Investigational Device Exemption (IDE) / Investigational New Drug (IND) Protocol
The hybrid nature of the UOSE system includes both a device component and potential biological components (AAV vectors and HUP nanoparticles), requiring a comprehensive protocol addressing both IDE and potentially IND considerations.
Study Design
The clinical trial features a dual-track design to evaluate the efficacy and safety of both the Viral-Enabled Optogenetic (VEO) and Non-Genetic Optical (NGO) banks. This design allows for independent and/or combined assessment of the two primary neuromodulation modalities:
- Phase 1 (Safety and Feasibility): Small cohort, healthy volunteers or patients with severe, refractory neurological conditions. Primary endpoints will focus on safety, tolerability, and initial device performance.
- Phase 2 (Efficacy and Dose-Finding): Larger cohort, patients with specific neurological indications. Endpoints will include objective measures of neurological function, patient-reported outcomes, and optimization of stimulation parameters.
- Phase 3 (Pivotal Trial): Large, multi-center, randomized controlled trial to confirm efficacy and safety in a broader patient population, supporting PMA submission.
Patient Population
Initial studies will target patients with severe, refractory neurological disorders where existing treatments are ineffective. Specific inclusion/exclusion criteria will be developed based on the intended use (cognitive enhancement + therapeutic neuromodulation).
Endpoints
- Primary Endpoints: Safety (adverse events, device-related complications, thermal effects, nanoparticle migration, AAV spread), and efficacy measures relevant to the specific neurological indication.
- Secondary Endpoints: Quality of life, functional improvement, cognitive assessments, and long-term device performance.
Safety Monitoring
RACI safety interlocks with optical safety term (β_optical) to trigger immediate optical halt if RACI_total falls below threshold (e.g., 0.70).
Temperature Monitoring
Real-time temperature monitoring using Pt RTDs to ensure tissue temperature remains below 43°C, preventing thermal damage.
Laser Safety
Compliance with ANSI Z136.1 and IEC 60825 standards; INS radiant exposure not exceeding 1.09 J/cm²/pulse.
Preclinical Data Requirements
- In vitro studies: Neuron culture and patch-clamp validation of INS/HUP mechanisms
- In vivo studies: Rodent and non-human primate chronic implant studies (6–12 months) to assess long-term safety, biocompatibility, and functional outcomes
- GLP Toxicology: Good Laboratory Practice toxicology studies for HUP nanoparticles to evaluate potential systemic toxicity