify the device under the
criteria for classification set forth in section 513(a)(1) of the FD&C
Act.
We classify devices into class II if general controls by themselves
are insufficient to provide reasonable assurance of the safety and
effectiveness of the device, but there is sufficient information to
establish special controls that, in combination with the general
controls, provide reasonable assurance of the safety and effectiveness
of the device for its intended use (see section 513(a)(1)(B) of the
FD&C Act). After review of the information submitted in the request, we
determined that the device can be classified into class II with the
establishment of special controls. FDA has determined that these
special controls, in addition to the general controls, will provide
reasonable assurance of the safety and effectiveness of the device.
Therefore, on September 29, 2023, FDA issued an order to the
requester classifying the device into class II. In this final order,
FDA is codifying the classification of the device by adding 21 CFR
866.6095.\1\ We have named the generic type of device ``high throughput
DNA sequencing for hereditary cancer predisposition assessment test
system,'' and it is identified as a qualitative in vitro diagnostic
(IVD) system intended for analysis of human DNA extracted from human
specimens to detect germline mutations in a panel of targeted cancer-
related genes. It is intended to aid in hereditary cancer
predisposition assessment by qualified health care professionals in
accordance with professional guidelines. The device is not intended for
screening, prenatal testing, or as a stand-alone diagnostic test. The
device is for prescription use only.
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\1\ FDA notes that the ``ACTION'' caption for this final order
is styled as ``Final amendment; final order,'' rather than ``Final
order.'' Beginning in December 2019, this editorial change was made
to indicate that the document ``amends'' the Code of Federal
Regulations. The change was made in accordance with the Office of
Federal Register's (OFR) interpretations of the Federal Register Act
(44 U.S.C. chapter 15), its implementing regulations (1 CFR 5.9 and
parts 21 and 22), and the Document Drafting Handbook.
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FDA has identified the risks to health associated with this type of
device and the measures required to mitigate these risks in table 1.
Table 1--Risks to Health and Mitigation Measures for High Throughput DNA
Sequencing for Hereditary Cancer Predisposition Assessment Test Systems
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Identified risks to health Mitigation measures
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False positive, false negative, or Certain design verification and
failure to provide a result. validation including certain
analytical and clinical studies,
and mutation annotation and
clinical interpretation rules
identified in special control (1).
Certain labeling information
including limitations, device
descriptions, methodology and
protocols, and performance
information identified in special
control (2).
Incorrect interpretation of Certain design verification and
variants/alterations by the lab. validation including certain
analytical and clinical studies,
and mutation annotation and
clinical interpretation rules
identified in special control (1).
Certain labeling information
including limitations, device
descriptions, methodology and
protocols, and performance
information identified in special
control (2).
Incorrect interpretation of test Certain design verification and
results by the healthcare validation including certain
provider. analytical and clinical studies,
and mutation annotation and
clinical interpretation rules
identified in special control (1).
Certain labeling information
including limitations, device
descriptions, methodology and
protocols, and performance
information identified in special
control (2).
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FDA has determined that special controls, in combination with the
general controls, address these risks to health and provide reasonable
assurance of safety and effectiveness of the device. For a device to
fall within this classification, and thus avoid automatic
classification in class III, it would have to comply with the special
controls named in this final order. The necessary special controls
appear in the regulation codified by this final order.
At the time of classification, high throughput DNA sequencing for
hereditary cancer predisposition assessment test systems are for
prescription use only. Therefore, these devices are subject to the
prescription
[[Page 63489]]
labeling requirements for IVD products (see 21 CFR 809.10(a)(4) and
(b)(5)(ii)).
Under the FD&C Act, submission of a premarket notification under
section 510(k) is required to reasonably assure the safety and
effectiveness of class II devices unless FDA determines that the device
type should be exempt under section 510(m) of the FD&C Act. At this
time FDA has not made this determination for high throughput DNA
sequencing for hereditary cancer predisposition assessment test
systems. This device is therefore subject to premarket notification
requirements under section 510(k) of the FD&C Act.
III. Analysis of Environmental Impact
The Agency has determined under 21 CFR 25.34(b) that this action is
of a type that does not normally have a significant effect on the human
environment. Therefore, neither an environmental assessment nor an
environmental impact statement is required.
IV. Paperwork Reduction Act of 1995
This final order establishes special controls that refer to
previously approved collections of information found in other FDA
regulations and guidance. These collections of information are subject
to review by the Office of Management and Budget (OMB) under the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3521). The collections
of information in part 860, subpart D, regarding De Novo classification
have been approved under OMB control number 0910-0844; the collections
of information in 21 CFR part 814, subparts A through E, regarding
premarket approval have been approved under OMB control number 0910-
0231; the collections of information in part 807, subpart E, regarding
premarket notification submissions have been approved under OMB control
number 0910-0120; the collections of information in 21 CFR part 820
regarding quality management system regulation have been approved under
OMB control number 0910-0073; and the collections of information in 21
CFR parts 801 and 809 regarding labeling have been approved under OMB
control number 0910-0485.
List of Subjects in 21 CFR Part 866
Biologics, Laboratories, Medical devices.
Therefore, under the Federal Food, Drug, and Cosmetic Act and under
authority delegated to the Commissioner of Food and Drugs, 21 CFR part
866 is amended as follows:
PART 866--IMMUNOLOGY AND MICROBIOLOGY DEVICES
0
1. The authority citation for part 866 continues to read as follows:
Authority: 21 U.S.C. 351, 360, 360c, 360e, 360j, 360l, 371.
0
2. Add Sec. 866.6095 to subpart G to read as follows:
Sec. 866.6095 High throughput DNA sequencing for hereditary cancer
predisposition assessment test system.
(a) Identification. A high throughput DNA sequencing for hereditary
cancer predisposition assessment test system is a qualitative in vitro
diagnostic (IVD) system intended for analysis of human DNA extracted
from human specimens to detect germline mutations in a panel of
targeted cancer-related genes. It is intended to aid in hereditary
cancer predisposition assessment by qualified health care professionals
in accordance with professional guidelines. The device is not intended
for screening, prenatal testing, or as a stand-alone diagnostic test.
The device is for prescription use only.
(b) Classification. Class II (special controls). The special
controls for this device are:
(1) Design verification and validation must include:
(i) A description of genomic coverage that includes:
(A) A list of all genes, variant types, and target regions within
each gene that the device detects;
(B) Summary information regarding the clinical significance of each
gene, including references;
(C) A description of the genes with high clinical significance that
are detected by the device, defined as genes for which the test
result(s) may lead to prophylactic screening, confirmatory procedures,
or treatment that may incur morbidity or mortality; and
(D) A description of any within-gene targeted regions that cannot
be reported.
(ii) Specifications for specimen requirements, including any
specimen collection devices, handling, and storage.
(iii) Specifications of the DNA extraction method and criteria for
DNA quality and quantity that are prerequisite to performing the assay.
(iv) Detailed documentation of the methodology and protocols for
each step of the test, including reagents, instrumentation, and
software required. The documentation must include the analysis
algorithms used for mutation detection and annotation, and specify the
quality metrics, variant calling thresholds, and filters at each step
of the test, including the criteria for run failures, batch failures,
specimen failures, invalid calls (e.g., failed quality control), and
``no calls'' (i.e., absence of a result), as applicable.
(v) Description of required instrumentation and equipment, and any
ancillary reagents, instrumentation, or equipment.
(vi) Detailed documentation of device software, including software
applications and hardware-based devices that incorporate software. The
documentation must include verification, validation, hazard analysis,
and risk assessment activities.
(vii) Documentation of internal and external controls that are
recommended or provided and control procedures. The documentation must
identify those control elements that are incorporated into the testing
procedure.
(viii) Detailed documentation pertaining to the probability of test
failure based on data from clinical samples, description of scenarios
in which a test can fail, and any risk mitigations, including follow-up
actions to be taken.
(ix) Detailed documentation of the rules, procedures, tools, and
criteria used for establishing mutation-hereditary disease
relationships and mutation annotation, evaluation, and classification
(e.g., pathogenic, likely pathogenic, variant of unknown significance,
benign, and likely benign).
(x) Detailed documentation of any internal or external database(s)
or decision rules used for mutation annotation, including:
(A) The protocol(s) used for variant interpretation, including
training of personnel, monitoring accuracy of decision, resolution of
discordant interpretations, and updating interpretations;
(B) Detailed documentation of the basis for interpretation,
including the use of alternate databases, literature, and guidelines,
and the basis for risk reporting;
(C) Methods for data preservation and security; and
(D) Data formats and nomenclature.
(xi) Information that demonstrates the performance characteristics
of the device, evaluated either specifically for each gene/mutation or,
when determined to be acceptable and appropriate by FDA, using a
representative approach based on other mutations of the same type,
including:
(A) Data that adequately support the intended specimen type(s)
(e.g., whole blood), specimen handling protocol, and DNA extraction
method.
(B) A summary of the evidence that demonstrates how the analytical
quality metrics and thresholds used to
[[Page 63490]]
determine the acceptability of reporting support the minimum accuracy
requirements.
(C) Data to adequately support device accuracy using clinical
specimens representing all indicated specimen types, mutation types,
and size ranges intended to be detected and reported by the device.
Accuracy data must fulfill the following:
(1) Accuracy of the device must be evaluated with clinical
specimens collected in accordance with the device labeling and selected
without bias, or well-characterized human cell line samples, when
determined to be acceptable and appropriate by FDA.
(2) Accuracy must be evaluated by comparison to bidirectional
Sanger sequencing or other orthogonal methods identified as appropriate
by FDA. Performance criteria for both the comparator method(s) and the
device must be predefined and appropriate to the device's intended use.
Detailed study protocols must be documented.
(3) A sufficient number of specimens must be tested. For BRCA1 and
BRCA2 genes, a minimum of 120 variant positive specimens must be
tested. For other genes with high clinical significance, at least 40
variant-positive specimens must be tested per gene, including
representative specimens for each indicated variant type based on a
justification determined to be appropriate and acceptable by FDA. For
remaining genes detected by the device, testing must include variant
positive specimens representing each variant type, unless the variant
type has a prevalence of less than 0.01 percent. Specimen selection
must be prioritized based on clinical significance. The selected
specimens must be representative of zygosity and challenging genomic
context (e.g., guanine-cytosine content, near tandem repeats and
homopolymer stretches, pseudogene), and must cover the range of sizes
(for insertions, deletions, copy number variant (CNV) amplifications
and CNV deletions) intended to be detected and reported by the device.
(4) Except as permitted by FDA under paragraph (b)(1)(xi)(C)(5) of
this section, tested specimens must be selected based on results
obtained from the orthogonal method. Positive percent agreement (PPA)
and negative percent agreement (NPA) must be calculated and
demonstrated for each variant type detected and reported by the device,
as well as for clinically relevant variants. PPA is calculated as the
number of variants that are tested positive by both the device and the
orthogonal method (true ``positives'' (TP)) divided by the number of
variants tested positive as determined by the orthogonal method (TP
plus false negatives (FN) by the device). NPA is calculated as the
number of variants that are tested negative (wild type) by both the
device and the orthogonal method (true ``negatives'' (TN)) divided by
the number of variants tested negative (wild type) by the orthogonal
method (TN plus false positives (FP) by the device). Point estimates
for PPA and NPA must be calculated along with 95 percent two-sided
confidence intervals (CI). Uncertainty of the point estimate must be
within an acceptable range, as identified by FDA, and must be
demonstrated using the 95 percent CI.
(5) When it is determined by FDA to be appropriate and acceptable
to select samples based on the results obtained with the device,
accuracy must be presented as technical positive predictive value
(TPPV) and technical negative predictive value (TNPV). TPPV relates to
the likelihood that a variant call is a true positive and reflects the
number of false positives per test. TPPV is calculated as the number of
variants that are tested positive by both the device and the orthogonal
method (TP) divided by the number of variants tested positive by the
device (TP plus FP). TNPV relates to the likelihood that a variant call
is a true negative and reflects the number of false negatives per test.
TNPV is calculated as the number of variants that are tested negative
by both the device and the orthogonal method (TN) divided by the number
of variants tested negative by the device (TN plus FN).
(6) Any ``no calls'' or invalid calls in the study must be reported
separately. The percent of final ``no calls'' or invalid calls must be
clinically justifiable.
(7) Accuracy as a function of each performance metric (e.g.,
coverage depth, base quality scores) must be documented to provide
evidence of the accuracy of the overall run.
(8) Detailed documentation for accuracy of the device must include
information and results for the overall study, each mutation type, and
each gene. The accuracy must further be described based upon
stratification within each mutation type by zygosity, genomic context,
and size (for indels and CNVs). Overall accuracy for reporting of
substitutions must be >=99.0 percent; insertions and deletions, >=99.0
percent; CNVs, >=99.0 percent for positive agreement (PPA, TPPV); and
>=99.9 percent for negative agreement (NPA, TNPV).
(D) Documentation of the data to adequately support device
precision using clinical specimens representing all specimen types,
mutation types, and sizes intended to be detected and reported by the
device. The precision study must fulfill the following:
(1) The study must be performed using multiple instruments and
multiple operators, on multiple non-consecutive days, and using
multiple reagent lots. If the device is to be performed at more than
one site, different sites must be included and reproducibility across
sites must be evaluated.
(2) Representative clinical specimens of each mutation type must be
tested (both positive and negative), considering clinical significance,
prevalence, zygosity, genomic context, and size (for indels and CNVs).
The precision for CNV detection must be demonstrated on the gene level
for genes with high clinical significance. Alternatively, a
justification for why such data are not needed must be found acceptable
and appropriate by FDA.
(3) The study must assess the performance of all steps, including
DNA extraction, unless a separate extraction study is performed.
(4) The study must use predefined performance criteria. Agreement
estimates such as PPA/NPA and average positive agreement/average
negative agreement must be provided, including point estimates and 95
percent confidence intervals. Documentation from the precision study
must be demonstrated for the overall precision study, in addition to
each mutation type, each gene, and each sample. Precision must further
be demonstrated upon stratification within each mutation type by
zygosity, genomic context, and size (for indels and CNVs). The overall
precision point estimates for each variant type must be >99.0 percent.
(5) Any ``no calls'' or invalid calls in the study must be included
in precision study results and reported separately. The percent of ``no
calls'' or invalid calls and key quality control metrics parameters
(e.g., coverage, sequencing score) must be summarized and based on
stratification in the same way as the precision estimates.
(E) Documentation of the nucleic acid assay input range and the
evidence to adequately support the range.
(F) Detailed documentation of additional analytical validation
studies, including endogenous and exogenous interfering substances,
specimen and reagent stability, cross-reactivity, carryover and cross-
contamination, guard-banding, and index misassignment, as applicable.
If specimens are pooled, index cross-contamination must be evaluated
and
[[Page 63491]]
demonstrate that pooling does not negatively impact test performance.
(G) Specimen type and matrix comparison data must be generated if
more than one specimen type or anticoagulant can be tested with the
device, including failure rates for the different specimen types.
(xii) Information that adequately supports the variant annotation
and clinical interpretation of the test must include:
(A) A summary documenting the clinical significance for each gene
on the test panel, including the associated conditions/cancers, the
most prevalent and representative mutations, and summary of clinical
evidence with references, including expected frequency in the general
population and different ethnicities, and risks of developing the
disease in relevant ethnic populations and the general population.
(B) Detailed documentation of the data to adequately support the
performance of the variant annotation algorithms (e.g., concordance
studies between the device generated variant classifications and
externally established variant classifications, manual classifications
by medical professionals, or classifications generated from clinical
test reports).
(C) Documentation of any procedures or protocols for incorporation
of any updates of valid scientific evidence into variant classification
algorithms.
(2) The labeling required under Sec. 809.10 of this chapter must
include the following, as applicable:
(i) The intended use must include a description of the intended
specimen type(s) and matrix (e.g., whole blood), the validated germline
mutation types (e.g., single nucleotide variant, insertion, deletion,
CNV), and a statement that the test is for hereditary cancer
predisposition assessment and to aid in identifying hereditary genetic
variants potentially associated with a diagnosed cancer.
(ii) The name of the testing facility or facilities (e.g., for
single-site assays).
(iii) A summary of device description in accordance with paragraphs
(b)(1)(i) through (b)(1)(viii) of this section.
(iv) A section that provides summary information on how the test
works, how to interpret the results of the test, and an explanation on
the database(s) used for mutation annotation.
(v) A summary of the information that demonstrates the performance
characteristics of the device as required under paragraph (b)(1)(xi) of
this section.
(vi) The following limiting statements:
(A) A statement that the test is not intended for use as a stand-
alone diagnostic to diagnose cancer or other health conditions, and is
not intended for use for prenatal testing nor as a cancer screening
test.
(B) A statement that the test is specifically designed for
heritable germline mutations and is not appropriate for the detection
of somatic mutations.
(C) A description of the intended test population.
(D) A statement that the risk of cancer or disease for an
individual cannot be predicted.
(E) A statement that: test results should be interpreted in the
context of clinical findings, family history, lifestyle, environment,
and other factors; molecular testing may not detect all possible
mutations leading to cancer predisposition; a negative result does not
rule out the possibility that the individual has an unidentified
variant leading to cancer; and for more information, physicians
ordering the test may wish to consult with a clinical medical
geneticist or genetic counselor.
(F) A statement that other factors, such as ethnicity, may affect
whether the test results are relevant for a particular patient and may
also affect how their genetic health results are interpreted.
(G) A statement describing the situations that a patient should not
receive the test (e.g., a patient with bone marrow transplant).
(H) A statement describing the challenging genomic contexts that
may have reduced performance, where results should be interpreted with
care.
(I) A statement disclosing the genetic coverage of the test,
including any gaps in coverage.
(J) Statements describing testing conditions that were identified
to cause test failures (e.g., low specimen volume, poor DNA quality).
(vii) For variants detected and reported by the device under the
category of ``variants of uncertain significance'' or equivalent
designation, a limiting statement that the clinical significance has
not been demonstrated with adequate clinical evidence in accordance
with established guidelines (e.g., professional guidelines).
(viii) For variants detected and reported by the device under the
category of ``variants with evidence of clinical significance'' or
equivalent designation, reference(s) for physicians to access internal
or external information concerning decision rules or conclusions about
the level of evidence for clinical significance.
Grace R. Graham,
Deputy Commissioner for Policy, Legislation, and International Affairs.
[FR Doc. 2026-20443 Filed 10-5-26; 8:45 am]
BILLING CODE 4164-01-P
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