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• A medical device is an non‐biochemical object used for medical purposes in human patients, for
diagnostic, therapeutic, supporting, replacing, prevention or any similar physical effect‐giving
application.
By definition – Medical device is a physical material and not a chemical material. In other words, Medical
drug is derived to give a biochemical outcome and medical device is designed to give a Bio‐Electro‐
mechanical outcome. As the definitions have a lot of variables to be considered, there are other
definitions set by regulatory bodies in world, applicable for law of the respective country.
A few medical devices also have biochemical action hence for resolution of discrepancy, better
clarification is a physical object designed primarily for physical action (may be superimposed with
secondary biochemical reaction or not) for example let’s take a coronary stent – that has a medicine
coated on it – has a binary action – the primary in this case is support – a mechanical reason.
The mechanical reasons we can consider in this case are
1) Support ‐ Support is mechanical entity by which fractured, injured or stenosed organ can be
provided an external scaffold and strengthen / aid to meet minimum level of physical strength
for its function or healing
a. Eg : Internal / external Splints for a fracture
b. Stent for stenosis of tubes
c. Catheters for drainage
d. Crutches/ walker/wheel chairs Etc
e. Spectacles, Contact lenses
2) electro‐mechanical, mechanical Radio‐mechanical control/interpretation – where artificial
electrical and electro‐mechanical or Photo‐electrical power is used to aid structural or functional
or both requirement of the organ / tissue
a. eg: External / internal pace makers
b. artificial kidney machine / artificial hart machine , heart and lung machine
c. ECG, EEG, ECHO, MRI, CT Scan
d. X‐ray , Rotablator, Radiotherapy devices
e. Vacuum pumps, vetuse, ventilators
3) Incision, suturing, infusion, Invasion, retraction, depression, aspiration, removal etc.
a. Eg: Needles, scalp vein, Sutures, threads, catgut, bandages, dressings etc.
b. Vaginal speculum, Endoscopes, laparoscopes , oral gauge, nasal speculum, ear bud
c. Curate, scalpel, womb forceps, Hagar’s dilators etc (Surgical, dental instruments)
d. Ryle’s tube , Stomach tube, intubation tubes
e. Cardiac catheters/ intravascular sheaths and canula
4) Replacement / modification of anatomy (Normal or morbid)
a. Eg: Orthopedic shunts and implants like acetabular cups, hip joint etc
b. Artificial heat valve, ASD/ VSD Closure devices
c. Intra ocular lenses
d. Silicone gel filled breast implant.
e. denture
5) Interference – where presence of the device physically, influences structurally/ functionally to
modify the function of the organ/ tissue – either as a catalyst or as an antagonist.
a. Eg: Condom, IUCD, vaginal cap
b. Embrydrill
6) Measurements
a. Time – stop watch; timer
b. Length ‐ Scales, tapes, calipers etc
c. Weight/ mass ‐ weighing scales,
d. Tone / shades – Photocaloriemeter / sahli’s hemoglobinometer, urinometer
e. Qantitative analysis – pippates, burrates microscopic instruments , ESR tubes, ELLISA
apparatus, PH Meters etc
f. Biochemical analysis – Blood‐sugar mater
g. Counting – Hemogram cell counter devices
h. Special counting – has a wide range‐ from as sophisticated as Pulse oxymeter to as
simple as a thermometer, this will include optometry. audiometry, orthometry etc.
As any single standard definition of medical devices is not yet set, or accepted by any universal
organization except Global Harmonization Task Force definition, which has set a definition as stated at
the end of this section. The definition stated above is more or less a conventional definition. One needs
to understand a few more definitions in details to understand the functional and regulatory aspects of
these devices
1. European Union definition
Directive 2007/47/ec of the European Parliament and of the council of 5 September, 2007, which
amended the Council Directive 93/42/EEC of 14 June, 1993 concerning medical devices, defines a
medical device as
any instrument, apparatus, appliance, software, material or other article, whether used alone or in combination,
including the software intended by its manufacturer to be used specifically for diagnostic and/or therapeutic
purposes and necessary for its proper application, intended by the manufacturer to be used for human beings.
Devices are to be used for the purpose of:
• Diagnosis, prevention, monitoring, treatment or alleviation of disease.
• Diagnosis, monitoring, treatment, alleviation of or compensation for an injury or handicap.
• Investigation, replacement or modification of the anatomy or of a physiological process
• Control of conception
This includes devices that do not achieve its principal intended action in or on the human body by
pharmacological, immunological or metabolic means, but which may be assisted in its function by such
means.
The purpose of this definition indicates the purpose of medical devices as ‐
1. Replacement / modification/ support of anatomy (Normal or morbid)
a. such as in case of use of orthopaedic implants where we have to modify or replace the
existing anatomy. eg: Orthopedic shunt , arterial kidney machine, Artificial limbs , breast
implants, crutches etc
2. electro‐mechanical mechanical control / support
a. eg: Stents, pacemakers, urethral catheters, ryle’s tube
3. Diagnosis / Monitoring / investigation
a. eg: ECG, TMT, USG, cardiac catheters, holter’s monitor,
b. This will include the meteorological devices as well. Eg: spigmonanometer
4. Treatment/ prevention
a. eg: IUCD, Condom, contact lenses,
Medical devices include a wide range of products varying in complexity and application. Examples
include tongue depressors, medical thermometers, blood sugar meters, and X‐ray machines.
• The Medicines and Healthcare products Regulatory Agency (MHRA) regulates medical devices in
the UK under European legislation.
• Medical devices must not be mistaken with medicinal products.
• In the EU, all medical devices must be identified with the CE mark.
2. Definition in USA by the Food and Drug Administration
As defined by the Federal Food, Drug, and Cosmetic Act, 21 United States Code [321] (h).
Medical devices are regulated by the FDA Center for Devices and Radiological Health (CDRH) ‐
A medical device is an instrument, apparatus, implement, machine, contrivance, implant, in vitro reagent, or other
similar or related article, including a component part, or accessory which is:
• recognized in the official National Formulary, or the United States Pharmacopoeia, or any supplement to
them,
• intended for use in the diagnosis of disease or other conditions, or in the cure, mitigation, treatment, or
prevention of disease, in man or other animals, or
• Intended to affect the structure or any function of the body of man or other animals, and which does not
achieve any of its primary intended purposes through chemical action within or on the body of man or
other animals and which is not dependent upon being metabolized for the achievement of any of its
primary intended purposes.
According to US FDA , the requisite quality of the medical device is defined by
1) Intention – Developed with intention of
a. Medical Use (Diagnosis, treatment, cure, mitigation, prevention)
b. Acting primarily physically
2) Modus operendi
a. Not dependant upon metabolism for them to act (Primarily)
b. (primary )Intended Action achieved by physical mode and not by chemical mode
3) Recognition
a. Either by USP or its supplement
b. Or National formulary
US FDA defines the device on human or other animals.
3. Definition in Canada by the Food and Drugs Act
For the purpose of these regulations a "medical device" is defined as it appears in the Food and Drugs
Act with, however, the exclusion of veterinary products.
“an article, instrument, apparatus or contrivance, including a component, part or accessory of one,
that is manufactured, sold or represented for use in:
4. Definition in India by Drugs and cosmetics Act 1940 and rules 1945
There is no definition as such given in Drugs and cosmetics act and rules per se. It includes the medical
devices intended for use in human or animal subjects for diagnostic (including measurements),
treatment mitigation, or prevention purposes under drugs.
“such devices intended for internal or external use in the diagnosis, treatment, mitigation or prevention of disease or disorder
in human beings or animals, as may be specified from time to time by the Central Government by notification in the Official
Gazette, after consultation with the Board;]” Chapter 1 – article 3. (b) (iv)
Some medical devices such as measuring and Infusion devices were included in various schedules in the
rules. There is also mention of IUCD in rules in the schedules. Schedule M mentions about regulatory
manufacturing requirements of the devices, but still from all this any definition could not be yet set.
Later in 2005 most recently, by a gazette notification from Ministry of health and family welfare, the
modification is suggested for inclusion of following 10 items as drugs for sale, application, utilization and
evaluation purposes. (Gazette notification S.O. 1468 (E) dated 6/10/2005 ministry of health and family
welfare)
1. Cardiac Stents 2. Drug Eluting Stents
3. Catheters 4. Intra Ocular Lenses
5. I.V. Cannulae 6. Bone Cements
7. Heart Valves 8. Scalp Vein Set
9. Orthopedic Implants 10. Internal Prosthetic replacements
Apart from this list, there ahs not been any list as such compiles or published by Indian Central Drug
Administration.
5. Definition by Global Harmonization Task Force (GHTF)
“Medical device” means any instrument, apparatus, implement, machine, appliance, implant, in vitro
reagent or calibrator, software, material or other similar or related article, intended by the
manufacturer to be used, alone or in combination, for human beings for one or more of the specific
purposes of:
• Diagnosis, prevention, monitoring, treatment or alleviation of disease
• Diagnosis, monitoring, treatment, alleviation of or compensation for an injury
• Investigation, replacement, modification, or support of the anatomy or of a physiological process
• supporting or sustaining life
• Control of conception
• Disinfection of medical devices
• providing information for medical purposes by means of in vitro examination of specimens derived
from the human body and which does not achieve its primary intended action in or on the human body
by pharmacological, immunological or metabolic means, but which may be assisted in its function by
such means.
• Class A – Extremely Low(Minimum) Risk devices
• Having Least Impact and contact with the body eg – x ray films , tongue depressors
• Class B – Low Risk Devices
• Intended to be used externally
• Low time of exposure
• Least physical / chemical / ionic impact etc
– Eg MRI , Cathers, Tracheotomy opening closure device
• Class C – midum risk devices
• Intended for permanent or long to very long exposure
• Replacements/ support etc – eg Bone shunts , dialyzers
• Other Rules to be seen
• Class D – High Risk Devices
• New devices , insufficient data
• Intent to be long exposure / high impact etc
• In This Classification Various Rules Must be studied the above stated are only a few
examples
TGA Classification – Australia
The TGA Classification is also based upon various rules, which are similar to EU Rules. For reference the
TGA Classification guideline can be referred.
Classification Level of risk
Class I low
Class I - sterile low
Class I - measuring low
Class IIa low-medium
Class IIb medium–high
Class III high risk
Active Implantable Medical Devices (AIMD) high risk
Chapter 2
Life process of a Medical Device
The Medical Devices regulation has developed over a period of several years considering the wider spread of their
application. Though the therapeutic and diagnostic purpose is similar, there are following Major differences in the
Medical devices and drugs
Drugs Devices
Action Drugs are mainly biochemical in action Devices are mainly intended to be Physical in
action (Such as Support, incision etc)
Tenor of The Tenor of risk in case of drugs is as until The tenor of risk of the devices is lifelong
Risk establishment of the treatment
Basic action Basic information of the action is well known Bio‐Physics is not yet sufficient to reason out
information through its pharmacokinetics complete effect on biological subjects
Nature of Toxicological – which can be reversed to at least The effects are physical and in most cases are
adverse to some extent if treated within fatality indices medicinally irreversible. The changes are either
effect permanent or correctable Physical methods only.
Rarely some drug agent may be helpful.
Test on Phase 0 – BABE on healthy Volunteers is Done Phase 0 Study is not possible on health
Healthy volunteers. These studies are on lower animals
volunteers only.
Risk parameters of Drugs and devices vary anonymously due to differences stated above. The Risk evaluation of
Medical devices is always relative term. The Risk includes majorly following parameters for devices
1) Hazard: Harm to receiver, Harm to user, Harm to other persons etc
2) Duration of exposure of Medical device in the body ( Usually implantable is permanent) hence will denote
monitoring period
3) Material of which the device is made –will inform the potential to hazard
4) Activeness of the device (Elution of drug, ionization, pacing etc) –will inform the potential to hazard
5) Severity of the Impact of adverse event if occurred
6) Likelihood to cause adverse events from its effects : intended or unintended
This information for the medical devices is evaluated based upon collective information; unlike drugs, from the real
world. This information is sourced by
1) Experience of the users : medical professionals, Designing biomedical engineers,
2) Evaluation by the regulatory Committees
3) Addressed Adverse events in system
4) Data from clinical researches and post market Surveillance.
For Understanding the medical device safety and performance/ effectiveness profile, understanding the lifecycle of
device is inevitably necessary. The lifecycle of device has links to its stake holders at various stages. It also gives an
Idea about requirement of clinical research at various levels. Due to all this, this forms an important basis for
understanding the regulation applied.
Stages of medical device in relation to its performance and safety:
1) Need – Need is the reason for invention and developments. When existing treatment gets limitation to
treat certain kind of anatomical or physiological defects, there is a need for medical device, either for
surgery or for advanced medicinal operation. Same thing applies to the diagnostic devices, when the older
methods are not enough to give accurate results; there is the need for invention of newer concepts and
devices. Classical example is evolution of artificial heart valve before which the prognosis for cardiac
valve stenosis was very poor. Evolution of scalp vein, hypodermal needle, etc was out of need for
advancement of the technology and move towards perfection. This stage usually provides basis for the
intention.
2) Conception – conception is an important step in lifecycle of a device. At this stage the “Intention” of the
device is determined. Desired mode of action of the device is also conceptualized here. From here
onwards, we can start thing about the classification of the device. Usually need may drive the concept
process; nevertheless, concept can be a primary stage in many cases‐ eg. In case of contact lenses,
Spectacles were enough devices to serve correction for refractive error, but for better visual field and
cosmetic reasons, contact lenses were evolved and gained a good market share.
The performance and safety of medical device is also dependent on this stage, as this
stage is more of a kind of principles setting science. Valid and sound concept gives rise to an innovative
device benefits the medical world by either improving prognosis & quality of life or by improving subtle
factors in diagnosis, management, monitoring, financial burden, time taken for treatment/ diagnosis,
cosmetic effect and aftereffects etc
The mismatch between inputs of concept and outputs of product will lead to major
increase in risk and diminution of performance. Eg : a toothbrush is designed to clean teeth from all
angles, without harming gums and enamel of the teeth. If the output is too hard, which cleans the teeth
very well but erodes gums and enamel, would be a safety issue and vice versa for performance.
Lifecycle of a Medical device and its responsible stake holder and involved clinical research phases in these
stages
Need and
Concept
Manufacturer – Research and Feasibility evaluation,
development units Physical test
Research
and design
Production
Feedback
Primary Manufacturer – production
Preclinical and Clinical phase I,
testing units + testing by research II and II Research
units
Labeling and
packing
Sale and
Manufacturer Direct or
marketing
through Agents/ Sales
Agencies/ Stockiest ‐
Retail Stock
Temp Stock
At the Hospital / treatment
Phase III and IV Clinical
Use and
place research, Post Market
Disposal
Surveillance
After the concept is laid down to work, feasibility of the concept is tested for the first time. The points of
understanding the feasibility are financial, potential benefits Vs Harms and acceptance, reasonability to
manufacture and commercialize the product. Eg: Evenif the process of dialysis is very stringent and needs
frequent visits to dialysis center, the concept f home based dialysis units has not yet developed – the
potential benefit is less than the potential risks. The treatment needs to be under medical supervision.
Hence the concept does not pass the feasibility. Concept may b generated by any person, in system or out
of the system even.
3) Research and development ‐ the term research and development mostly pertain to engineer the concept
to design. Research on various aspects of the concept and its applicability is very important to proceed
towards designing of the device. The objectives of research are
i. Establishing the simplest possible design so that the outcome is user friendly
ii. Providing inputs about materials those can be used in the conceptual device to make it
1. Economic
2. Biochemically inert where not intended
3. Meet the required timeframe for device life
4. Meet strength, stability, sterilization, standards etc
iii. Inputs on Application of technology
1. Performance
2. Efficacy
3. Safety
iv. Research about various applicability dynamics and Statistics
1. Statistics and measurements of the body part where it is applicable.
2. Physiological characteristics of the part involved
a. Desired effects
b. Undesired effects
3. Patho‐physiological characteristics of the condition where is the device would
be utilized
The stage of research is usually an ongoing process throughout the lifecycle of the device. A few
feedbacks may be received on engineering part of the device from real world. The modification and
redesigning etc needs Research and development division of the manufacturer alert about the
engineering and delivering more sophisticated devices.
4) Designing – this is another very important stage in a device life. What conception means in theory, design
means in practical. Before design, the data base of concept and intention, Research, feasibility, and data‐
base formed by research for various steps involved. Usually designing is done by biomedical engineers,
the members working in or under supervision of Research and development units.
Characteristically, the design needs to be simple, as easy as to handle, requiring minimum knowledge
about its technicality at the end user level for its deployment. More completed the design, higher the risk
is for human error.
At this stage, it is very important that the design is thoroughly reviewed by R&D and scientific expert
teams to ensure
1. The performance of the device can meet to desired level with proposed design
2. The performance features of the device Does not lead to any unwarranted risks
This stage is very important on regulatory front as well. The design of device is one of the fundamental
rules of classification of devices in various systems. More complicated designs often are place under
higher risk classed for potential human error risk in them. Design has gained a good significance as a
marketing tool and icon of technical sophistication in recent days.
5) Production – this is the most important and the major step of the manufacture of a device. There are
separate regulations designed for manufacturing under Good Manufacturing Practices guidelines. Aim of
production is to deliver the product as designed, conceptualized and intended. For Standards of Medical
Devices International Standardization organization has framed a regulation – ISO 13548:2000. Compliance
to this regulation and GMP guidelines is made mandatory. Production is a major investment of the
manufacturer as well as it involves infrastructure and multi‐level manpower.
For a good manufacturing management, Sustained production and maintenance of Quality are the two
important deliverables.
6) Labeling and packing – this constitutes the last part of In‐station process of the manufacturer. The later
parts to this in the life of a device are out of production venue. Labeling and packaging being one of the
important regulatory controls, should be understood keenly by a clinical research professional.
The purposes of medical device labeling
1. Indication ‐ for indication of medical device and its related hazards, there are a
few standard icons accepted and interpreted universally. These (which ever
applicable) Icons and graphics must be put on the labels where ever applicable
(See the diagram below)
2.
Identification – For Identification of Medical devices the companies use unique
color codes, names and quick recall information is specific formats so that its
identification also generates a visual impact
3. Content of a label vary from country to country but some poits mandatory
universally are – name and type of the device and its brand name, date of
manufacturing, lot (batch) number, date of expiry (In case of sterile device),
Contents of the packaged box, Must Know technical information of the device,
Hazards if any, manufacturing license number, date, name of the manufacturer
with address and bar code for unique piece, Intended use of the device.
4. The information on the box should be in local language
The purpose of Packaging –
1. Maintaining integrity of the device as packed at the production unit.
2. Reducing risk of harm to person handling the devices evenif it is bio‐hazardous,
in transit.
3. Maintaining sterility of sterilely packed medical devices
4. Prevention of mishandling in transit
Standard Content of a device box
1. One sub packing – usually aluminum foil package with label of vital information,
containing the device and its immediate accessories
2. Literature related to vital information and technical details or Instructions for use
(IFU)
3. Certificate of sterility, if not affixed on the box.
Labeling of the device is a general control in US, which is the only major requirement in class one devices.
7) Sale and marketing – Sale and marketing including Advertisement, publication is the revenue making
stage of the product life. Sale, Production and clinical research are interdependent for many factors.
Though, regulation has no many guidelines for sales, there are general ethics to follow in sales process as
well. This is a common‐most area where ethics may be violated and regulatory or ethics person, including
a clinical research professional, needs to Observe and suggest on compliance of critical ethics
The Phase III and IV Clinical Studies and post marketing Surveillance are commonly attended by this phase
of the device. Therefore, often is tool for promotion of the device.
8) Stock: this is a temporary phase and is rarely carrying any significance in process Other than for logistics
and buffer management. But for Clinical reasons a few points in stock are worthy of consideration
a. Dates of various Stages on the devices in stock (Especially if the Investigational device is
identified separate)
b. Quality and storage condition
c. Reasonable availability of the stock for purpose of smooth completion of the study – without
Hassles of discontinuation of required Material
9) Use and Disposal: Unlike drugs, devices are used by experts in most conditions. End users are different in
case of drugs and the devices as discussed earlier. But in a few cases, where ude of device is for shorter
terms, the device may be used by lay people. For all, irrelevant of their expertise hence it is very
important to understand a proper method of use of the device, especially when it is a new device. By
regulation, “Instructions for use” is mandatory content of the final pack of the device. IFU needs to be in
all Local languages, easily understood by the target user population. Disposal of the device and if
applicable its reuse needs to be critically observed for the reason of safety of attendants. Nota bene,
devices have tendency to cause physical harm. In some cases, this may be permanent
Various Stakeholders of medical device life stages –
1) Manufacturer – As per definition, manufacturer is any person that produces the device. There are many
regulations for control over the manufacturer at various levels. Licensing process and Good
manufacturing Practice (GMP) guidelines are basic documents for this. There are many local regulations
for various countries and have mandatory compliance.
Roles and responsibilities of the manufacturer
1. Check and Assurance of Quality and compliance with GMP
2. Research and development of the device
3. In most of the regulations, manufacturer classifies his device first and apply (or notify incase of
Class I in US) for marketing Approvals – based upon the intension and design
4. Manufacturer is responsible for collection of safety and efficacy data and prove device
performance (Premarketing and post marketing)
5. Manufacturer funds and sponsors the clinical researches related to the devices and Assures
compliance of good clinical practice
2) Regulatory bodies – regulatory bodies have a responsibility of varying natures in various countries.
According to GHTF, Regulatory bodies are responsible for audit of device classification and data of the
device at various levels. The regulatory bodies act as Ethics monitoring bodies in almost all cases. They
have capacity to recommend approval, approval with modification/ conditional or rejection for
application, completely. Various Regulatory bodies and agencies are constituted in US and EU for this
sake.
3) User – Feedback and Help in data collection is the major stake of the user in view of a clinical research
professional. The User needs to assure his/her qualification to use the respective device. Also, proper use
of the device is responsibility of the user.
Proving safely and effectiveness performance of the medical device is responsibility of the Manufacturer. For
understanding this phrase we need to understand some terms in gross.
Effectiveness is defined as Ability of the device to produce the effect intended by the manufacturer relative to the
medical conditions. Effectiveness can be thought of as efficacy in the real world clinical environment. But actual
definition for Efficacy is Effectiveness under Ideal situation. For example, when manufactured, record of electrical
changes in heart is the intention of ECG machine. When ECG machine actually does this it’s the effectiveness. But
for getting the best results, In optimum conditions of gel, position, posture and stability etc, ECG Machine gives
most accurate outputs in this conditions, it is the efficacy of the machine. Efficacy is also referred as Superiority
over the control arm or existing treatment in case of clinical research.
Safety of the device is a binomial phenomenon. The first safety is its harmless nature on the user and attendant.
The second, it should not cause any additional risk from its use, that includes death, adverse events (for example in
case of an Intra‐uterine Contraceptive Device, Perforation, Endometritis etc) and deterioration of the prognosis
(For example in case of a intraocular lens, tear in tear capsule due to wrong curvatures of carving).
Performance of the device is a combination of Efficacy and preliminary safety, which makes the device stable with
the users. In All regulations, Manufacturer has responsibility to prove safety and performance of the device.
Manufacturer’s attempt to establish safety and efficacy data –
1. Physical study of the device pertaining to its physical characters and design: For example – testing the
quality of latex material in a glove; its elasticity, thermo‐stability, electricity resistance and grip to skin and
instrument at high level of moisture, its permeability to ions and solvents, and resistance to infections etc are
tested in physical laboratory and these are the only criteria for its approval.
2. Conduction of Bio‐stability and primary safety Lower animal studies – these studies are usually done for
devices with new concepts, new biochemical material and existing material / concept with new application.
Example ‐ Lower animal studies in healthy miniswines done for testing immediate, early and late effects of
stents in a healthy artery. These studies give similar a data of BA BE clinical study for drugs. These studies are
performed in at authorized laboratories. The data includes results in term of
a. Effect of device on target tissue and non‐target tissues
i. Desired effect achievement
ii. Side effects produced
b. Amount of desired action exerted
i. Hyperactivity – casing new safety issues/ conditions
ii. Hypoactivity – poor performance
3. Conduction of Lower animal safety and efficacy studies – These studies commonly correspond to Stage0
clinical trials of drugs. The diseased (artificially or naturally) Models of lower animals are taken as a basis for
the study and its Safety, efficacy and actual Macro and Micro level studies are performed to collect
reasonable amount of data to prove safety of its use in human beings or wider population of animals. For
example for testing internal splints, fractured arms of animals are treated with the internal splints and its
regular X‐ray, operative and tomographic examination is done and recorded. In course of time, periodical
histopathology by various techniques may be done for collection of its inflammatory and injury causing/
healing effects.
4. Human Clinical Studies in Various stages : these studies are First In Man (Usually corresponding to phase II
for drugs, Phase II – wider Studies in comparatively simpler groups, Phase III – Studies to establish data in
more complex and near to actual populations, Phase IV and post marketing studies – data from real world,
well wide groups and Complex conditions, Newer indications,
5. Post marketing Surveillance (Usually a type of Phase IV Study) having most commonly a single arm.
Clinical research thus is an important constituent of a medical device life cycle. Pertaining to differences, however,
there is variety of differences in approach of clinical research towards devices. Also, the approach towards
therapeutic devices and diagnostic devices also differ in their objectives and extents. The précis is Clinical
research is a tool for justification of Safety and performance, Compliance to intention and effective design for the
manufacturer and regulatory bodies. For Understanding of clinical research in Medical devices, it is vital to
understand the regulation at various countries across the world and how do they see clinical research as.
Chapter 3
Classification
Basis of Classification –
The basis of classification in most standard classifications is primarily the risk assessment which is
evaluated through ‐
a) design complexity
b) their use characteristics
c) potential harm if misused/ improperly used
Each country or region defines these categories in different ways. The classification of US is more of
regulatory basis than Intention of use basis. In EU, the classification is mostly on intended use and the
class increases with increase of the risk.
Some devices are provided in combination with drugs. The devices with primary action oriented about
its physical properties and not the chemical properties, are classified under the medical devices.
Canada
The Medical Devices Bureau of Health Canada has recognized four classes of medical devices based on
the level of control necessary to assure the safety and effectiveness of the device. This classification is
anyways not one of the standard classifications but is important to understand for it is the most
complete one.
Guidelines for classification –
The devices are classified in class 1 , class 2, class 3 and class 4
The standard norms used for the classification are
1)time of exposure of the devices in or on the body
2)Invasiveness of the device
3)Activeness of the device (emitting energy or substance)
The Diagrams as seen on the website of Health Canada (the regulatory body for this classification is
attached here for the reference. (After the table)
Class I Devices invasive through body orifices intended to be
placed in the oral or nasal cavities as far as the pharynx or
in the ear canal up to the ear drum
Active devices except otherwise classified.
Class II Class I MEDICAL DEVICE is intended to be connected to an
active device that is classified as Class II or higher,
mammography devices
Class IV any MEDICAL DEVICE manufactured from or incorporating
nonviable or viable, animal or human tissue or their
derivatives, or a product produced through the use of
recombinant Deoxyribonucleic Acid (DNA) technology eg:
Corneal Shield, Collagen , Tissue Heart Valve
Human Lyophilized Dura Matter,
Skin Grafts
European Union (EU) and European Free Trade Association (EFTA)
The classification of medical devices in the European Union is outlined in Annex IX of the Council
Directive 93/42/EEC.
The European classification depends on rules that involve the medical device's duration of body contact,
its invasive character, its use of an energy source, its effect on the central circulation or nervous system,
its diagnostic impact or its incorporation of a medicinal product. There are basically four classes (in fact
six), ranging from low risk to high risk.
• Class I
• Class I s
• Class I m
• Class II a
• Class II b
• Class III
The authorization of medical devices is guaranteed by a manufacturer’s Declaration of Conformity. For
class I medical devices (non‐sterilized or are non‐meteorological) self‐certification is enough for
marketing. Products in Class Is, Im, IIa, IIb or III, require Certificate of Conformity issued by a Notified
Body.
Certified medical devices should have the CE mark on the packaging, insert leaflets, etc. These packaging
should also show harmonized pictograms and EN standardized logos to indicate essential features such
as instructions for use, expiry date, manufacturer, sterile, don't reuse, etc.
Nota bene: The Canadian and EU Classifications have significant interrelationship.
Canadian Class I = European Union Class I (Sub‐divided as I, I s and I m)
Canadian Class II = European Union Class IIa
Canadian Class III = European Union Class IIb
Canadian Class IV = European Union Class III
United States classification of Medical devices ‐
The Food and Drug Administration has recognized three classes of medical devices based on the level of
control necessary to assure the safety and effectiveness of the device. The classification procedures are
described in the Code of Federal Regulations, Title 21, part 860 (usually known as 21 CFR 860).
Device classification depends on the intended use of the device and also upon indications for use. For
example, a scalpel's intended use is to cut tissue. A subset of intended use arises when a more
specialized indication is added in the device's labeling such as, "for making incisions in the cornea".
Indications for use can be found in the device's labeling(a general control) , but may also be conveyed
orally during sale of the product. A discussion of the meaning of intended use is contained in Premarket
Notification Review Program K86‐3.
In addition, classification is risk based, that is, the risk the device poses to the patient and/or the user is
a major factor in the class it is assigned. Class I includes devices with the lowest risk and Class III includes
those with the greatest risk.
As indicated above, all classes of devices are subject to General Controls. General Controls are the
baseline requirements of the Food, Drug and Cosmetic (FD&C) Act that apply to all medical devices,
Class I, II, and III.
The Approach of US FDA is based upon “Least Bothersome” principles
Determine Classification
From Site of US FDA: To find the classification of device, as well as whether any exemptions may exist,
find the regulation number that is the classification regulation for your device. There are two methods
for accomplishing this: go directly to the classification database on US FDA Site and search for a part of
the device name. Or if device panel (medical specialty) to which the device belongs is known, go directly
to the listing for that panel and identify your device and the corresponding regulation.
Each classification panel in the CFR begins with a list of devices classified in that panel. Each classified
device has a 7‐digit number associated with it, e.g., 21 CFR 880.2920 ‐ Clinical Mercury Thermometer.
Once you find your device in the panel's beginning list, go to the section indicated: in this example, 21
CFR 880.2920 .
Class I: General Controls
Class I devices present minimal potential for harm to the user and are often simpler in design than Class
II or Class III devices. These devices are subject only to general controls. Approximately 572 or 74% of
the Class I devices are exempt from the premarket notification process. These exemptions are listed in
the classification regulations of 21 CFR and also have been collected together in the Medical Device
Exemptions document. Some Class I devices are exempt from the premarket notification and/or parts of
the good manufacturing practices regulations.
General controls
• manufacturer registration with the FDA,
• good manufacturing techniques,
• proper branding and labelling,
• notification of the FDA before marketing the device
• General reporting procedures.
• Pre‐market notified devices are marketed as "at least as safe and effective, that is, substantially
equivalent, to a legally marketed device.
These controls suffice to provide reasonable assurance of the safety and effectiveness of the device.
Also suffice to justify if the device is not life‐supporting or life‐sustaining and does not present a
reasonable source of injury through normal usage.
Eg: tongue depressors,
Bedpans, elastic bandages,
Most hand‐held dental instruments,
Examination gloves,
Hand‐held surgical instruments
Other similar types of common equipment
Depending on the "stated/purported use" of a device, a few device may have to obtain a Premarket
Approval or 510K for the device, evenif it is classifiable as a Class 1 device. Such devices are referred to
as "reserved devices".
Eg: electrically powered arthroscope
Pre‐market notified devices are marketed as "at least as safe and effective, that is, substantially
equivalent, to a legally marketed device."
Class II: General Controls with Special Controls
Class II devices are those for which general controls alone are insufficient to assure safety and
effectiveness, and additional existing methods are available to provide such assurances.
Special controls
• special labeling requirements
• mandatory performance standards
• Post market surveillance.
Devices in Class II are held to a higher level of assurance that they will perform as indicated and will not
cause injury or harm to patient or user.
Eg: typically non‐invasive
Include x‐ray machines,
PACS,
Powered wheelchairs,
Infusion pumps, surgical drapes,
Surgical needles and suture material,
Acupuncture needles.
Class III: General Controls and Premarket Approval
Class III devices are having insufficient information to assure or determine safety and effectiveness
solely through the general or special controls.
"insufficient information exists to determine that general controls are sufficient to provide reasonable
assurance of its safety and effectiveness or that application of special controls ... would provide such
assurance and if, in addition, the device is life‐supporting or life‐sustaining, or for a use which is of
substantial importance in preventing impairment of human health, or if the device presents a potential
unreasonable risk of illness or injury."
Such a device needs premarket approval by a scientific review to ensure the device's safety and
effectiveness, in addition to the general controls.
Examples
Replacement heart valves,
Silicone gel‐filled breast implants,
Implanted cerebral stimulators, implantable pacemaker pulse generators
endosseous (intra‐bone) implants (except root‐form endosseous dental implants which were recently
reclassified as Class II).
In India
India Does not have any Specific classification for Medical devices. Only thing we can mention in relation
to this here are a few medical devices are included in the definition of Drug and a few are not. The
devices which are included in definition of drug are mainly having therapeutic action or mechanical aid
to the therapeutic action. Hence all such devices are subject to clinical research.
GHTF classification – attempt for “Universalization”
The GHTF was constituted in 1993 in attempt to make an universal statement in regulation of Medical
devices. This body; under WHO; has members form US, EU, Japan , Canada and Australia, from various
stake holding capacities in medical devices : manufacturers and regulation experts. Classification of
Medical devices by GHTF is under 4 classes based upon the amount of potential harm to patient, user
and others persons from its misuse or mal‐application.
The risk parameters identified for this purpose are –
• Intended purpose
o Duration and nature of contact
o Delivering a Medicinal Product or Energy
o Biological Effects
• Risk management applied
• Intended Users
• Mode of Operation or Technologies
• One additional Risk Factor Identified is novel Device.
Other factors considered for classification are
• Multiple Rules Applying – highest risk class applies
• Discrete Classification – separate application of rules
• Combinations – Change in intended use; Not yet approved devices
• Accessories
• Software
• The Class of devices is Subject to Change based upon its evaluation with time
o The Classification is done into 4 (I, II, III, IV) classes by 16 rules – the classification is clear
and easily perceived.
o The Class 1 is lowest risk and class 4 is highest risk. – The Detailed classification is given
in 2003.
Classification in Japan
Pharmaceutics Affair Law of Japan has classified the devices into 4 classes and has defined over 5000
nomenclatures for the devices. Class I ‐ General Medical Devices ‐ resembles to Class a of GHTF, Class II ‐
Controlled Medical Devices cases ‐ to Class B, Class III ‐ Specially Controlled Medical Devices‐ to Class C and Class IV
to class D. These Classifications are based upon the GHTF guidelines and there are nomenclatures of devices in the
particular class.
Chapter 4
Regulation in various countries
Purpose of regulation
1) Marketing Process Control to deliver maximum Safety
2) Collection of sufficient Clinical and preclinical evidence to determine minimum safety and compliance to
intension of the device.
Regulation in US
The basic regulatory requirements that manufacturers of medical devices distributed in the U.S. must comply with
are:
• Establishment registration,
• Medical Device Listing,
• Premarket Notification 510(k), unless exempt, or Premarket Approval (PMA),
• Investigational Device Exemption (IDE) for clinical studies
• Quality System (QS) regulation,
• Labeling requirements, and
• Medical Device Reporting (MDR)
There is a Center for Devices and Radiological Health (CDRH) established for this purpose which takes care of
Device aspect of medical regulation in US.
The Section 201(h) of the US FDA act include the material intended to be used in human / animal subjects for
following reasons as a medical device.
• Diagnosis, cure, mitigation, treatment or prevention of disease or condition
• Affects the structure and function of the body
• Does not achieve its intended use through chemical reaction
• Is not metabolized.
History for US FDA Medical devices regulation
Medical device regulation US Started getting actual shape from Amendment in Federal food, drugs and cosmetics
act 1938, which was done on May 28th 1976. This Amendment CFR 21 parts 800 to 1299, included regulations for
issue of market approvals for various devices in US. This Amendment was yet insufficient assurance of safety and
performance of the devices. It was not having enough strength to control factors about sustained manufacturing
quality and control on adverse events. After Declaration of Good Manufacturing Practices in 1982, this side of the
devices was taken care. Yet, there were many unaddressed issues coming up with Existing regulation. These issues
were mainly Turnaround time, fees, safety data pertaining to devices, roles and responsibilities of the Individuals.
Hence US Congress passed an act for safe medical devices in 1990, which Amended FD&C A again in 1992.
The Current regulation of devices having Control on Performance and safety issues of the devices is in its shape
later to FDA Modernization act of 1997, where the “least Bothersome” approach has brought about changes in
Basic infrastructure of the law and made it applicable to all devices. This act was signed into a law on November
21st 1997. There was a simultaneous amendment in the Public health act and FDA along with formation of this act.
They also renewed the Prescription Drug User Fee Program with amendments (PDUFA 2).
The Adjoining figure itself is self explanatory for current scenario, from effect of past adoptions. It Shows the
Impact of GCP guidelines and FDAMA incorporation on the basic regulation, Amendment in FDA Act. The three
classed and controls were incorporated by the act. In 2002, the latest; MDUFMA ‐ Medical Device User Medical
Device User Fee and Modernization Act of Fee and Modernization Act signed in October 2002.
Current Structure of Device Regulation In US
(From Linda S. Alexander, President Alquest, Inc.)
• Statute (The FD & C Act with its amendments and list CFR 21 8 xx )
Created by an act of Congress
Describes the Authority and Responsibility
• Regulations
Enforceable implementation of Statute
Created and modified by FDA with Public Comment
• Guidance
Represents FDA’s best advice
Not enforceable when not based on a regulation
• Recognized Standard
A way to meet a regulation or guidance
Important highlights of FDAMA 1997 ‐
The themes on which this FDAMA works are
• Make the process for product review as interactive as possible so that the trifle issues are addressed and
resolved in precise time.
• Decisive action is expedited and empowerment of FDA for proper decision was done
• Patient access was allowed
• Codification of reengineering established
• Promote support for agency discretion rather than mandatory requirements loaded on the manufacturer
• FDA in all this process reviews the accountability/timeliness of whole process in all ends
Important Highlights of QSR and CFR21 part 820
• 21 CFR Part 820 defines the requirements for the Quality System under which the medical device is
designed (Class III) and manufactured.
• A Quality System is defined in 820.3(v) as the organizational structure, responsibilities, procedures,
processes, and resources for implementing quality management.
• The QSR also provides the framework for other information, in addition to the clinical data collected
under the IDE, which is required for the pre‐market submission (in particular the PMA).
Control Important Subpart
Medical device Tracking
Corrective and preventive action Medical device reporting
Reports of Correction and removals
Design Control
Management Production and process Control Sterilization process control
Records Documents and changes Control
Material Control
Facility and equipment control
• Some Subparts help establish the manufacturing requirements that are provided with the pre‐market
submission.
• Others provide information about the design of the medical device and the processes used to manage
design changes.
Elements of FDAMA 1997 – medical devices
1. Dispute Resolution/Agreement Meetings
• Dispute Resolution:
o Ombudsman: Les Weinstein
o Dispute Resolution Panel
• Agreement Meetings
o Agreement Meetings
o Determination Meetings
o Pre‐IDE Meetings/Pre‐submission meetings
o 100 Day Meetings
o Real Time Review
2. Modular Pre Marketing Application
• Class I and II – Only Premarket notification is required (510 –k)
• Modular PMA for Class III
o PMA submitted in defined modules
o Statutory time 180 days after submission of last module
o Intended to reduce PMA review times
• Streamlined PMA
o IVDs (Division of Clinical Laboratory Devices)
o When technology and use are well‐known to FDA
o Interactive review process
• Product Development Protocol
o Part of reengineering process
o FDA actively participates
3. Different 510(k) paradigms –Abbreviated, Special
• Abbreviated 510(k)
o Demonstrate conformity to a recognized standard
o Allows submission prior to completing all testing
• Special 510(k)
o 30 day review
o Intended for certain types of manufacturing changes when Design Controls
were or will be followed
4. 3rdParty 510(k) review
• Specified provisions for 3rdParty review of low and moderate risk devices
• Program Expansion Pilot
o All class II devices not prohibited by statute could be eligible, whether or
not specific guidance is available
o List accompanies draft guidance and includes 958 additional products in
470 class II device types
5. Least Burdensome Concept
• Working Definition:
o “A successful means of addressing a premarket issue that involves the
smallest investment of time, effort and resources on the part of the
submitter and FDA.”
• Least Burdensome is intended to be integrated into all FDA and industry
interactions, as appropriate, not just premarket review.
• Interpretation of least bothersome Concept
o Goal: To get the exact and right information to support submissions from
the manufacturer.
o Data: Must have data as needed and appropriate to product (This Data
includes physical such as Design, Clinical Such as from Animal studies and
other Clinical research Studies, Varying from one device to the other. This
is explained Under Modular premarket Approval process so that the
dossier can be whole submitted together and reduces TAT. )
o Process:
Interactive and transparent
You know where you stand
Process to reach the market –
One has to represent his devices to Center for Devices and Radiological Health (CDRH) according to the regulations
stated for Pre and post market requirements under 21 CFR 8xx
For Marketing approval the first steps are to confirm that device meets the definition of a medical device with
CDRH (The Definition as given above) and Identify device as Class I, II or III (based on risk‐based level of regulatory
control required to assure safety and effectiveness). This classification is as we have studied in chapter 1 and there
is a detailed list published by FDA on its web. The classification as known; is based upon the risk and potential
harm basis of the device and class determines pre‐market process and required level of support data:
• Class I or II: 510(k) (Pre‐Market Notification)
• Class III: PMA (Pre‐Market Application)
Pre‐Market process may require clinical performance data in accordance with Investigational Device Exemption
(IDE) regulation. The Key approval determinant is “Documented and proven safety and effectiveness”.
1) Premarketing notification
A Premarket Notification, or 510(k), is required for new, non‐exempt, and low to moderate risk medical devices. It
usually includes Class I and II devices. The devices under these classes demonstrate substantial equivalence to a
predicate (Already known to FDA) device in terms of safety and effectiveness related characteristics. There is
compliance with the “design control requirements” of the Quality System Regulation (QSR – 21 CFR 820). This
submitted information should include
1) Device Concept
2) Device research and development
3) Device production related Dossier
4) Animal data for primary experimentation ( if any)
5) Clinical data in Accordance with Investigational Device Exemption (IDE) if any ; and
6) Human Clinical research Data for Safety and performance of the device ( if any).
Based upon all this, it is easier for determination that there would not be any additional safety and performance
issue with the device. This Notification is reviewed by 3rd party scientific members at CDRH and opines if any
additional compliance is needed. In case, if the review committee feels that only design control and labeling
approval does not suffice to prove safety and performance, a post market surveillance record will be asked.
A premarketing Notification needs to be submitted to FDA 90 days prior to marketing. It needs to be with Average
fees of US$ 3500.
2) Premarketing Application (PMA)
If a Device is in Class III, or a new device having higher risk in handling and Application or a new concept device
(Not existing before concept), it requires to have a Premarketing application. Filing PMA – Filing Premarketing
Approval application is responsibility of the manufacturer. They can Choose a Standard or modular way of
submission. The Modular submission has statutory time of 180 days after submission of the last module. The
Standard Design has 90 days primary time but reviews cycles may need varying time, post query. This includes fees
of US$ 200,000. The Fees is reduces for smaller companies Less than 30M US$ NAV in Size, by the MDUFDA in
2002.
It needs multiple data points to be submitted.
• Complete description of product
o Intention and Concept
o Research and development
o Design
o Production details
o Physical property data for in Vivo testing of the products and its material
o Compliance with Quality System for design control Such As GMP and ISO 13485
• Pre‐clinical data such as animal studies
o Animal Study for Biostability
o Animal Study for effect and performance
o Animal Studies for Safety and Efficacy etc
• Summary of all clinical study results e.g., IDE
o Phase I to III Clinical studies and their out comes
• Design information
o Material
o Mechanical and measurement Statistics
o Performance factors and their compliance
o Justification of design Meeting the concept
• Manufacturing information
o Process
o Production details
o Engineering information
o Quality Systems
• Labeling
o Generic name
o Brand name
o Design of label
o Graphics in Label
o Notes and Warnings
o Special Features
• Environmental assessment or Exclusion
Process at FDA
a. Once The PMA Is filed at FDA, it undergoes the following steps
i. Filing Review
ii. Statistical review of filing
iii. PMA Filing Decision
b. Post Review, The FDA calls Manufacturer for 100 day review meeting. This Meeting is basically an
agreement meeting where the manufacturer and FDA understand the memorandum.
c. Audits and inspections
i. Quality System Inspection(s) by the FDA field personnel.
1. An FDA manufacturing inspection is conducted for all original PMAs
2. May be conducted for PMA supplements requesting approval of alternate or
additional manufacturing and sterilization facilities.
ii. Bioresearch Monitoring (BIMO) Audit (audit of clinical study data)
d. Substantive review coordination and completion:
i. Preparation of FDA Summary of Safety and Effectiveness Data (SSED) based upon the
available and asked evidences like pre‐clinical and human clinical studies
1. Non‐clinical Studies [Microbiological, Toxicological, Immunological,
Biocompatibility, Shelf Life, Analytical (for IVDs), Animal, Engineering (Stress,
Wear, Fatigue, etc.)
2. Clinical Studies – The data
e. Panel meeting if required
f. Transcripts
i. Received,
ii. reviewed
iii. placed in administrative record
g. Clearances Obtained and review of the final response
i. GMP
ii. BIMO
h. Based upon all the above, the memo of final decision and if positive, approval package is
prepared.
Understanding Role of Clinical Research in US Regulation –
1) Compulsory Post marketing Surveillance for Class II Devices – Class II devices are allowed to place in the
market with a premarketing notification. Its Regular safety and performance updates are mandatory.
These post market surveillance studies are very important for fate of the device. Hence the studies should
have a proper design and a good management. If the study returns poor performance and safety data
from designing errors, that harms the device and vice versa, will harm social obligations. Hence the study
designs must have enough power to make them statistically significant.
2) Pre market clinical studies conduction in US.
a. One Should Understand the Investigational Device Exemption for this purpose.
b. The points are noted down for quick Summary
An Investigational Device Exemption (IDE) allows an unapproved device to be used in US for clinical Studies;
required to support a pre‐market submission. Some types of studies are exempt from IDE regulations. For IDE, the
regulation CFR 21 part 50, 54, 56, 820 (general) and 812 (particular) must be applied.
In CFR 812, there are instructions about Establishment of IDE Submission process. All these clinical Studies require
IDE as well as IRB approvals.
The Dossier Contains following Documents for IEC Submission
• Cover letter
• Information of the device
o Report of prior investigations
o Description of methods, facilities and controls used to manufacture, process, pack, store and
install the device
o Copies of all labeling for the device
o Justification for amount charged for device
• Investigational plan
o study protocol etc
o Example of investigator agreement
o Names and addresses of investigators including enrolling centers and core laboratories
o Names, addresses and chairpersons of all IRBs
o Copies of all informed consent forms and related information materials to be provided to
subjects as required by 21 CFR 50
• Other information requested by the FDA or previously submitted in pre‐IDE process
Roles and responsibilities for IEC
a. Manufacturer (Sponsor and subsequently of Clinical research professionals)
• Seeking FDA and IRB Approvals under IEC and CFR 812.
• Investigators' Record
o Select Investigators
o Investigator Agreement, CV, experience, prior research performance
o Inform Investigators (prior investigation data and investigational plan)
• Clinical Research Expertise
o Select Monitors and Monitoring Process
o Full Compliance with Regulations and Study Protocol
• Device Information
o Device Control
o Sponsor Records: Admin docs, shipment, disposition, all correspondence
o Specific Labeling as “Investigational Device” with No Promotion
• Sponsor Reports
b. FDA
• Monitoring and regulation of the process
• Calling periodical updates
• Permission for IEC on submission of satisfactory dossiers
3) Later clinical studies
a. These clinical Studies should also be conducted on guidelines of IEC. There are various reasons
for Conduction of Phase 4 Studies the most important of that is Development. And maximum
optimization. These studies are different from a Post marketing Surveillance.
Regulations in European Union countries
The European Union Devices regulation has a different approach than US in many views where as a few views are
shared. Quality and System policies, management responsibility, Design control, Training and personnel
management, Purchasing, Audits and Inspections, process controls, Packaging, labeling and records are the
common parts in both these regulations. Labeling requires local Translation in Individual nations for EU. There is
Medical Device Directives Set by European unions, which are approved and Adopted by 27 member nations of EU,
4 Members of European free Trade Association, Including Switzerland. CE mark, which was initially discovered by
some bureaucrats, has prestige in most of the world. One thing must be kept in mind that EU is not a legislative
body hence these regulations are adopted by member nations under their legislations.
European Union depends to an extent upon ISO System for their quality assurance purposes. The three major ISO
Regulations involved for medical devices are –
1) ISO 13485
2) ISO 14971
3) ISO 14155 ‐1 , ‐2
Unlike US, EU regulations are Directives to Member States. There is no EU centralized authority and the national
jurisdiction is applicable for regions.
– Implemented by Member State parliaments in national legislation
– Overseen by national Competent Authorities
– Compliance checked by Notified Bodies
– Enforcement under national jurisdiction
The system of CE certification is based on compliance not notice or approval. There is different approach to
determining standard of care and here national health systems play important role.
History of EU medical devices regulations – The History of Medical Devices in Europe chiefly dates back to
Incorporation of GCP guidelines at Helsinki. The first directives of EU for medical devices came up late in 1993.
Then since EU has the same guidelines with some additions to the regulation off‐let
The Medical Device Directives Components are ‐
• Medical Devices — Council Directive 93/42/EEC of 14 June 1993 (OJ No L 169/1 of 1993‐07‐12) it has 23
directive and 12 Annexes. They define the important aspects of Medical devices. The Classification of
devices as has been explained in Module 1.
o 23 Articles : Summary of content as follows (The detailed Regulation is attached in references for
further detailed Study) ‐
Definitions, scope
Placing on the market and putting into service
Essential requirements
Free movement, devices intended for special purposes
Reference to standards
Committee on Standards and Technical Regulations
Safeguard clause
Information on incidents occurring following placing of devices on the market
Classification
Conformity assessment procedures
Registration of persons responsible for placing devices on the market
Clinical investigation
Notified bodies
CE marking and Wrongly affixed CE marking
Confidentiality
Implementation, transitional provisions
o 12 Annexes
i. Essential Requirements
ii. EC Declaration of Conformity (Full Quality Assurance – ISO 13485 + MDD )
iii. EC Type ‐ Examination
iv. EC Verification i.e. batch testing
v. EC Declaration of Conformity (Production Quality Assurance – ISO 13485 MDD)
vi. EC Declaration of Conformity (Product Quality Assurance – ISO 13485 + MDD)
vii. EC Declaration of Conformity, self certification for Class I products
viii. Statement concerning devices for special purposes
ix. Classification criteria i.e. rules for the classification of products (these rules are very close
to the rules of Canadian Rules.
x. Clinical evaluation
xi. Criteria for the designation of Notified Bodies
xii. CE Marking of conformity
• Active Implantable Medical Devices — Council Directive 90/385/EEC of 20 June 1990 (OJ No L 189/17 of
1990‐07‐20)
• In‐vitro diagnostic medical devices — Directive 98/79/EC of 27 October 1998 (1998‐12‐07 OJ No L 331/1)
The recent additions to the directives are as follows
• Clarification of design documentation and design review requirements
• Clarification of the clinical evaluation requirements
• Substances of animal origin or containing human blood
• Software validation
• Alignment of the original MDD 93/42/EEC with other directives
Process for CE marking to the Device – the process overview
• Classify the device
• Assess device conformity
– Essential Requirements
– Risk Management
– Certification Procedures
• Performance
• Quality
– Labeling
– Technical construction files or design dossier
• Authorize a European representative
• CE mark the product
Going in more details of the process class‐wise, there are various requirements for various classes.
The authorization of medical devices is guaranteed by a manufacturer’s Declaration of Conformity. For class I
medical devices (non‐sterilized or are non‐meteorological) self‐certification is enough for marketing. Products in
Class Is, Im, IIa, IIb or III, require Certificate of Conformity issued by a Notified Body. The process is more or less an
interactive process.
Class I, Is and I m
• Role of Manufacturer:
o Self‐declares conformity for performance and for quality system – this is based upon the
intention, design, and physical testing performance of the device.
• Role of Notified Body:
o Aspects of sterile products and measuring devices relating to sterility and/or metrology are
certified by a Notified Body.
Class II
• Role of Manufacturer:
o self‐declares conformity for performance and for design control
• Role of Notified body
o Class II a ‐
certify full quality assurance system
certify production quality assurance system
Certify final inspection, examination and testing to rest sample products.
o Class II b
either certify full quality assurance system or test and certify product performance
certify production quality assurance system Based upon the above
Class III
• Role of manufacturer
o Submission of technical Dossier and Declaration of Conformity Assessment
• Role Notified body
o certify full quality assurance system
o certify the technical dossier
Contents of a technical construction file (Class I, II) and design Dossier (Class III)
• Essential Requirements Analysis
o Product design specifications
o Hazard and risk analysis
o Verification and validation reports
Engineering test reports
Laboratory reports
Clinical validation
o Product labeling
• A combination of elements from the Design History File and the Device Master Record
Declaration of Conformity
• Document created by the person placing the device on the market that clearly identifies:
o The manufacturer or their AER
o Manufacture’s or AER’s European Address
o The device (models, serial numbers, lots, etc.)
o The applicable directives
o The major standards complied with
o Signed by a responsible authority
• Included in the device labeling, usually in the instructions for use and shipping documents
Labeling
Labeling in EU is different for member countries in view of its linguistic aspects. The Directives for labeling has
following aspects other than regulatory requirements such as Batch number and License number. Many other
things are the same as of US. The points specifically mentioned in EU MDD are
‐ Highly simplified instructions
– Fourth grade vocabulary
– Simple declarative sentences
– No or minimal medical terminology
– Use of Maximum Graphics (As displayed above under labeling in the life cycle of a device)
– Name of authorized European representative on the package label.
Each Member State was permitted to impose requirements particular to their national cultures, i.e., use of
languages indigenous to their countries.
Role of clinical research in reference with European Union Regulation –
Clinical research for EU countries is considerable in 3 parts
1) The Hazard and risk verification – this will be driven from the clinical research in lower phases. The clinical
research done for Risk Validation would be Phase I and II trials and the data from these trial is very important
for Class I new devices, Class II a and is compulsory for Class II b and III.
2) Validation and verification Reports
a. Clinical record Driven from all types of clinical trials – Mainly Phase I and Phase II.
b. If the data is insufficient in view of the EU notified body, they will ask for more data from phase I,
II or III trials. These trials need to be Trials for establishment of non‐inferiority over existing
treatment or superiority over Existing treatment. The Definition of comparative conclusion
should have a defined parameter for safety and other defined parameter for efficacy and
performance of the device
3) Post Marketing Surveillance and Phase IV trials
The Record of Post Marketing Surveillance may be asked by the EU for sustained Clinical Performance and
safety Validation. This is Compulsory for Class II and may be conditional for Class III. Phase IV trials data
may be submitted by the manufacturer to the EU for shifting of the device to a lower class.
The Annex 7 of MDD has Clear Instructions about Clinical Evaluation of the device. If The Currently
available clinical literature is Not Sufficient to prove the safety and performance intended, the clinical
research should be conducted Clause 1.2. The instructions are guided in Clause 2 which is Copies and
pasted down from the council directives.
Clause 2. Clinical investigation
2.1. Purpose
The purpose of clinical investigation is to:
— verify that, under normal conditions of use, the performances of the device comply with those
indicated in section 2 of Annex 1,
— determine any undesirable side effects, under normal conditions of use, and assess whether they are
acceptable risks having regard to the intended performance of the device.
2.2. Ethical consideration
Clinical investigations shall be made in accordance with the Declaration of Helsinki approved by the 18th
World Medical Assembly in Helsinki, Finland, in 1964, and amended by the 29th World Medical Assembly
in Tokyo, Japan, in 1975 and the 35th World Medical Assembly in Venice, Italy, in 1983. It is mandatory
that all measures relating to the protection of human subjects are carried out in the spirit of the
Declaration of Helsinki. This includes every step in the clinical investigation from first consideration of
need and justification of the study to publication of results.
Regulations of Japan – the Device Lag
Japan is a huge market of interventional cardiothoracic devices as there is a cultural belief that soul
vanishes from 7 generations of a person, whose thorax is opened. Hence The Medical Devices Companies
have flourished on Japan over last 2 decades. In spite of this fact, regulation of Japan is known for its slow
and stringent process for Medical devices approval. Historically, Japan has been always very stringent
about approval of medical devices. Hence they constituted a body and changed the process a bit in 2003.
Still the process is not much expedited.
Key pharmaceutical legislation
Law ‐
Information on application procedures
Guidelines for clinical evaluation etc
Pharmaceutical Affairs Law (PAL, 1960)
Pharmaceutical Affairs Law (PAL, 1960)
Cabinet Ordinance‐
Cabinet Ordinance on PAL, 1961
Cabinet Ordinance on PAFSC, 2000
Ministerial Ordinance ‐
Ministerial Ordinance on PAL, 1961 ‐
GCP for pharmaceuticals, 1997
Good Vigilance Practice (GVP), 2004
Good Quality Practice (GQP), 2004 etc.
Ministerial Notification ‐
Standards of pharmaceuticals (eg. JP)
Certification standards for class B devices
Classification of medical devices
List of orphan designation etc
Notifications‐
They have Information on application procedures Guidelines for clinical evaluation etc
Rule for recognizing notification details for number is – first two digits indicate Month, Next two digits
Indicate date and last two/three digits indicate serial number of the notification in that year. The year of
publication is needed to know more information on the same.
Eg: #0302004
M M D D#
It means that it is 4thNotification issued by the DG on March 2.
The authorized body for Approvals is Medical Devices Evaluation Division of Ministry of Health Labor and Welfare
of Japan (MHLW). The Minister and his appointed special empowered authorities have the powers for approval.
PAL has classified the devices into 3 classes and has defined over 5000 nomenclatures for the devices. Class I
resembles to Class A of GHTF, Class II to Class B of GHTF and Class II to Combination of Class C and D.
The regulatory process for marketing Approval is dependent upon these classifications. There are various
Nomenclatures under each class and the manufacturer has to decide this class and Nomenclature for the first step.
These Nomenclatures are called Japanese Medical Device Nomenclatures (JMDN), which depend on Generic
Medical Device Nomenclature (GMDN). The JMDN is listed under Ministerial Declaration no 298; along with its
Classification. As already mentioned, the classification of Devices in Japan is based on GHTF Rules.
The organization of medical devices approval in Japan –
Highest Approval Body the minister. Minister of Heath Labor and Welfare in Japan is the highest body empowered
for regulatory process in Japan. All the approvals and certifications are done by the ministry In Co‐operation with
the Pharmaceutical and Medical Devices Agency Constituted in 2004, an independent agency.
In The next level there is delegation of empowerment to
1. The Accredited Third party certification agencies for marketing certification based upon technical
standards and
2. Regional Bureaus of MHLW for manufacturing licensing
The Marketing Approvals or Certifications can be given to Marketing Approval holders, which have approvals from
the Local Governments. The certified product has to be informed to the MHLW by the third party agency. Post
certification, they have to perform periodical follow up inspection and submit the report.
For Marketing Approval of class III and IV Devices a Marketing License Holder applies to PMDA. The PMDA
performs analysis, conformity check and data Verification and the evaluation report is forwarded to MHLW. The
Approval is done in consultation and advice of Pharmaceutical affairs and food safety council, the body under
MHLW.
Role of PMDA – the pharmaceutical and medical Devices Agency.
For Expedition of the device approval process, Japan government constituted an Independent agency in 2004. This
agency has 3 specific tasks.
‐Relief system for sufferers from ADR Relief system for sufferers from ADR
‐ Approval review and related operations Approval review and related operations
‐ Post Post‐marketing safety measures in marketing safety measures in cooperation with MHLW.
For the purpose of Approval, The PMDA does interview with the manufacturer, Data Collection, Evaluation and
Analysis and Sends the report of whole activity to the MHWL.
Class I – General Medical Devices – these resemble to Class A (extremely low risk) of GHTF. The regulation requires
self‐declaration of the manufacturer for marketing of this device and the product needs “ninsyo” – the minister’s
certification for Marketing. (Ref Regulation article 14). This Class includes 1195 Nomenclatures
Class II – Controlled Medical Devices – This resembles to Class B (Low Risk of GHTF) and has to get a third party
certification. This needs “Ninsyo” under Article 14. This Class includes 1785 Nomenclatures. The third parties
certifying the product are accredited to the MHLW.
Class II & IV– Specially Controlled Medical Devices – This Needs “Syonin” Minister’s Approval under Article 13 for
Marketing. These Classes resembles Classes C and D of GHTF respectively. There are 737 nomenclatures included
in class III and 325 in class IV.
Scope of Clinical Research in relation to Japanese Regulation ‐
The Clinical data is an Indicated requirement in all cases in Class IV and in Notified cases in Class III. Clinical Data for
Class II Devices may be asked in a few cases before marketing Approval. In indicated even, Medical Data is not
required for medical equipment or if the approval standards are applicable under notification 0216001.
Obtaining marketing authorization (MAH) in Japan in various classes is also an important and stringent process.
Medical devices of various classes need various types of the MAH classes for selling the product of India.
IMPLICATIONS FOR YOUR MEDCIAL DEVICE COMPANY
Regulatory
• Preparation of submissions and data specifically for Japan
• More complex submissions
• Greater levels of material and specification data needed than for US and EU
submissions.
• Deeper understanding of QA, clinical, preclinical, activities
• Understanding of reimbursement routes/categories prior to submission
• Need to inform Japan, in advance, of any change that will impact any
submitted/approved information.
QA
• Need to provide RI and manufacturing data, certification of sterility, certification
that product meets spec, with each lot shipped to Japan
• Need to conduct additional biocompatibility testing, supplement to ISO 10993, to
meet Japan Pharmacopoeia requirements. Need to repeat key tests yearly.
Research and Development
• Need to be aware of predicate materials and colorants approved in Japan. A new
colorant or material will change a device from a “me‐too” to an “improved”.
• Advantageous to build Japan‐specific items, such as material identification and
biocompatibility test samples, into the PDP process
Sales and Marketing
• More extensive submission requirements will mean later submission dates for
Japan
• Longer review times, plus the need to obtain reimbursement approval after
regulatory approval and prior to launch will require estimates of the time period
between submission and launch to be increased
Manufacturing
• Need for access to procedures, manufacturing build data, and QC inspection data
for each product family submitted.
• Ongoing need for copies of manufacturing data to verify that product meets
specs approved in Japan
Clinical Research
• Need for GLP compliant animal data for submissions requiring animal data
• Human clinical data used for submission must be GCP‐compliant, and study
design must statistically meet a predetermined endpoint.
• Need for GCP‐compliant data (to the individual patient level) for submissions
requiring human clinical data. Also require final clinical report (of GCP compliant
patients), database, copies of some/all CRF’s and Site Binders.
IT
• Need for Japan to have electronic access to manufacturing and QC records for all
lots sent to Japan
• Need for Japan to have electronic access to all prints, specifications, procedures,
and Change Orders.
Clinical investigations requirement:‐
Class 3 & 4 medical devices
Clinical investigations legally required
• When a device is not identical with any approved devices
• When there are no approval criteria
Class 2 “New medical devices”
Clinical investigations legally required
• When the devices are categorized as “New medical devices”
Normal Class 2 medical devices
No clinical investigations required
• Demonstration of equivalence to Existing medical devices
Indian Devices Regulation –
The Devices Regulation India is stated under Drugs and Cosmetics Act and Rules. As Such there are no Specific
regulations for the Devices India. The devices which are recognized under Category of Drugs need to undergo the
same Approval as applicable to a Drug for Clinical research. Schedule M of D and C act any way has clear
description about manufacturing of medical devices in India.
Indian regulatory environment: regulatory bodies governing and controlling clinical trials:‐
A) All devices falling under the category of devices specified by DCGI and containing the drug
components will:
1. Be reviewed and approved by the NEW DRUG DIVISION of the DCGI.
2. Approval timelines are 4‐6 weeks for Category A and 8‐12 weeks for Category Applications.
a. CATEGORY A: Those Protocols which are approved by recognized and developed countries viz.
USA, UK, Switzerland, Australia, Canada, Germany, South Africa, Japan, EMEA.
b. CATEGORY B: All other applications not falling under Category A.
B)All devices falling under the category of devices specified by DCGI and not containing the drug
component will:
1. Be reviewed and approved by the MEDICAL DEVICE SECTION of the DCGI.
2. Approval timelines are between 6‐8 weeks.
C) All those devices which do not fall under the category of devices specified by DCGI will:
1. Be submitted ONLY FOR NOTIFICATION at DCGI for conduct of clinical trial.
2. No written approval / NOC is issued / required from DCGI to conduct clinical trial in India.
3. Ethics Committee approvals are required to initiate the clinical trial at the sites.
Checklist of document for seeking permission to conduct clinical trial with medical device under
category (with drug/without drug) and device category
1. Name of the Applicant
2. Transfer of Responsibility letter from the sponsor
3. Name of the Device
4. Regulatory status of the device in other countries (US FDA clearance/approval)
5. Objective of the Study
6. Phase of study
7. Names of the Participating Countries/Investigator sites
8. No. of patients to be included in India
9. Country / IRB approvals from participating countries
10. ISO/CN certification for the manufacturing facility and the list of countries where the device is being
marketed.
11. Status of the study in other countries
12. SUSAR from other participating countries
13. Affidavit from the sponsor regarding non‐discontinuation of the study
14. CE certificate from European authority & approval from Australia / Canada / Japan, if available
15. Undertaking of conformity w.r.t product standards, safety & effectiveness requirements and quality
systems in the country of origin.
16. Clinical data and published literature on the safety, quality & usefulness of the medical substance
used in the medical device (Only for devices containing drug component).
17. Data submitted.
I) Chemical & Pharmaceutical data
•Generic name and chemical name
•Dosage Form
•Composition
II) Animal Pharmacology Data
III) Animal Toxicology data
IV) Clinical data
18. Documents submitted.
I) Form 44 & Fee Receipt
II) Form 12 and Fee Receipt
III) Details of Biological specimens to be exported.
IV) Protocol
V) Informed Consent Form
VI) Case Report Form
VII) Investigator’s Brochure
VIII) Undertakings & CVs by Investigators
IX) Ethics Committee approvals (For Category B)
Checklist of documents for device which do not fall under the category of devices specified by DCGI
1. Transfer of Responsibility letter from the Sponsor
2. Clinical Trial Protocol
3. Informed Consent Form
4. Case Report Form
5. Investigator’s Brochure
6. Consent Undertaking from the Investigators
7. CVs and Medical Registration Certificate of Investigators
8. Copy of the Gazette Notification No. S. O. 1468(E) dated 6thOctober 2005 and G.S.R. 627 (E) dated
07thOctober 2005
9. Technical Specification/ Characteristic of the Medical Device
Import procedure for device which do not fall under category of device specified in DCGI
The following documents are required for importing medical device in India
1. Proforma Invoice
2. Packing List
3. Value Evidence Certificate
4. Device Catalogue
Check list of documents that are submitted for export permission:‐
1. Cover letter
2. Copy of DCGI approval letter
3. Letters from the Labs
4. Aayat Niryaat Forms
5. Copy of IEC Certificate
6. Copy of PAN Number
7. Copy of Registration cum Membership certificate
8. List of Directors
9. Copy of Certificate of Incorporation
10. Copy of Study Protocol
Approval time line – export permission
1 device containing drug components: ‐ 4 to 6 weeks
2 device not containing drug components: ‐ 4 to 6 weeks
3 devices for notifications category:‐
List of documents to be submitted for export license:‐
1. Cover letter
2. Copy of DCGI approval letter
3. Letters from the Labs
4. Aayat Niryaat Form
5. Copy of IEC Certificate
6. Copy of PAN Number
7. Copy of Registration cum Membership certificate
8. List of Directors
9. Copy of Certificate of Incorporation
10. Copy of Study Protocol
11. Copy of Export Permission
Approval timeline for export license:
Device containing drug components: 2 weeks
Device not containing drug components: 2 weeks
AE PER NEW GUIDLINE ISSUED BY CDSCO IN 2009
ESSENTIAL REQUIREMENTS IN INDIA
I. GENERAL REQUIREMENTS
1. The devices must be designed and manufactured in such a way that, when used under the conditions and for the purposes
intended, they will not compromise the clinical condition or the safety of patients, or the safety and health of users or, where
applicable, other persons, provided that any risks which may be associated with their use constitute acceptable risks when
weighed against the benefits to the patient and are compatible with a high level of of health and safety.
2. The solutions adopted by the manufacturer for the design and construction of the devices must conform to safety principles,
taking account of the generally acknowledged state of the art. In selecting the most appropriate solutions, the manufacturer
must apply the following principles in the following order:
‐ eliminate or reduce risks as far as possible (inherently safe design and Construction),
‐ Where appropriate take adequate protection measures including alarms if necessary, in relation to risks that cannot be
eliminated,
‐ inform users of the residual risks due to any shortcomings of the protection measures adopted.
3. The devices must achieve the performances intended by the manufacturer and be designed, manufactured and packaged in
such a way that they are suitable for one or more of the functions referred to in Article 1 (2) (a), as specified by the
manufacturer.
4. The characteristics and performances referred to in Sections 1, 2 and 3 must not be adversely affected to such a degree that
the clinical conditions and safety of the patients and, where applicable, of other persons are compromised during the lifetime
of the device as indicated by the manufacturer, when the device is subjected to the stresses which can occur during normal
conditions of use.
5. The devices must be designed, manufactured and packed in such a way that their characteristics and performances during
their intended use will not be Schedule‐MIII Final Draft –DTAB 23rd Feb 09 23
Adversely affected during transport and storage taking account of the instructions and information provided by the
manufacturer.
6. Any undesirable side‐effect must constitute an acceptable risk when weighed against the performances intended.
II. REQUIREMENTS REGARDING DESIGN AND CONSTRUCTION
7. Chemical, physical and biological properties
7.1. The devices must be designed and manufactured in such a way as to Guarantee the characteristics and performances
referred to in Section I on the 'General requirements'. Particular attention must be paid to:
‐ The choice of materials used, particularly as regards toxicity and, where appropriate, flammability, the compatibility between
the materials used and biological tissues, cells and body fluids, taking account of the intended purpose of the device.
7.2. The devices must be designed, manufactured and packed in such a way as to minimize the risk posed by contaminants and
residues to the persons involved in the transport, storage and use of the devices and to the patients, taking account of the
intended purpose of the product. Particular attention must be paid to the tissues exposed and to the duration and frequency of
exposure.
7.3. The devices must be designed and manufactured in such a way that they can be used safely with the materials, substances
and gases with which they enter into contact during their normal use or during routine procedures; if the devices are intended
to administer medicinal products they must be designed and manufactured in such a way as to be compatible with the
medicinal products concerned according to the provisions and restrictions governing these products and that their performance
is maintained in accordance with the intended use.
7.4. The devices must be designed and manufactured in such a way as to reduce to a minimum the risks posed by substances
leaking from the device.
7.6. Devices must be designed and manufactured in such a way as to reduce, as much as possible, risks posed by the
unintentional ingress of substances into the device taking into account the device and the nature of the environment in which it
is intended to be used.
12. Requirements for medical devices connected to or equipped with an energy source.
12.1. Devices incorporating electronic programmable systems must be designed to ensure the repeatability, reliability and
performance of these systems according to the intended use. In the event of a single fault condition (in the system) appropriate
means should be adopted to eliminate or reduce as far as possible consequent risks.
12.2. Devices where the safety of the patients depends on an internal power supply must be equipped with a means of
determining the state of the power supply.
12.3. Devices where the safety of the patients depends on an external power supply must include an alarm system to signal any
power failure.
12.4. Devices intended to monitor one or more clinical parameters of a patient must be equipped with appropriate alarm
systems to alert the user of situations which could lead to death or severe deterioration of the patient's state of health.
12.5. Devices must be designed and manufactured in such a way as to minimize the risks of creating electromagnetic fields
which could impair the operation of other devices or equipment in the usual environment.
13. Information to be submitted by the manufacturer
13.1. Each device must be accompanied by the information needed to use it safely and to identify the manufacturer, taking
account of the training and knowledge of the potential users.
This information comprises the details on the label and the data in the instructions for use.
As far as practicable and appropriate, the information needed to use the device safely must be set out on the device itself
and/or on the packaging for each unit or, where appropriate, on the sales packaging. If individual packaging of each unit is not
practicable, the information must be set out in the leaflet supplied with one or more devices.
Instructions for use must be included in the packaging for every device. By way of exception, no such instructions for use are
needed for devices in Class A or B if they can be used safely without any such instructions.
13.2. Where appropriate, this information should take the form of symbols. Any symbol or identification color used must
conform to the harmonized standards. In areas for which no standards exist, the symbols and colures must be described in the
documentation supplied with the device.
13.3. The label must bear the following particulars:‐
(a) The name or trade name and address of the manufacturer. For devices imported into the Country, in view of their
distribution in the Country, the label, or the outer packaging, or instructions for use, shall contain in addition the name and
address of either the Authorized Agent responsible or of the authorized representative of the manufacturer established within
the Country or of the importer established within the Country, as appropriate
(b) The details strictly necessary for the user to identify the device and the contents of the packaging
(c) Where appropriate, the word 'STERILE'
(d) Where appropriate, the batch code, preceded by the word 'LOT', or the serial number
(e) Where appropriate, an indication of the date by which the device should be used, in safety, expressed as the year and
month
(f) Where appropriate, an indication that the device is for single use
(g) If the device is custom‐made, the words 'custom‐made device
(h) If the device is intended for clinical investigations, the words 'exclusively for clinical investigations
(i) Any special storage and/or handling conditions
(j) Any special operating instructions
(k) Any warnings and/or precautions to take
(l) Year of manufacture for active device. This indication may be included in the batch or serial number.
(m) Where applicable, method of sterilization.
Where appropriate, the instructions for use must contain the following particulars:
(a) The details referred in above, with the exception of (d) and (e)
(b) Any undesirable side‐effects
(c) If the device must be installed with or connected to other medical devices or equipment in order to operate as required for
its intended purpose, sufficient details of its characteristics to identify the correct devices or equipment to use in order to
obtain a safe combination.
(d) All the information needed to verify whether the device is properly installed and can operate correctly and safely, plus
details of the nature and frequency of the maintenance and calibration needed to ensure that the devices operate properly and
safely at all times.
(e) Where appropriate, information to avoid certain risks in connection with implantation of the device.
(f) Information regarding the risks of reciprocal interference posed by the presence of the device during specific investigations
or treatment.
(g) The necessary instructions in the event of damage to the sterile packaging and, where appropriate, details of appropriate
methods of resterilization.
(h) if the device is reusable, information on the appropriate processes to allow reuse, including cleaning, disinfection, packaging
and, where appropriate, the method of sterilization of the device to be resterilized, and any restriction on the number of
reuses.
(j) in the case of devices emitting radiation for medical purposes, details of the nature, type, intensity and distribution of this
radiation.
These details should cover in particular:
(k) Precautions to be taken in the event of changes in the performance of the device
(l) precautions to be taken as regards exposure, in reasonably foreseeable environmental conditions, to magnetic fields,
external electrical influences, electrostatic discharge, pressure or variations in pressure, acceleration, thermal ignition sources,
etc.
(m) Adequate information regarding the medicinal product or products which the device in question is designed to administer,
including any limitations in the choice of substances to be delivered
(n) Precautions to be taken against any special, unusual risks related to the disposal of the device;
ANNEX II
ICAC DECLARATION OF CONFORMITY (Full quality assurance system)
1. The manufacturer must ensure application of the quality system approved for the design, manufacture and final inspection
2. The declaration of conformity is the procedure whereby the manufacturer who fulfils the obligations imposed by Section 1
ensures and declares that the products concerned meet the provisions of this Schedule which apply to them. The manufacturer
must affix the ICA marking in and draw up a written declaration of conformity. This declaration must cover a given number of
the products manufactured and be kept by the manufacturer.
3. Quality system
3.1. The manufacturer must lodge an application for assessment of his quality system with a notified body and must submit a
copy of under‐mentioned documents to the competent authority in case of Class C and D devices.
The application must include:
‐ The name and address of the manufacturer and any additional Manufacturing site covered by the quality system,
‐ All the relevant information on the product or product category covered by the procedure,
‐ A written declaration that no application has been lodged with any other notified body for the same product‐related quality
system,
‐ The documentation on the quality system,
‐ An undertaking by the manufacturer to fulfill the obligations imposed by the quality system approved,
‐ An undertaking by the manufacturer to keep the approved quality system adequate and efficacious,
‐ An undertaking by the manufacturer to institute and keep up to date a systematic procedure to review experience gained
from devices in the postproduction as and to implement appropriate means to apply any necessary Corrective action. This
undertaking must include an obligation for the manufacturer to notify the competent authorities of the following incidents
immediately on learning of them:
(i) any malfunction or deterioration in the characteristics and/or performance of a device, as well as any inadequacy in the
instructions for use which might lead to or might have led to the death of a patient or user or to a serious deterioration in his
state of health.
(ii) Any technical or medical reason connected with the characteristics or performance of a device leading for the reasons
referred to in subparagraph (i) to systematic recall of devices of the same type by the manufacturer.
3.2. Application of the quality system must ensure that the products conform to the provisions of this Schedule which apply to
them at every stage, from design to final inspection. All the elements, requirements and provisions adopted by the
manufacturer for his quality system must be documented in a systematic and orderly manner in the form of written policies
and procedures such as quality program, quality plans, quality manuals and quality records.
It shall include in particular an adequate description of:
(a) The manufacturer's quality objectives
(b) The organization of the business and in particular
(c) The procedures for monitoring and verifying the design of the products
(d) The inspection and quality assurance techniques at the manufacturing stage:
(e) The appropriate tests and trials which will be carried out before, during and after manufacture, the frequency with which
they will take place, and the test equipment used; it must be possible to trace back the calibration of the test equipment
adequately.
3.3. The notified body must audit the quality system to determine whether it meets the requirements. It must verify that
quality systems which implement the relevant harmonized standards conform to these requirements.
The decision is notified to the manufacturer. It must contain the conclusions of the inspection and a reasoned assessment.
3.4. The manufacturer must inform the notified body which approved the quality system of any plan for substantial changes to
the quality system or the product‐range covered. The notified body must assess the changes proposed and verify whether after
these changes the quality system still meets the requirements. It must notify the manufacturer of its decision. This decision
must contain the conclusions of the inspection and a reasoned assessment.
4. Examination of the design of the product
4.1. In addition to the obligations imposed by the manufacturer, must lodge with the notified body an application for
examination of the design dossier relating to the product which he plans to manufacture and which falls into the different
category.
4.2. The application must describe the design, manufacture and performances of the product in question. It must include the
documents needed to assess whether the product conforms to the requirements of this schedule.
4.3. The notified body must examine the application and, if the product conforms to the relevant provisions of this Schedule,
issue the application with a design‐examination certificate. The notified body may require the application to be completed by
further tests or proof to allow assessment of conformity with the requirements of the Schedule. The certificate must contain
the conclusions of the examination, the conditions of validity, the data needed for identification of the approved design, where
appropriate, a description of the intended purpose of the product.
4.4. Changes to the approved design must receive further approval from the notified body which issued the design‐examination
certificate wherever the changes could affect conformity with the essential requirements of the Schedule or with the conditions
prescribed for use of the product. The applicant shall inform the notified body which issued the design‐examination certificate
of any such changes made to the approved design. This additional approval must take the form of a supplement to the ICA
design‐examination certificate.
ANNEX III
ICAC Type‐Examination
1. Type‐examination is the procedure whereby a notified body ascertains and certifies that a representative sample of the
production covered fulfils the relevant provisions of this Schedule.
2. The application includes:
‐ The name and address of the manufacturer and the name and address of the authorized representative if the application is
lodged by the representative,
‐ The documentation described in above is needed to assess the conformity of the representative sample of the production in
question.
3. The documentation must allow an understanding of the design, the manufacture and the performances of the product and
must contain the following items in particular:
‐ A general description of the type, including any variants planned,
‐ Design drawings, methods of manufacture envisaged
‐ The descriptions and explanations necessary to understand the abovementioned drawings and diagrams and the operation of
the product,
‐ the results of the design calculations, risk analysis, investigations, technical tests, etc. carried out,
4. The notified body must:
4.1. examine and assess the documentation and verify that the type has been manufactured in conformity with that
documentation; it must also record the items designed in conformity with the applicable provisions of the standards as well as
the items not designed on the basis of the relevant provisions of the abovementioned standards.
4.2. Carry out or arrange for the appropriate inspections and the tests necessary to verify whether the solutions adopted by the
manufacturer meet the essential requirements of this Schedule
4.3. Carry out or arrange for the appropriate inspections and the tests necessary to verify whether, if the manufacturer has
chosen to apply the relevant standards, these have actually been applied
4.4. agree with the applicant on the place where the necessary inspections and tests will be carried out.
5. If the type conforms to the provisions of this Schedule, the notified body issues the applicant with an ICA type‐examination
certificate. The certificate must contain the name and address of the manufacturer, the conclusions of the inspection, the
conditions of validity and the data needed for identification of the type approved. The relevant parts of the documentation
must be annexed to the certificate and a copy kept by the notified body.
The notified body will give due consideration to the views expressed in this consultation when making its decision. It will convey
its final decision to the competent body concerned.
6. The applicant must inform the notified body which issued the type examination certificate of any significant change made to
the approved product.
Changes to the approved product must receive further approval from the notified body which issued the ICA type‐examination
certificate wherever the changes may affect conformity with the essential requirements or with the conditions prescribed for
use of the product. This new approval must, where appropriate, take the form of a supplement to the initial ICA type‐
examination certificate.
ANNEX IV
ICAC Verification
1. ICAC verification is the procedure whereby the manufacturer or his authorized representative established in the Country
ensures and declares that the products which have been subject to the procedure set out conform to the type described in the
IC type‐examination certificate and meet the requirements of this Schedule which apply to them.
2. The manufacturer must take all the measures necessary to ensure that the manufacturing process produces products which
conform to the type described in the IC type‐examination certificate and to the requirements of the Schedule which apply to
them. Before the start of manufacture, the manufacturer must prepare documents defining the manufacturing process, in
particular as regards sterilization where necessary, together with all the routine, pre established provisions to be implemented
to ensure homogeneous production and, where appropriate, conformity of the products with the type described in the IC type‐
examination certificate and with the requirements of this Schedule which apply to them..
In addition, for products placed on the market in sterile condition, and only for those aspects of the manufacturing process
designed to secure and maintain sterility.
3. The manufacturer must undertake to institute and keep up to date a systematic procedure to review experience gained from
devices in the postproduction phase and to implement appropriate means to apply any necessary corrective action. This
undertaking must include an obligation for the manufacturer to notify the competent authorities of the following incidents
immediately on learning of them:
(i) any malfunction or deterioration in the characteristics and/or performance of a device, as well as any inadequacy in the
labelling or the instructions for use which might lead to or might have led to the death of a patient or user or to a serious
deterioration in his state of health.
(ii) any technical or medical reason connected with the characteristics performance of a device for the reasons referred to in
subparagraph (i) leading to systematic recall of devices of the same type by the manufacturer.
4. The notified body must carry out the appropriate examinations and tests in order to verify the conformity of the product
with the requirements of the Schedule either by examining and testing every product as specified in Section 5 or by examining
and testing products on a statistical basis as specified in Section 6, as the manufacturer decides.
The aforementioned checks do not apply to those aspects of the manufacturing process designed to secure sterility.
5. Verification by examination and testing of every product
5.1. Every product is examined individually and equivalent tests must be carried out in order to verify, where appropriate, the
conformity of the products with the IC type described in the type‐examination certificate and with the requirements of the
Schedule which apply to them.
6. Statistical verification
6.1. The manufacturer must present the manufactured products in the form of homogeneous batches.
6.2. A random sample is taken from each batch. The products which make up the sample are examined individually and the
appropriate tests defined in the relevant standards or equivalent tests must be carried out to verify, where appropriate, the
conformity of the products with the type described in the IC type‐examination certificate and with the requirements of the
Schedule which apply to them in order to determine whether to accept or reject the batch.
6.3. Statistical control of products will be based on attributes, entailing a sampling system ensuring a limit quality corresponding
to a probability of acceptance of 5 %, with a non‐conformity percentage of between 3 and 7 %. The sampling method will be
established by the harmonized standards referred , taking account of the specific nature of the product categories in question.
6.4. If the batch is accepted, the notified body affixes or has affixed its identification number to each product and draws up a
written certificate of conformity relating to the tests carried out. All products in the batch may be put on the market except any
in the sample which failed to conform.
If a batch is rejected, the competent notified body must take appropriate measures to prevent the batch from being placed on
the market. In the event of frequent rejection of batches, the notified body may suspend the statistical verification.
The manufacturer may, on the responsibility of the notified body, affix the notified body's identification number during the
manufacturing process.
ANNEX V
ICAC DECLARATION OF CONFORMITY (Production quality assurance)
1. The manufacturer must ensure application of the quality system approved for the manufacture of the products concerned
and carry out the final inspection.
2. The declaration of conformity is the part of the procedure whereby the manufacturer who fulfils the obligations imposed and
declares that the products concerned conform to the type described in the EC type‐examination certificate and meets the
provisions of this Schedule which apply to them.
3. Quality system
3.1. The manufacturer must lodge an application for assessment of his quality system with a notified body.
The application must include:
‐ The name and address of the manufacturer,
‐ All the relevant information on the product or product category covered by the procedure,
‐ A written declaration that no application has been lodged with any other notified body for the same products,
‐ The documentation on the quality system,
‐ An undertaking to fulfill the obligations imposed by the quality system is approved,
‐ An undertaking to maintain the practicability and effectiveness of the approved quality system.
‐ Where appropriate, the technical documentation on the types approved and a copy of the IC type‐ examination certificates
‐ an undertaking by the manufacturer to institute and keep up to date a systematic procedure to review experience gained
from devices in the postproduction phase and to implement appropriate means to apply any necessary corrective action. This
undertaking must include an obligation for the manufacturer to notify the competent authorities of the following incidents
immediately on learning of them:
(i) Any malfunction or deterioration in the characteristics and/or performance of a device, as well as any inadequacy in the
labelling or the instructions for use which might lead to or might have led to the death of a patient or user or to a serious
deterioration in his state of health.
(ii) any technical or medical reason connected with the characteristics or performance of a device for the reasons referred to in
subparagraph (i) above leading to a systematic recall of devices of the same type by the manufacturer.
3.2. Application of the quality system must ensure that the products conform to the type described in the IC type‐examination
certificate.
All the elements, requirements and provisions adopted by the manufacturer for his quality system must be documented in a
systematic and orderly manner in the form of written policy statements and procedures. This quality system documentation
must permit uniform interpretation of the quality policy and procedures such as quality program, plans, manuals and records.
It must include in particular an adequate description of:
(a) The manufacturer's quality objectives;
(b) The organization of the business and in particular:
‐ The organizational structures, the responsibilities of the managerial staff and their organizational authority where
manufacture of the products is concerned,
‐ The methods of monitoring the efficient operation of the quality system and in particular its ability to achieve the desired
quality of product, including control of products which fail to conform.
(c) The inspection and quality assurance techniques at the manufacturing stage and in particular:
(d) The appropriate tests and trials to be carried out before, during and after manufacture, the frequency with which they will
take place.it must be possible adequately to trace back the calibration of the test equipment.
3.3. The notified body must audit the quality system to determine whether it meets the requirements referred to in Section 3.2.
It must presume that quality systems which implement the relevant harmonized standards conform to these requirements.
The assessment team must include at least one member with past experience of assessments of the technology concerned. The
assessment procedure must include an inspection on the manufacturer's premises and, in duly substantiated cases, on the
premises of the manufacturer's suppliers to inspect the manufacturing processes.
The decision must be notified to the manufacturer after the final inspection and contain the conclusions of the inspection and a
reasoned assessment.
3.4. The manufacturer must inform the notified body which approved the quality system of any plan for substantial changes to
the quality system.
4. Surveillance
4.1. The aim of surveillance is to ensure that the manufacturer duly fulfils the obligations imposed by the approved quality
system.
4.2. The manufacturer authorizes the notified body to carry out all the necessary inspections and must supply it with all
relevant information, in particular:
‐ The documentation on the quality system,
‐ The data stipulated in the part of the quality system relating to manufacture, such as inspection reports and test data,
calibration data, qualification reports of the personnel concerned, etc.
4.3. The notified body must periodically carry out appropriate inspections and assessments to make sure that the manufacturer
applies the approved quality system and supply the manufacturer with an assessment report.
4.4. In addition, the notified body may pay unannounced visits to the manufacturer. At the time of such visits, the notified body
may, where necessary, carry out or ask for tests in order to check that the quality system is working properly. It must provide
the manufacturer with an inspection report and, if a test has been carried out, with a test report.
ANNEX VI
ICAC DECLARATION OF CONFORMITY (Product quality assurance)
1. The manufacturer must ensure application of the quality system approved for the final inspection and testing of the product,
as specified in Section 3 and must be subject to the surveillance referred to in Section 4.
In addition, for products placed on the market in sterile condition, and only for those aspects of the manufacturing process
designed to secure and maintain sterility, the manufacturer must apply the provisions of Annex V, Sections 3 and 4.
2. The declaration of conformity is the part of the procedure whereby the manufacturer who fulfils the obligations imposed by
Section 1 ensures and declares that the products concerned conform to the type described in the IC type‐examination
certificate and meet the provisions of this Schedule which apply to them.
The manufacturer affixes the ICA marking in accordance with Article 17 and draws up a written declaration of conformity. This
declaration must cover a given number of identified specimens of the products manufactured and be kept by the manufacturer.
The ICA marking must be accompanied by the identification number of the notified body which performs the tasks referred to
in this Annex.
3. Quality system
3.1. The manufacturer lodges an application for assessment of his quality system with a notified body.
The application must include:
‐ The name and address of the manufacturer,
‐ All the relevant information on the product or product category covered by the procedure,
‐ A written declaration specifying that no application has been lodged with any other notified body for the same products,
‐ The documentation on the quality system,
‐ An undertaking by the manufacturer to fulfill the obligations imposed by the quality system approved,
‐ An undertaking by the manufacturer to keep the approved quality system adequate and efficacious,
‐ where appropriate, the technical documentation on the types approved and a copy of the IC type‐examination certificates,
‐ an undertaking by the manufacturer to institute and keep up to date a systematic procedure to review experience gained
from devices in the postproduction phase and to implement appropriate means to apply any necessary corrective action.
(i) any malfunction or deterioration in the characteristics and/or performance of a device, as well as any inadequacy in the
labelling or the instructions for use which might lead to or might have led to the death of a patient or user or to a serious
deterioration in his state of health;
(ii) any technical or medical reason connected with the characteristics or the performance of a device for the reasons referred
to in subparagraph (i) leading to a systematic recall of devices of the same type by the manufacturer.
3.2. Under the quality system, each product or a representative sample of each batch is examined and the appropriate tests
defined in the relevant standard(s) referred to in Article 5 or equivalent tests are carried out to ensure that the products
conform to the type described in the IC type‐examination certificate and fulfil the provisions of this Schedule which apply to
them. All the elements, requirements and provisions adopted by the manufacturer must be documented in a systematic and
orderly manner in the form of written measures, procedures and instructions. This quality system documentation must permit
uniform interpretation of the quality programmes, quality plans, quality manuals and quality records.
It must include in particular an adequate description of:
‐ the quality objectives and the organizational structure, responsibilities and powers of the managerial staff with regard to
product quality,
‐ the examinations and tests that will be carried out after manufacture; it must be possible to trace back the calibration of the
test equipment adequately,
‐ the methods of monitoring the efficient operation of the quality system ‐ the quality records, such as reports concerning
inspections, tests, calibration and the qualifications of the staff concerned, etc.
The aforementioned checks do not apply to those aspects of the manufacturing process designed to secure sterility.
3.3. The notified body audits the quality system to determine whether it meets the requirements referred to in section 3.2. It
must presume that quality
systems which implement the relevant harmonized standards conform to these requirements.
The assessment team must include at least one member with past experience of assessments of the technology concerned. The
assessment procedure must include an inspection on the manufacturer's premises .
The decision must be notified to the manufacturer. It must contain the conclusions of the inspection and a reasoned
assessment.
3.4. The manufacturer must inform the notified body which approved the quality system of any plan for substantial changes to
the quality system.
The notified body must assess the changes proposed and verify whether after these changes the quality system will still meet
the requirements referred to in Section 3.2.
After receiving the abovementioned information it must notify the manufacturer of its decision. This decision must contain the
conclusions of the inspection and a reasoned assessment.
4. Surveillance
4.1. The aim of surveillance is to ensure that the manufacturer duly fulfils the obligations imposed by the approved quality
system.
4.2. The manufacturer must allow the notified body access for inspection purposes to the inspection, testing and storage
locations and supply it with all relevant information, in particular:
‐ the documentation on the quality system,
‐ the technical documentation,
‐ the quality records, such as inspection reports, test data, calibration data,qualification reports of the staff concerned, etc.
4.3. The notified body must periodically carry out appropriate inspections and assessments to make sure that the manufacturer
applies the quality system and must supply the manufacturer with an assessment report.
ANNEX VII
ICAC DECLARATION OF CONFORMITY
1. The ICAC declaration of conformity is the procedure whereby the manufacturer or his authorized representative fulfils the
obligations imposed by Section 2 and, in the case of products placed on the market in a sterile condition and devices with a
measuring function, the obligations imposed by Section 5 ensures and declares that the products concerned meet the
provisions of this Schedule which apply to them.
2. The manufacturer must prepare the technical documentation described in Section 3.
3. The technical documentation must allow assessment of the conformity of the product with the requirements of the
Schedule. It must include in particular:
‐ A general description of the product, including any variants planned,
‐ Design drawings, methods of manufacture envisaged and diagrams of components, sub‐assemblies, circuits, etc.
‐ The descriptions and explanations necessary to understand the abovementioned drawings and diagrams and the operations of
the product,
‐ The results of the risk analysis and a list of the standards referred to in
Article 5, applied in full or in part, and descriptions of the solutions adapted to meet the essential requirements of the Schedule
if the standards referred to in Article 5 have not been applied in full,
‐ In the case of products placed on the market in a sterile condition, description of the methods used,
‐ The results of the design calculations and of the inspections carried out etc.; if the device is to be connected to other device(s)
in order to operate as intended, proof must be provided that it conforms to the essential requirements when connected to any
such device(s) having the characteristics specified by the manufacturer, ‐ the test reports and, where appropriate, clinical data
in accordance with subject to the following derogation:
ANNEX VIII
STATEMENT CONCERNING DEVICES FOR SPECIAL PURPOSES
1. For custom‐made devices or for devices intended for clinical investigations the manufacturer or his authorized representative
established in the country must draw up the statement containing the information stipulated in Section 2.
2. The statement must contain the following information:
2.1. for custom‐made devices:
‐ data allowing identification of the device in question,
‐ a statement that the device is intended for exclusive use by a particular patient, together with the name of the patient,
‐ the name of the medical practitioner or other authorized person who made out the prescription and, where applicable, the
name of the clinic concerned,
‐ the particular features of the device as specified in the relevant medical prescription,
‐ a statement that the device in question conforms to the essential requirements set out in Annex I and, where applicable,
indicating which essential requirements have not been fully met, together with the grounds.
2.2. for devices intended for the clinical investigations covered by Annex X:
‐ Data allowing identification of the device in question,
‐ An investigation plan stating in particular the purpose, scientific, technical or medical grounds, scope and number of devices
concerned,
‐ the opinion of the ethics committee concerned and details of the aspects covered by its opinion,
‐ the name of the medical practitioner or other authorized person and of the institution responsible for the investigations,
‐ the place, starting date and scheduled duration for the investigations,
‐ a statement that the device in question conforms to the essential requirements apart from the aspects covered by the
investigations and that, with regard to these aspects, every precaution has been taken to protect the health and safety of the
patient.
3. The manufacturer must also undertake to keep available for the competent national authorities:
3.1. for custom‐made devices, documentation allowing an understanding of the design, manufacture and performances of the
product, including the expected performances, so as to allow assessment of conformity with the requirements of this Schedule.
The manufacturer must take all the measures necessary to ensure that the manufacturing process produces products which are
manufactured in accordance with the documentation mentioned in the first paragraph;
3.2. for devices intended for clinical investigations, the documentation must contain:
‐ a general description of the product,
‐ design drawings, methods of manufacture envisaged,
‐ the descriptions and explanations necessary to understand the abovementioned drawings and diagrams and the operation of
the product,
‐ the results of the risk analysis and a list of the standards referred to in Article 5, applied in full or in part, and descriptions of
the solutions adopted to meet the essential requirements of this Schedule if the standards referred to in Article 5 have not
been applied,
‐ the results of the design calculations, and of the inspections and technical tests carried out, etc.
The manufacturer must take all the measures necessary to ensure that the manufacturing process produces products which are
manufactured in accordance with the documentation referred to in the first paragraph of this Section.
The manufacturer must authorize the assessment, or audit where necessary, of the effectiveness of these measures.
4. The information contained in the declarations concerned by this Annex should be kept for a period of time of at least five
years.
ISO Regulations
13485 – Device production, life process and risk management in QMS
ISO13485:2003, Medical devices Medical devices ‐ Quality management systems management systems ‐
Requirements for Requirements for regulatory purposes regulatory purposes. ISO 13485:2003 promotes a process
approach when developing, implementing, and improving a QMS developing, implementing, and improving a QMS
Section 4.0 ‐ Quality Management System Requirements Quality Management System Requirements
Section 5.0 ‐ Management Responsibility Management Responsibility
Section 6.0 ‐ Resource Management Resource Management
Section 7.0 ‐ Product Realization Product Realization
Section 8.0 ‐ Measurement, Analysis, and Improvement
ISO/TR 14969, Medical devices ‐ Quality management systems management systems ‐ Guidance on the Guidance
on the application of ISO13485:2003 application of ISO13485:2003
ISO 13485: 2003 was incepted for Medical devices in view of Quality management systems and
Requirements for regulatory purposes. It promotes a process approach when developing,
implementing, and improving a QMS developing, implementing, and improving a QMS.
There are five major matters to be considered in ISO 13485: 2003 –
1) Quality management system (QMS) and its requirements
2) Management responsibility
3) Resource management
4) Product realization
5) Measurability, measurement, Analytics and Improvement
Regulation
Management Resource
responsibility management • Requirements
• Inputs, comments
Users / patients
• Requirements
Measurement, Product
Inputs
Analysis and Realization
improvement
Quality
Management
System – QMS
Outputs
Organization's QMS is influenced
by varying needs particular
Feed back – Regulatory, Customers, Product
objectives, the products provided Users, Clinical Research, market Survey
the processes employed, the size
& structure of the organization,
etc.
The Diagram shows flow of information and value addition by various researches for a medical
device. The concept of this diagram is the basic development of ISO 13485. ISO 13485 was
developed for establishment Quality management system. QMS is an integral part of medical
device life process as previously discussed. QMS and Value added research actually leads to a
better Product realization.
The Quality management system – This is discussed in section 4 of ISO regulation. The regulation
summary is as follows
4.1 – General requirements
4.2 – Document requirement
4.1 General requirements
Intension – development and implementation and maintenance of an effective quality
management System –Standard procedures, measures , tests, reports, records, analytics and
etc in reference to every individual medical device being dealt or considered.
Purpose – The medical device meeting Regulatory and customer requirements.
Reference – GTHF SG N17 – Guidance document for General requirements esp for
control of outsourced process.
4.2 – Documents requirement.
As for all ISO, documentation for SOPs, Instructions, forms and sustained periodical report of
quality management compliance, Quality policy, Quality Management system manual,
procedures with master list, note of exclusion if any(refer section7) are most important
documents for even ISO 13485. The quality compliance is mainly in relation to the production,
yet is applicable to whole device life process.
Intension – Development and maintenance of documents and meeting standards for evaluation
based upon documents.
Objective based documentation ‐
• What is to be done?
• By whom should it be done?
• When should it be done?
• Where should it be done?
And
• How: ‐
o it is to be done, what materials, equipment and documents are to be used ?
o an activity is to be monitored and measured?
Design History File, Technical File, Complaint File, device records, etc.
This part of the ISO constitutes foundation for whole process of ISO and this will lead to
development of Quality management system especially the documents and SOPs part. SOPs developed
under this section will be a constant guide document for perfection of process. The evaluation majors
and monitoring systems generates quality check system. Mandatory compliance of these systems in
QMS lead to uniform and quality controlled production (and research base when applicable)
5.1 Management commitment
• to be demonstrated by actions
• ensuring processes operate as an effective network of interrelated processes
5.2 Customer focus
• Ensuring that customer requirements are understood
5.3 Quality policy
• Establishes commitment to:
o Quality
o continuing effectiveness of the quality management system
o meeting customer requirements
o meeting regulatory requirements
• Periodical review for continued applicability of the quality policy
5.4 Planning
• Setting quality objectives & associated targets for
o the quality management system
o medical devices
o related services
• Defining time frames for Achieving targets
5.5 Responsibility, authority and communication
5.6 Management Review
• Periodical assessment of the QMS for
o continued suitability,
o adequacy and effectiveness.
• Inputs after the review including
• audits and their reports / results
• customer feedback
• process performance
• product conformity
• status of preventive and corrective actions,
• follow‐up actions from previous management
• reviews from previous management and its compliance
• changes that could affect the quality management system
• recommendations for improvement
• New or revised regulatory requirements.
• Outputs of the review focused on
• Agenda for QMS review and specific action Items
• Presentation materials
• Improvements needed to maintain the effectiveness of QMS and its processes
• Customer requirement related product improvement
• Resource need evaluation
• Statement of Conclusion
6. Resource management
6.1 Provision of resources
• People (Human resources 6.2)
o Demonstration of the following qualification of Human staff working at device Safety efficacy and
quality
Education
Experience
Skills
Effective Training (initial and refresher)
Formal certification
• Infrastructure (6.3) – must be appropriately considered and defined. (if not can potentially affect
conformance with product requirements)
o Buildings and stable structures
o Work space, furniture, facilities etc
o Utilities (water, electricity, waste management etc.)
o Process equipment (machinery, software and hardware)
o Equipment maintenance activities & frequency
o Supporting services (House keeping, Security, cleaning, etc.)
• work environment (6.4)
o significant factors within the work environment that can affect product quality
process related equipment,
Established work environment (controlled environments, clean rooms, etc.) (Established
means defined, documented, implemented and maintained)
personnel – internal and external (their health, cleanliness, protective equipment/gear
for the users , i.e. static dissipating wrist bands, hoods & gowning, etc.)
• information
• suppliers and partners
• natural resources
• financial resources
7. Product realization
7.1 Planning for product realization – this section of this ISO regulation includes Risk management and this
part is hence most important to be understood by the CR professional. This section also deals with other
standards of the product management including purchasing, record retention, Inspection, resource needs
and verification & validation etc. GHTF Guide Document no SG3/N15R8/2005 “Implementation of Risk
Management Principles and Activities within a Quality Management System” published in 2005 is one of
the references for this section, which needs detailed study by regulatory person. SG3 meeting of GHTF
developed this guide document to provide guidance integrating risk management activities (eg: described
in ISO 14971) into an ISO 13485:2003 based QMS. This refers to ISO 13485 requirements of the
established documented requirements for risk management throughout product realization by the
Organization. Further it Suggests that ISO 14971 be consulted for guidance.
7.2 Customer related process
7.3 design and development – this section emphasizes in details about every aspect of product design and
its validation. This section has description and discussion about all the aspects such as whether the
product is to be used by highly skilled professionals or lay house people and the impact of all such aspects
on risk management profile of the product.
7.4 Purchase
7.5 product and service provision
7.6 Control of monitoring and measuring devices
TGA Regulations – Australia
The Therapeutic Goods Act 1989, Regulations and Orders set out the requirements for inclusion of therapeutic
goods in the Australian Therapeutic Goods Register, including advertising, labeling, product appearance and appeal
guidelines. Some provisions such as the scheduling of substances and the safe storage of therapeutic goods are
covered by the relevant State or Territory legislation.The Act was enforced on February 15th 1991. The major
intension of this act was to have medical devices regulation at least equal to comparable countries. The regulation
is dependent upon risk management approach, designed to ensure safety and public health without forcing undue
burden to the industry. In 1995, the guidelines for classification of devices were published for standardization of
the process.
Under Section 7 of the Therapeutic Goods Act 1989 Therapeutic good is defined as a good which is represented in
any way to be, or is likely to be taken to be, for therapeutic use (unless specifically excluded or included ).
Therapeutic use means use in or in connection with:
• preventing, diagnosing, curing or alleviating a disease, ailment, defect or injury;
• influencing inhibiting or modifying a physiological process;
• testing the susceptibility of persons to a disease or ailment;
• influencing, controlling or preventing conception;
• testing for pregnancy; or
• Replacement or modification of parts of the anatomy.
Unlike many major countries, TGA has clearly mentioned overall control over therapeutic goods. The Assurance
safety and public health is of is exercised through three main processes in life of a medical device:
• manufacture ‐ Auditing and assessment of the quality
• Pre‐market ‐ assessment of the goods
• Post market ‐ monitoring of compliance with standards once the goods are supplied on the market.
In Australia, the Australian Therapeutic goods administration has made registration of the medical devices in
Australian Therapeutic Goods Register before marketing.
The regulation of Therapeutic goods includes the following features:
• Classification of the device based on different levels of risk;
• Assessing compliance to essential principles for their quality, safety and performance;
• implementing appropriate regulatory controls for the manufacturing processes of medical
devices;
• including the medical device in the ARTG; and
• Implementing a comprehensive post market vigilance and adverse incident reporting program.