Title: Four out of five doctors say that if they were stranded on a deserted island with no lawyers, they wouldn
1Four out of five doctors say that if they were
stranded on a deserted island with no lawyers,
they wouldnt need any aspirin.
- American Medical Association
2DeviceLabeling and Promotion
- presented byBradley Merrill Thompson
- Epstein Becker Green, P.C.
- February 27, 2009
3Topics
- Part One Regulatory Requirements
- Part Two Claim Substantiation
- Part Three Off-Label Promotion
- Part Four Marketing in a Regulated Environment
- Part Five Case Studies
I feel like Zsa Zsa Gabors fifth husband. I
know what I'm supposed to do but I don't know
if I can make it interesting.
Al Gore
4Part One Regulatory Requirements
- Topics
- Definitions
- Fundamental prohibition
- Special labeling rules
- Risks in interactions with physicians
Actual Trial Question What happened then? He told
me, he says, I have to kill you because you can
identify me. Did he kill you?
5Its good to know the basics
politicalhumor.about.com
6Definitions
- Label" is a
- display of written, printed, or graphic matter
upon the immediate container of any article.... - Labeling" is
- all labels and other written, printed, or graphic
matter - (1) upon any article or any of its containers or
wrappers, or - (2) accompanying such article.
7Definitions
- Accompanying"
- Is interpreted liberally to mean more than
physical association with the product - Extends to posters, tags, pamphlets, circulars,
booklets, brochures, instruction books,
direction sheets, fillers, etc., depending how
they are used - Includes labeling that is brought together with
the device after shipment or delivery for
shipment in interstate commerce. - But what of an oral sales pitch?
8Definitions
- Advertising
- Not defined in the FFDCA
- FDA likes to treat advertising as labeling
- According to an appellate court decision "Most,
if not all advertising, is labeling. Congress
did not, and we cannot, exclude from the
definition printed matter which constitutes
advertising. - But consider radio and TV ads
- Where do magazine ads fit
- FTC has jurisdiction over device advertising
other than for restricted devices
9Fundamental Prohibition
- The term misbranded means
- False or misleading in any particular.
- False generally is understood to mean a
statement that in any material respect is
untrue. - Misleading is less clear
- Twin goals of
- Safety and effectiveness
- Preventing economic fraud
10Truth in Advertising
Funky.co.uk
11More Truths
12Fundamental Prohibition
- Examples of false labeling include
- Incorrect, inadequate or incomplete
identification - Unsubstantiated claims of therapeutic value
- Substitution of parts or material
- Inaccuracies concerning condition, state,
treatment, size, shape or style
13Good Accuracy
4.bp.blogspot.com
14Mixed Disclosure
www.txrollergirls.com
15Fundamental Prohibition
- Examples of misleading labeling include
- Ambiguity, half-truths, and trade puffery
- Expressions of opinion or subjective statements
- Failure to reveal material facts, consequences
that may result from use, or the existence of
difference of opinion
16Adequate Disclosure?
Photoshoptalent.com
17 Fundamental Prohibition
- Examples of other objectionable labeling
practices include - Deceptive pictorial matter
- Misleading testimonials
- Misleading list of parts or components
- Use of brand or trade names instead of
"established names" - Often the surest way to convey
- misinformation is to tell the strict truth.
- Mark Twain
18Misleading testimonial?
A6.vox.com
19Good Use of Brand Name
20Could be deceptive
Img.ffffound.com
21What else is misbranded?
- FDA specifically requires certain information,
prominently displayed (unless exempt) - Established name of the product
- Name and place of business of themanufacturer,
packer, or distributor - Net quantity of contents
- Adequate directions for use andadequate warnings
22Make sure materials are clear
www.gdarguad.net
23Exemptions from Adequate Directions for Use
- Prescription devices
- Commonly-known directions
- IVDs
- Products intended for further processing
- Teaching, law enforcement and research
24FTC Regulation of Advertising
- FTC has jurisdiction over advertising for a
non-restricted device - FTC applies three requirements
- Adequate substantiation
- No deception, from the standpoint of the
reasonable consumer - Fairness
- Agency influenced by lawyers who focus on
consumers and how they are affected
25Lanham Act
- Action against a competitor in federal court
- Liability arises from deceptive statements about
either the competitors or the companys own
product alleged to harm the other party,
including - False or misleading claims
- Unsubstantiated comparative claims
- Overstatements of efficacy
- Minimization of risks
- Damages injunctive relief are available
26State Regulation of Advertising
- State Food Drug Cosmetic Acts
- State consumer protection laws
- Enforcement by state attorneys general
- Consumer class actions
Politics gives guys so much power that they tend
to behave badly around women. And I hope I never
get into that.
Bill Clinton
27Risks in Interactions with Physicians
- Applicable law
- Federal Anti-kickback statute
- Fraud and Abuse provisions of the Social Security
Act (Medicare/Medicaid statute) - Federal False Claims Act
- State Anti-kickback statutes
- State False Claims Acts
- State statutes requiring disclosure of gifts to
prescribers
28Risks in Interactions with Physicians
- Government enforcement risks arise in the
- context of
- Business courtesies
- Ensure sales personnel follow applicable guidance
with respect to gifts, meals and entertainment - Consulting arrangements
- Consulting arrangements must be for necessary
services pursuant to written agreements in
compliance with regulatory requirements - Research grants
- Grants should be administered outside marketing
function, based on objective criteria - Educational activities meetings
- Sponsored meetings must take place in locations
conducive to educational activities, without
providing entertainment and with only modest
meals and accommodations
29Part Two Claim Substantiation
- Topics
- Generally
- Comparative claims
- Establishment claims
The pure and simple truth is rarely pure and
never simple. Oscar Wilde
30Claim Substantiation Generally
- Refers to the evidence needed to support a claim
regarding some feature or performance of the
device - Must support both express and implied claims
- In labeling, revolves around the FDCA false and
misleading language - In advertising, revolves around the FTC standard
requiring a reasonable basis in objective
evidence before the claim is made - Unlike with drugs, there is no explicit FDA
guidance yet on device claim substantiation
31FTC Factors for Adequate Substantiation
- Type of product
- Type of claim
- Benefits of a truthful claim
- Cost/feasibility of developing substantiation for
the claim - Consequences of a false claim
- Amount of substantiation that experts in the
field believe is reasonable
32Comparative claims
- These compare the device to another device
- FDA considers them inherently misleading
- Requires that such claims be supported by sound
scientific data, usually a rigorous study that
directly compares the devices - FTC does not have that same predisposition,
instead favoring useful comparisons - But likewise requires rigorous scientific
evidence, again a study or studies comparing
the devices
33Establishment claims
- These are claims that declare or even suggest
that a devices superiority has been
scientifically proven - Both FDA and FTC require the company to have at
least the level of evidence stated or implied in
the claim - There is also a baseline of support required
- Studies must be able to withstand criticism
34Part Three Off-Label Promotion
- Off-Label Use Rules
- Basic Intended Use Framework
- Evolution of the Legal Landscape
- Promotion Dos Donts
- First Amendment Issues
Winter related injuries occur more often in the
winter.-newswoman for WHIZ-TV, Zanesville Ohio
35Basic Intended Use Framework
- Under 21 CFR 801.4, the words intended uses
refer to the objective intent of the persons
legally responsible for the labeling of devices.
The intent is determined by such persons'
expressions or may be shown by the circumstances
surrounding the distribution of the article. This
objective intent may, for example, be shown by
labeling claims, advertising matter, or oral or
written statements by such persons or their
representatives. It may be shown by the
circumstances that the article is, with the
knowledge of such persons or their
representatives, offered and used for a purpose
for which it is neither labeled nor advertised.
36Off-Label Use Rules Basic Framework
If promoted off-label, a device may be deemed
misbranded or adulterated
- The uses promoted are intended uses under 21
CFR 801.4 - If an intended use is for other than the
approved indication, the lack of approval and
inadequate labeling make device adulterated
and misbranded
37 Evolution of the Legal Landscape
- Where FDA was
- Strict regulation of off-label promotion
- FDA Guidances
- Guidance on Dissemination of Reprints and
Reference Texts (1996) - Guidance on Industry Supported Scientific and
Educational Activities (1997)
38 Evolution of the Legal Landscape
- Then FDAMA Section 401 (1997)
- Sets forth process for disseminating off-label
information - Requires disclosure statements labeling
- Requires later filing for approval of any
unapproved uses in the materials - Sets forth audience restrictions
- Limited to dissemination of certain
referencejournals - Now sunset
Gofethiye.com
39 Evolution of the Legal Landscape
- The Next Change
- FDAs authority to regulate off-label promotion
has been limited by the courts - Washington Legal Foundation
- Western States Medical Center
- More on those later
- Result FDA cannot infringe on the right of
medical device companies to promote their
products on-label or off-label if other, less
restrictive measures can achieve FDA's goals
40 Evolution of the Legal Landscape
- What the Law is NOW
- FDCA sections on misbranding are still in effect
- FDAMA 401 provisions on dissemination of
off-label materials and regulations have sunset - CME guidance is still in effect
- New Guidance on journal reprints
- FDA cannot infringe on promotion of products if
it has other options
41 First Amendment
- FDAs authority to regulate off-label promotion
has been limited by the courts any such
regulation must be narrowly tailored to achieve
FDA's purpose - Cases
- Washington Legal Foundation v. Henney (2000)
- Thompson v. Western States Medical Center (2002)
42 Washington Legal Foundation
- WLF brought action challenging 1996/1997
Guidances (and later, FDAMA) as unconstitutional
under the First Amendment - WLF won at trial
- On appeal, when FDA asserted they were not
mandatory, but created only safe harbors, the
court held the matter was not ripe for
determinationa technicality
43 Washington Legal Foundation
- Trial court suggested restrictions of its own,
which many manufacturers have adopted. - Articles from bona fide peer-reviewed journals or
text books published by a bona fide independent
publisher - Product must be cleared or approved for at least
one indication - False and misleading materials still open to FDA
enforcement - Must disclose off-label use
- Must disclose any relationship between the
company and product or authors
44Western States
- Background FDAMA exempted "compounded drugs"
(mixed by pharmacist) if, among other things - Drug is compounded by licensed pharmacist
- Providers don't advertise or promote compounding
of a particular drug, drug class or drug type - Challenge
- Compounding provision challenged by group of
pharmacies arguing provisions prohibiting
advertising violated First Amendment
45Western States
- U.S. Supreme Court held FDAMA compounding
provision unconstitutional - Lesson learned
- Government must use the least restrictive means
possible to achieve its objectives - If government can achieve its purpose without
restricting speech, or by restricting less
speech, it must do so
46Impact of the Litigation
- FDA cannot infringe on the right of medical
device companies to promote their products if
other, less restrictive measures can achieve
FDA's objectives, such as - Disclaimers and warning labels
- Disclosures
- Limitations on non-speech related activity
- Narrowing of speech restrictions
- FDA is reassessing its own authority
- On May 16, 2002, FDA requested comments on its
authority to regulate communications More than
730 comments received
47SEC Disclosure Requirements
- SECs requirement that companies disclose
material information to the investment community,
including both positive and negative results of
clinical trials, is often inconsistent with FDAs
limitations on disclosure - Clash of pro-speech policy with FDAs speech
restrictions - First Amendment typically does not permit
regulation of speech based on audience - SEC has brought enforcement actions against
companies for failure to disclose important
information about products in clinical trials
48Conclusions
- Basic principle Truthful speech should be
allowed - Many argue that truthful should be judged in
the eye of the audience - Doctors are sophisticated they can be told the
truth - Patients should be protected
- Begs the question, what level of substantiation
is required to establish the truthfulness of a
statement? - But is handing a doctor a peer-reviewed article
untruthful? Does it matter who hands it? - FDA needs to protect the integrity of its
clearance/approval process
49Part Four Marketing in a Regulated Environment
- The Stages of Promotion
- General Risk Areas
- Good Reprint Practices
- Unsolicited Requests
- Contracts for future generations
- Investor Communications
- Websites
- Trade Shows
- Scientific Meetings
- Trends in Enforcement
- Good Promotional Practices
The voters have spokenthe bastards.
Richard M. Nixon
50A lot of the rules are obvious
www.okaponds.com
51Development Phases
Requirements Related to Promotion
Regulatory Category
Phase
As a legal technicality, none on promotion until
introduced into interstate commerce. See CPG
300.600. Remember design control requirements
that will apply to labeling. But customers and
FDA will remember what is said.
Early Development
1
IDE regulation places explicit restrictions. For
example, no promotion is allowed beyond what is
necessary for its use in investigations (e.g.
recruiting subjects). Here, no clinical
performance claims are permitted.
Investigational (Human use)
2
According to FDA CPG section 300.600 Although a
firm may advertise or display a device that is
the subject of a pending 510(k)--in the hope that
FDA will conclude that the device is
substantially equivalent to a pre-amendments
device--a firm may not take orders, or be
prepared to take orders, that might result in
contracts of sale for the device unless limited
to research or investigational use.
510(k) pending
3
A whole slew of restrictions apply, including
limits on off-label promotion, truth in labeling,
adequate directions for use, and a number of
affirmative requirements related to name,
quantity, etc...
Cleared or approved
4
A blend of both phase 2 and 4.
Cleared and investigational
5
52Issues by Development Phase
53Basic Rules For Pre-approval Promotion
- Thou Shall Not Promote Beyond the Anticipated
Approved Label - Whatever the company says now about its upcoming
product will create an impression in the minds of
the customers who may ultimately be asked to
purchase that product. - If the company describes uses that do not
ultimately get approved, the company will be
creating an off-label promotion situation once
the product is introduced into commercial
distribution.
54Basic Rules For Pre-approval Discussion
- Thou Shall Tell the Truth in Promotional
Materials - Both FDA and FTC would have difficulty proceeding
against the company for statements made in
advance of any product being placed in commercial
distribution. (But other laws may still be
relevant.) - However, once the opportunity to acquire the
product exists, any prior statements made would
be evaluated for their truthfulness. Being
truthful means, among other things, the
statements made are adequately supported by valid
scientific evidence at the time they are made.
55FDA Guidance Good Reprint Practices
- Publishing Organizations must
- Utilize an independent editorial review board
and - Have a publicly stated policy regarding full
disclosure of any conflicts of interest - Channels of Distribution. A reference
publication - May not be primarily distributed by the
manufacturer and - Must be generally available.
- Influence of the Manufacturer. Reference
publications and reprints may not be disseminated
if - Written, edited, excerpted, or published for, or
at the request of, a product manufacturer - Edited or significantly influenced by the product
manufacturer or any party in a financial
relationship with the manufacturer - They are special supplements or publications that
a manufacturer funded in whole or in part.
56FDA Guidance Good Reprint Practices
- Content of Disseminated Information. A reprint
or reference publication - Must not pose a significant risk to the public
health. - Must address adequate, well-controlled,
scientifically sound clinical investigations
include historically controlled studies,
pharmacokinetic and pharmacodynamic studies and
meta-analyses if they are testing a specific
clinical hypothesis. - Must be truthful and not misleading. Examples of
misleading information include - Information that is inconsistent with the weight
of credible evidence, - A withdrawn journal article or disclaimed
reference publication, or - Information based on studies FDA deemed
inadequate or not well-controlled. - Must be disseminated in its original state.
57FDA Guidance Good Reprint Practices
- Manner of Dissemination.
- The information must be accompanied by
- a copy of the approved product labeling
- a comprehensive bibliography and
- a publication representative of any articles
reaching different conclusions. - Dissemination must take place separate and apart
from promotional activities. For example - a reprint may not be physically attached to any
promotional materials - sales representatives may not discuss the
content and - reprints may not be distributed at promotional
exhibitions or speaker programs.
58FDA Guidance Good Reprint Practices
- Disclaimers.
- The article or text must bear permanent and
prominent disclaimers. - That the uses described in the information have
not been approved or cleared by FDA - The manufacturer's interest in the drug or
medical device that is the subject of the journal
reprint or reference text - Any author known to the manufacturer as having a
financial interest in the product or manufacturer
or who is receiving compensation from the
manufacturer, along with the nature and amount of
any such financial interest of the author - Any person known to the manufacturer who has
provided funding for the study and - All significant risks or safety concerns known to
the manufacturer concerning the unapproved use
that are not discussed in the journal article or
reference text
59Unsolicited Requests
- When may off-label information be provided?
- In response to an unsolicited request of a health
care provider - Best Practices Unsolicited Requests
- Make sure unsolicited
- Keep the discussion objective, non-promotional in
nature, and fairly balanced - Confine responses to the specific question asked,
narrowing broad questions before responding - Clearly disclose that the device has not been
cleared or approved for the discussed use - Document all responses to unsolicited requests
60Investor Communications
- What legal standard applies to information
regarding investigational uses? - Labeling regulations apply, unless disclosure can
be classified as purely business or a scientific
exchange - Pre-approval off-label information, including
study announcements, will be tolerated by FDA if
segregated in the investor or news section of a
website and/or distributed to the press
concurrently with a newsworthy event
61Contracts for Future Generations
- The Law, or Some Rules of Thumb
- Cant sign, or perhaps even negotiate, a contract
where successful performance (e.g. delivery)
would require FDA approval/clearance - Some believe this is true even if the contract
conditions performance on FDA clearance or
approval (penalty free) - Note that exempt devices or changes that do not
require a new 510(k) would not be included - Cant pre-promote except in compliance with the
rules for pre-approval communication
62Websites
- Who regulates medical device website content?
- FTC and FDA
- Is a website labeling or advertising?
- FDA considers written, printed, or graphic
material placed on a manufacturers or own label
distributors Internet website to be labeling. - We suggest that you review your current
labeling, including any internet advertising
. - Source FDA, CDRH, Letter Re Medical Claims on
Labeling and Promotional Materials of Infant
Mattresses and Infant Positioners Distributed in
the U.S. - FDA uses conduct prohibited in any medium as a
basis of enforcement actions related to websites - New intended use
- Promotion of investigational devices
63Website Enforcement Examples
- Warning Letters to
- Laser Therapeutics (Despite disclaiming U.S.
medical claims, website caused device to be
adulterated and misbranded) - Medical Device Resource Corp (Claims made on
website caused device to be adulterated) - Diomed (U.S. website headlines and links to
industry and general media articles cause device
to be misbranded and adulterated) - Ximed (Link to "gene therapy" page and pictorial
caption implies unapproved use in gene therapy)
64FDA Monitoring of Websites
- FDA watches web closely for off-label promotion
- From FDAs page on buying medicines online
65Best Practices Websites
- Avoid discussion of investigational or OUS uses
on sites targeting a US audience - Physical location of server hosting the site is
irrelevant, accessibility is key Use gateway
page to select location - Indications only approved abroad must be
segregated from the US site, with no links
between them - Disclaimers are insufficient
66Best Practices Websites
- Monitor linked sites for off-label/ unapproved
information - What you link becomes yours
- Provide notice that viewer is leaving your site
- Observe the two click rule for off-label
information - Avoid links to chat rooms or sites known to
discuss off-label use of the product
67Trade Shows
- What standards apply to information disseminated
at trade shows? - Labeling regulations apply
- FDA frequently cites companies for their trade
show activities.
68Best Practices Trade Shows
- Train marketing personnel extensively in
permitted disclosures - Consider having clinical personnel present to
respond to questions that are off-label - Maintain a separate space for international uses
- Control disclosures regarding pending 510(k)
69Scientific Meetings Two Types
- Controlled - speakers under the control of the
sponsor (e.g., employees, consultants) - Investigator meetings
- Speaker training
- Trade show booths
- Supported - speakers are not under the
sponsors control but sponsor provides support
for the program (speakers without
employment/consultant relationships with the
sponsor) - Sponsored CME
70Meetings Controlled Communications
- Regulated as promotional material
- Remarks should
- Be consistent with intended use
- Conform to rules applicable to unsolicited
requests - Also consider rules applicable to
- Dissemination of written materials
- Appropriate locations
- Interactions with healthcare professionals
- Speaker agreements
71Meetings Supported Communications
- Unregulated scientific exchange, unless sponsor
is in a position to influence the presentation of
information about its products - In determining independence, FDA will consider
- Sponsor's control over content and speakers
- Meaningful disclosure of sponsor support,
relationships with speakers, regulatory status of
any unapproved uses discussed - Focus of the program (e.g., on a single product
or single companys products when alternatives
are available) - Relationship between provider and sponsor
- Etc. in 1997 Guidance
72 Trends in Enforcement
- FDA focus is on low hanging fruit
- Trade show exhibits and booths
- Website advertising and links
- Broadcast and print advertising
- Promotional materials
- FDA Creativity
- Connection of off-label promotion to Medicaid or
Medicare reimbursement claims (Parke-Davis)
73 Trends in Enforcement
- OIG continues to investigate off- label promotion
- Abbott
- Amgen
- Boston Scientific
- FCA actions have alleged off-label promotion
- Cephalon (425M)
- Eli Lilly (1.4B)
- Pfizer (2.3 B)
- State AG Investigations of off-label promotion
are on the rise
74Compliance isnt always easy
www.mustreadblogs.blogspot.com
75Good Promotional Practices
- Many leading companies are developing their own
GPPs - Essentially a risk management toolsets the
companys preferred path forward in a gray area - Looked favorably upon by regulators if done well.
- Become the basis for training and auditing
76Part Five Case Studies
- Topics
- Definition of Device/Intended Use
- Meetings
- Sales Scenarios
- Promotional Materials
Actual Trial Question How far apart were the
vehicles at the time of collision?
77Definition of Device/Intended Use
- Democracy used to be a good thing, but now it has
gotten into the wrong hands.-Senator Jesse Helms
78Definitional Case Studies
- Which of the following are regulated as medical
devices? - Popsicle stick
- Exercise treadmill
- Computer software for a standard PC. Doctors
type in symptoms, and an algorithm suggests the
most likely diagnosis. - An off-the-shelf modem that connects to a blood
glucose monitor. The modem transmits data over
the internet to the doctors office, so the
doctor can stay informed. - A website on which a patient can enter
information such as height, weight, family health
history and existing medical conditions. The
website makes recommendations for life style
improvements such as diet, exercise and dietary
supplements.
79Meetings
- Actual Trial Question
- Was it you or your brother that was killed in
the war?
80Case Study - Meetings
- Speaker Thought-leader physician who has a
consulting agreement with the company - Motivation Speaking at CME for educational
purposes. - Content Discussing an off label use of the
generic category of devices that includes the
manufacturers product - Audience Doctors attending CME
- Setting Aspen Hotel
Actual Trial Question Doctor, did you say he was
shot in the woods? No, I said he was shot in the
lumbar region.
81Case Study - Meetings
- Speaker Company Medical Director
- Motivation CME Seminar, education purpose, but
an official company spokesman who gets paid
partly based on stock performance - Content Primary remarks are on label, but an
audience member asks about an off label use - Audience Physicians
- Setting Aspen Hotel
Actual Trial Question Were you acquainted with
the deceased? Yes, sir. Before or after he
died?
82Case Study - Meetings
- Speaker Physician who serves as an investigator
in a company-sponsored clinical trial - Motivation Publishes an article in a peer
reviewed journal for prestige - Content The journal discusses an off label use
for the companys product under investigation. - Audience Physicians
- Setting The journal is subscription based, so
they get it through the mail.
Actual Trial Question Do you know how far
pregnant you are now? Ill be three months on
November 8. Apparently, then, the date of
conception was August 8? Yes. What were you doing
at that time?
83Sales Scenarios
- Actual Trial Question
- How far apart were the vehicles
- at the time of collision?
84Case Study Sales Scenarios
- Background Your joint replacement device is
labeled for use in individuals 65 years and older
while your competitors device is designed and
labeled for a younger population. - Scenario By way of comparison with its device,
your competitor is disseminating case studies
demonstrating failures of your device when
implanted in younger, more physically active
patients. - Is this a violation of
- Lanham Act?
- FDCA?
- FTC Act?
- State FDC Acts?
- State Unfair Trade Practices Acts?
85Case Study Sales Scenarios
- A peer reviewed journal article describes an
independent clinical trial comparing on-label,
lumbar spine uses of your bone screw device with
your biggest competitor. Superior efficacy of
your product is clearly demonstrated. - In the introductory paragraph describing the
devices, authors note in a single paragraph the
off-label use of these devices in the cervical
spine. - Can you disseminate this article to prescribers?
86Comments or Questions?
- Arguing with a lawyer is like
- mud wrestling with a pig after a while
- you realize that the pig actually enjoys it.