As a former inspector working for an EU Competent Authority I know that making and enforcing rules is extremely difficult and in almost every stage you have to make compromises. The population that is subjected to the rule is not a single entity, it is a spectrum; some are keen to be compliant, others are just not interested, some have explicitly non-compliant intentions, and the rest of the population are postioned somewhere between these extremes.
My father has been an editor of laws. He decided what word went into what sensence in which article. He said: 'A good law is short, chrystal clear and hard as rock.' I think that is still a valid statement. In practice, this means that a requirement must be relevant, fair, and practically feasible.
When it comes to enforcement, you have to apply various strategies. First, the target group must know about the existence of the requirement. Just assume that every time you publish about a new requirement, this is received by 30% of the population that has not been reached before. This meant that you must communicate repeatedly and over multiple channels, just to make a rule known. The target group will have questions, so you must be prepared to answer them. But there is a risk. If they want to know how to interpret the rules, you may be drawn into discussions about the compliance of a device. You should never bring yourself in a position where you explicitly have to say that you find something compliant, because that may turn into an informal standard that does not work for all subjects. You should only be explicit about something that you find non-compliant. Personally I find the best strategy to enforce requirements is to make compliance the easiest option. For example, in the EU we now see UDI on the label being introduced. For many devices this will only become mandatory in a few year's time. In reality, hospitals are already demanding UDI on the labels. As a result companies are introducing UDI, well ahead of the deadline. Hospitals only started to demand UDI on labels after they had been made aware of this option. That was a communication strategy used by several of the EU authorities. This 'non-enforced enforcemen' strategy is often called 'nudging'.
If nudging is not possible, you should try to convince organisations by explaining (again) why these rules matter. This will often happen as a result of inspections, so these can be made-to-measure communications. If convincing does not work, you have to go for harder enforcement strategies.
When it comes to the most stringent enforcement strategies, fines and prison sentences, I think that if more than 3% of the population is faced with these measures, you have failed in creating relevant, fair and well-communicated requirements. Criminal behaviour is in general quite rare, so if you think you see too much of that, you may have to alter your strategy.
Finally, you must have stragegies to respond to undesired effects. For example, the rules may prevent a well-working device entering the market. In the MDR Articles 59 and 97 allow for derogation measures. But you may even have to change the law, if you are too strickt. We have seen that in the EU, where Regulation 2023/607 allows manufacturers to rely on Directive certificates for some extra years to keep devices on the market. Obviously, the requirements in that amending regulation must also be short, chrystal clear and hard as rock. We will have to see if they really are...
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Ronald Boumans
MDR Expert
Super PRRC
Netherlands
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Original Message:
Sent: 27-Apr-2023 12:08
From: Indumathi Devupalli
Subject: Biggest challenges when enforcing rules
While a regulatory agency is working on developing rules, what are the biggest challenges that regulatory professionals face when trying to create and enforce those rules?<o:p></o:p>
As a graduate student in regulatory affairs, this a question that's been on my mind as I think about what I'd like to do after I graduate.<o:p></o:p>
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Indumathi Devupalli
Boston MA
United States
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