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Guidance for Industry Guidance Document
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Document issued on: October 9, 1998
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U.S. Department Of Health and Human Services Division of Ophthalmic Devices |
Comments and suggestions may be submitted at any time for Agency consideration to David M. Whipple, Associate Director, Division of Ophthalmic Devices, HFZ-460, 9200 Corporate Blvd., Rockville, MD 20850. Comments may not be acted upon by the Agency until the document is next revised or updated. For questions regarding the use or interpretation of this guidance contact Everette Beers, Ph.D. at (240) 276-4200 or by e-mail at everette.beers@fda.hhs.gov.
World Wide Web/CDRH home page: http://www.fda.gov/cdrh/ode/sunglass.pdf, or CDRH Facts on Demand at 1-800-899-0381 or 301-827-0111, specify number 2208 when prompted for the document shelf number.
Regulatory Status of Nonprescription Sunglasses
Label and Labeling Information
Annex A - Limitations of Exemption for Nonprescription Sunglasses
Annex B - Labeling Guidance for Nonprescription Sunglasses
Annex C - Bibliography of References for Nonprescription Sunglasses
In the United States, nonprescription sunglasses are regulated as medical devices by the Center for Devices and Radiological Health (CDRH) in the Food and Drug Administration (FDA). It is estimated that over 300 million sunglasses are distributed in this country every year, making them one of the most widely available over-the-counter ophthalmic devices regulated by FDA. In addition, there are hundreds of manufacturers, importers and distributors of sunglasses who are ultimately responsible for assuring that the regulatory requirements applicable to nonprescription sunglasses are being met. The enclosed guidance document was developed to assist these individuals in meeting their regulatory responsibilities.
Nonprescription sunglasses are classified and regulated by FDA as class I devices in accordance with section 886.5850 in Title 21 of the Code of Federal Regulations (CFR). Section 206 of the FDA Modernization Act (FDAMA) of 1997 added, among other provisions, section 510(l) to the Act. This provision became effective on February 19, 1998. Section 510(l) states that submission of a report (i.e., premarket notification) to FDA under section 510(k) is not required for class I devices unless the class I device is for a use which is of substantial importance in preventing impairment of human health or presents a potential unreasonable risk of illness or injury. FDA does not believe that nonprescription sunglasses are a type of device that meets the criteria outlined above for submission of a premarket notification under section 510(k). On February 2, 1998, FDA published a notice in the Federal Register (63 FR 5387) identifying nonprescription sunglasses as a device type that should be exempt from premarket notification. The exemption for nonprescription sunglasses became effective on February 19, 1998.
FDA believes that this deregulation action is appropriate and consistent with current agency policy for using the least burdensome approach for regulating medical devices with minimal risks such as those historically associated with sunglasses. This deregulation step, however, does not mean that sunglasses are exempt from any other statutory or regulatory requirements, unless an order or regulation issued by FDA explicitly provides such exemptions. Indeed, FDA's determination that premarket notification was unnecessary to provide a reasonable assurance of safety and effectiveness for nonprescription sunglasses is based, in part, on the assurances provided by other regulatory controls. Nonprescription sunglasses remain subject to regulations such as those identified as "general controls", which are applicable to all class I devices, and impact resistant lens requirements.
In addition, there are limitations placed on the exemption of nonprescription sunglasses, as described in 21 CFR 886.9 and in the February 2, 1998 Federal Register notice. To avoid unnecessary or inadvertent violations of the Act, the limitations of the exemption must be clearly understood prior to marketing sunglasses in the United States without a determination of substantial equivalence from FDA through the 510(k) process.
FDA is issuing this guidance document for nonprescription sunglasses for purposes of (1) informing manufacturers, importers, distributors and other interested persons of the new regulatory changes affecting these devices; (2) identifying applicable regulations and voluntary performance standards associated with the manufacturing and marketing of nonprescription sunglasses; and, (3) providing guidance on the interpretation of the limitations of the exemption for Class I devices as it relates specifically to nonprescription sunglasses.
We hope you find this document to be useful and informative. We welcome your comments and requests for further information on the regulation of nonprescription sunglasses.
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A. Ralph Rosenthal, M.D. Director Division of Ophthalmic Devices |
This guidance is provided to the manufacturers, distributors, importers and other interested persons to assist them in understanding the regulatory requirements of the Food and Drug Administration (FDA) that are applicable to nonprescription sunglasses. This guidance applies to all Class I nonprescription sunglasses, including clips (clip-ons), that are usually marketed as over-the-counter (OTC) devices and worn in conjunction with casual or fashion dress and during general recreational activities.
This guidance does not apply to industrial eyewear, prescription eyewear, ready-to-wear reading glasses, sport protective eyewear or other forms of eyewear not defined as nonprescription sunglasses in this guidance. In addition, this guidance does not attempt to address additional laws and regulations enforced by other federal agencies that may also be applicable to nonprescription sunglasses (e.g. country of origin marking requirements pursuant to 19 USC Section 1304 of the United States Tariff Act of 1930). Manufacturers, importers and distributors of nonprescription sunglasses are expected to be aware of and comply with all laws and regulations, including those enforced by FDA, that are applicable to their device.
NOTE: For purposes of this guidance, the terms "nonprescription sunglasses" and "sunglasses" may be used interchangeably.
This section of the guidance includes terms and definitions that are applicable to nonprescription sunglasses. This is by no means an all-inclusive list of terms used within this guidance to describe the regulation of nonprescription sunglasses. They are provided as a ready reference source for understanding and interpreting the information provided in this guidance. [See Annex C- Bibliography for an informative list of references (e.g., laws, regulations and standards) that are applicable to nonprescription sunglasses and where relevant terms and definitions are located].
NOTE: Nonprescription devices are commonly sold or distributed as "over-the-counter" (OTC) devices. [21 CFR 801 - Subpart C]
NOTE: Ophthalmic devices that are exempt from premarket notification [510(k)] can be located in 21 CFR PART 886.
Nonprescription sunglasses are:
NOTE: Sunglasses that do not meet the criteria for compliance with the limitations of exemptions must submit a 510(k) and receive a determination of substantial equivalence from FDA before marketing the device (See Annex A for Guidance on the Limitations of Exemptions for Nonprescription Sunglasses).
When establishing finished product specifications for sunglasses, manufacturers should assess the following physical, chemical, optical and toxicological properties of the major components (i.e., spectacle frames and/or spectacle lenses) used in the manufacturing of the finished device:
NOTE: Use of the words must and shall is appropriate in a voluntary guidance when a manufacturer is ordered to comply with a requirement established by law or regulation.
Conformance with the requirements of the following voluntary national or international standards, e.g., American National Standards Institute (ANSI), International Organization of Standards (ISO), is considered acceptable for good manufacturing practices and appropriate for use in evaluating the critical design characteristics and properties listed above.
NOTE 1: The standards cited under "Optical Properties" (Subsection d) above may be used to determine refractive properties, transmittance properties including traffic signal recognition and other optical properties identified within these standards that may be applicable to the design of the device.
NOTE 2: Traffic Signal Recognition provisions contained in ANSI Z80.3 were developed with the color defective person in mind. Approximately 8% of the male population and less than 3% of the female population have some type of color deficiency. Therefore, some of the requirements of this section of the standard may be overly stringent for color normal individuals.
The terms label and labeling are related but not interchangeable. The term "label" is more restricted in scope and generally consists of the part of the display that is confined to the device itself. The term "labeling" is much broader in scope and consists of the label on the devices as well as the descriptive and informational literature that may accompany the device, or may come together at the device's point of display. The following is a list of labeling regulations that are generally applicable to nonprescription sunglasses.
Nonprescription sunglasses are generally marketed as OTC medical devices and are subject to the following general labeling and OTC labeling requirements outlined in 21 CFR Part 801 - Labeling:
(1) Subpart A - General Labeling Provisions:
(2) Subpart C - Labeling Requirements for Over-the-Counter Devices
(3) Subpart D - Exemptions from Adequate Directions for Use
(4) Subpart H - Special Requirements for Specific Devices
Section 501of the Act contains provisions defining adulteration of devices. Specifically, 501(c) states a device is adulterated if its quality falls below that which it purports or is represented to possess. Violations may include non-compliance with an applicable regulation (e.g., non-compliance with impact resistant lens regulations), non-conformance with an applicable standard for which conformance is claimed (e.g., non-conformance with traffic signal recognition provisions of ANSI Z80.3 when conformance is stated or implied in the labeling) or any other implied or stated labeling claim that would cause the device to be adulterated within the meaning of Section 501 of the Act (e.g., claims made by the manufacturer in the labeling for their sunglasses that claim they are constructed of lenses that block 100% UVA, UVB & UVC if such statements are untrue with respect to the sunglasses in question).
Section 502 of the Act contains provisions on misbranding and false or misleading labeling for medical devices. Specifically, section 502(a) declares that a device is misbranded if it's labeling proves to be false or misleading in any particular. Historically, OTC devices, such as sunglasses, are at risk for violations of this law because they are generally marketed directly to consumers. Violations of this law are not confined to strict interpretations of statements that are untrue, forged, fraudulent or deceptive. It may also include labeling that creates a false impression in the mind of a consumer. Examples of false or misleading labeling includes:
To avoid unnecessary or inadvertent violations of the Act, all promotion, labeling and advertising material should be carefully reviewed to insure compliance with the labeling laws and regulations applicable to nonprescription sunglasses (See Annex B for additional labeling guidance on intended use, performance claims, and directions for use specifically relating to nonprescription sunglasses).
Nonprescription sunglasses were granted an exemption from the requirement of premarket notification under section 510(k) of the Act on February 19, 1998. In addition, they are subject to the limitations of exemptions as described in 21 CFR 886.9 and in the February 2, 1998 Federal Register (FR) announcement titled, "Medical Devices; Exemptions from Premarket Notification and Reserved Devices; Class I." [63 FR 5387]
As previously stated in the cover letter of this guidance, Section 206 of the FDA Modernization Act (FDAMA) of 1997 added, among other provisions, section 510(l) to the Act. Section 510(l) states that submission of a premarket notification report to FDA under section 510(k) is not required for a class I device unless the device is for a use which is of substantial importance in preventing impairment of human health or presents a potential unreasonable risk of illness or injury, hereafter referred to as "reserved criteria." FDA does not believe that nonprescription sunglasses are a type of device that meets the reserved criteria outlined above to require the submission of a premarket notification report under section 510(k). Therefore, on February 2, 1998, FDA published a notice in the Federal Register identifying nonprescription sunglasses as a device type that should be exempt from premarket notification. The exemption for nonprescription became effective on February 19, 1998.
FDA's decision to grant an exemption from the requirements of premarket notification for a generic type of device, such as sunglasses, is based upon existing and reasonably foreseeable characteristics of these devices. However, FDA cannot anticipate every change in the intended use of a device that is of substantial importance in preventing impairment of human health or changes in the device characteristics that significantly affects the safety or performance of the device as to present a potential unreasonable risk of illness or injury as described in the reserved criteria. Therefore, manufacturers of devices for which FDA has granted an exemption from premarket notification requirements must still submit a premarket notification [510(k)] to FDA and receive a substantial equivalence determination before introducing the device into interstate commerce for commercial distribution when:
Any class I device incorporating such changes or modifications is no longer considered exempt from premarket notification because FDA believes they would meet the reserved criteria described in section 510(l) of the Act.
The following examples provided below are presented to help illustrate FDA's interpretation of the limitations of exemptions as it specifically relates to nonprescription sunglasses.
Example 1 - FDA has previously cleared for marketing nonprescription sunglasses for use in relieving eye strain and eye fatigue due to glare from exposure to bright sunlight. FDA would consider manufacturers making similar types of sunglasses with a similar type of claim to be within the limitations of the exemption and no premarket notification [510(k)] would be required prior to placing the sunglasses into commercial distribution. Manufacturers are reminded, however, all claims must be supported by valid scientific evidence regardless of the need for submission of a 510(k). Information supporting any marketing claims should be maintained by the manufacturer in the appropriate records for the device.
Example 2 - A manufacturer of sunglasses wants to make health related or other performance claims in their labeling that have not been previously cleared by FDA in a 510(k). These claims may include statements such as, "...for protection against the formation of cataracts..." or "...for prevention of cataracts and other ocular disorders...", "...improves visual acuity...", or "...for use in the treatment of color blindness...". Such statements would be considered claims of intended uses that are different from the legally marketed devices of that generic type. Therefore, sunglasses making such claims would not be exempt from premarket notification because they would met the reserved criteria described above, under section 510(l) of the Act.
The above examples are provided as guidance for interpretation of the limitations of exemptions as it specifically applies to nonprescription sunglasses. Past experience has demonstrated, however, that manufacturers of devices that have been granted an exemption from premarket notification [510(k)] submission requirements often assume they have achieved a greater degree of deregulation than the exemption affords. FDA advises that an exemption from the requirements of premarket notification does not mean that the device is exempt from any other statutory or regulatory requirements, unless FDA issues an order or regulation that explicitly provides such exemptions. Therefore, it is extremely important that all parties involved in the manufacturing and distribution of nonprescription sunglasses become thoroughly familiar with the limitations of exemption and with the other general controls that are applicable to all Class I devices. Familiarity with the laws and regulations applicable to nonprescription sunglasses will help manufacturers meet their regulatory responsibilities and avoid unnecessary or inadvertent violations of the Act.
In the past, FDA has taken exception to certain unsubstantiated performance claims or new intended uses, such as those relating to UV absorbing sunglasses, that have appeared in promotion, labeling and advertising from several manufacturers. Warning letters have been issued by FDA to manufacturers advising them that commercial distribution and promotion of a device with unsubstantiated claims and without the benefit of a determination of substantial equivalence through the 510(k) process may result in the adulteration of the device within the meaning of Section 501 and misbranding of the device within the meaning of Section 502 of the Act.
It is ultimately the responsibility of the manufacturer to determine if new or modified type of sunglasses meets the criteria for exemption from submission of a 510(k) prior to marketing and distribution in the United States. If a manufacturer is uncertain as to the regulatory status of their new or modified sunglasses, please contact the Division of Ophthalmic Devices, at the phone numbers previously provided in this document, for further advice and guidance relating to the limitations of exemptions for nonprescription sunglasses.
Intended Use and Performance Claims:
Sunglasses are intended for use in the attenuation of bright sunlight. They are generally worn with casual or fashion dress, while driving during daylight or while participating in general recreational activities.
Sunglasses manufactured with reflective, tinted, polarizing, photosensitizing lenses and meet ISO 8980 - 3 or ANSI Z80.3 for UV and visible light transmittance requirements, may also be indicated for use in protecting the eyes from exposure to bright sunlight including it's UV component. The degree to which sunglasses will attenuate sunlight and block UV varies with the physical, chemical and optical properties of the lenses. Therefore, the performance claims found in the promotion, labeling or advertising for sunglasses may vary according to its construction. The following are examples of statements of intended use and performance claims that are adequate for labeling of nonprescription sunglasses:
"...lenses meet ANSI Z80.3 1996 [normal] or [strictest] UV blocking requirements ".
Additional optional language: "...lenses block [X]%UVB and [Y]%UVA."
"...may reduce eye strain and/or eye fatigue due to glare".
"...lenses meet applicable government impact resistance requirements but ARE NOT SHATTERPROOF".
"CAUTION: not for use while driving."
Directions for Use:
OTC nonprescription sunglasses can usually be marketed without comprehensive directions for use because their common uses are generally known to the ordinary individual (21 CFR 801.116). However, manufacturers may choose to include a section in their labeling to provide information on selection and use criteria for their sunglasses. An example of selection and use criteria are illustrated below:
In addition, manufacturers may choose to include public service reminders of commonly understood risks associated with the misuse of sunglasses. Suggested reminders may include the following:
Laws and Regulations:
Voluntary National and International Standards:
Uploaded on November 16, 1998
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