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Regulatory Submissions within Design Controls

  • 1.  Regulatory Submissions within Design Controls

    Posted 13-Sep-2017 18:56

    In your current QS, where do you place regulatory SUBMISSIONS?  In all of my previous companies, submissions themselves were a parallel path to design controls within the "cradle to grave" product realization process.  Obviously, any regulatory REQUIREMENTS related to the design of the device, labelling, testing, etc. are inputs to design controls. 

    I'm talking about the act of preparing and submitting a premarket notification/application and the interaction with the regulatory authority.  Assuming you've done a solid job of making sure the regulatory requirements were addressed during design controls, the resulting DHF documentation should be suitable for the countries defined at the beginning of the project and likely some "add-on" countries after the fact.  Furthermore, the country-specific registrations could be done shortly after V&V is complete or, in some cases, years after.  

    Why would you put the SUBMISSION process as part of design controls?  I am vehemently against this approach as I feel it would add unnecessary burden not only to the submissions, but to the design controls process.  Unless I was planning to submit in a new country with a requirement that would impact the existing DHF documentation, it just simply doesn't make sense to me for the submissions requiring even so much as a design review. 

    Also, have you ever used a regulatory clearance/approval as design validation? 

    Not sure if this is just simply out of my comfort zone and truly does have merit, or if it just simply doesn't make sense.

    Looking forward to your input (and hopefully some confirmation that I'm not crazy)

    Tina



    ------------------------------
    Tina O'Brien RAC, MS
    Director of Regulatory Affairs
    Aroa Biosurgery
    Auckland
    New Zealand
    ------------------------------


  • 2.  RE: Regulatory Submissions within Design Controls

    Posted 13-Sep-2017 19:40
    ​Both the FDA (via the QS Regulation preamble) and ISO 13485 (clause 7.3) require that the design and development inputs address applicable regulatory requirements.  One of those regulatory requirements would be the corresponding premarket regulatory submission, as it is not possible to fully characterize the applicable regulatory requirements without specifying the required premarket submission.  Remember that the design and development inputs must not be incomplete or ambiguous.

    Once the corresponding design and development input is written [e.g., "Device must be FDA 510(k)-cleared / CE-marked / Licensed in Canada / Registered on the ARTG, etc., prior to marketing"], then it would progress through the remainder of the design and development process as follows:

    • The design and development output would be the submission itself [i.e., FDA 510(k) # K17abcd; EC Technical Documentation File / Design Dossier # abc; Canadian Medical Device License Application file # xyz; etc.]
    • The design verification is the FDA 510(k)-clearance letter; the EC Certificate; the Canadian Medical Device License; the ARTG registration, etc.
    • The design validation may in this case also be the aforesaid clearances/approvals, as it can be argued that the user needs the product to be the subject of a successful premarket regulatory submission.  Alternatively, it would typically also be acceptable to cite the device's successful design validation testing, which shows that the cleared/approved subject device meets user needs/intended uses.

    Hope this helps you get going in the right direction.


    ------------------------------
    Kevin Randall, ASQ CQA, RAC (U.S., Canada, Europe)
    Principal Consultant
    ComplianceAcuity, Inc.
    Golden CO
    United States
    www.complianceacuity.com
    ------------------------------



  • 3.  RE: Regulatory Submissions within Design Controls

    Posted 13-Sep-2017 20:27
    ​Hi Kevin,

    I think that's part of my disconnect, as I don't consider the need for a regulatory/clearance approval as a design input.  Certainly the specific labelling requirements, any special controls, or other items related to the design and/or testing of the device required by that regulatory authority would be required for design controls, but not the submission itself.   How would obtaining a regulatory approval validate the design of the device - particularly for "low hanging fruit" countries that require nothing more than a few certificates and a copy of the labelling?  I can see your point for complex countries that do a thorough document review, but is it REALLY validating anything other than you've made the reviewer happy and allowed them to tick the right boxes?

    If you have regulatory submissions as a phase (or part of a phase) in your design controls process, how would you ever be able to close that phase if you're constantly doing registrations across the globe using DHF documentation that never changes? 

    Thanks!

    Tina

    ------------------------------
    Tina O'Brien RAC, MS
    Director of Regulatory Affairs
    Aroa Biosurgery
    Auckland
    New Zealand
    ------------------------------



  • 4.  RE: Regulatory Submissions within Design Controls

    Posted 13-Sep-2017 22:26

    Hi Tina!

    In over twenty years of studying, learning, being taught by accomplished mentors, applying design controls in practice, teaching design controls, and becoming a mentor myself, I've routinely seen the premarket submission requirements articulated in the design inputs.  Looking back, I guess I never questioned it, but I'm certainly glad to be thinking about it now.

     

    One thing we know for certain is that FDA, ISO 13485, AdvaMed, AAMI and others all indicate that the design inputs are to include regulatory requirements.  We also know that the design inputs must not be incomplete or ambiguous.  Question for your/the Forum's consideration: What would be our rationale for including some key regulatory requirements that are important to user needs (like those you've listed) but not others (like the requirement to meet premarket clearance/approval)?

     

    In theory, a particular jurisdiction's premarket regulatory submission requirements are ultimately intended to facilitate patient/user safety. In other words, marketing a device without the appropriate premarket agency reviews is reasonably related to compromised public health.  For example, the lack of proper premarket review is what ultimately led to establishing the U.S. FDA's premarket requirements after the U.S. sulfanilamide tragedies in 1937.  So, based on that perspective, I'd say it seems reasonable to include the premarket submissions with other important regulatory requirements in the design inputs.  Thereafter, obtaining a regulatory approval could be viewed as validating the design of the device, as design validation means confirming that the design meets user needs, where the user needs seem to include proper premarket agency review.

     

    The way I've always seen these line items closed out is via the input-output-verification-validation thread I modeled in my previous post. Thereafter, if new jurisdictions/markets arise that weren't included in the original design inputs, then it essentially means there has been a change in the inputs/requirements.  Accordingly, in theory the inputs should be revised as the regulatory requirements change, which would result in a cascade of corresponding changes to the DHF rather than a static DHF.

    ------------------------------
    Kevin Randall, ASQ CQA, RAC (U.S., Canada, Europe)
    Principal Consultant
    ComplianceAcuity, Inc.
    Golden CO
    United States
    www.complianceacuity.com
    ------------------------------



  • 5.  RE: Regulatory Submissions within Design Controls

    Posted 14-Sep-2017 00:35
    ​Great question!  As I'm dissecting this scenario, I think that it's important to recognize that there are different types of user requirements - for the sake of simplicity, I'll bucket them as Design requirements and Commercial requirements.  Design requirements are the physical and performance characteristics used as the basis for the design of the device*.  Commercial requirements may include considerations for the project, but not necessarily be in scope of device design (e.g. market access, reimbursement, gross margins, patents/IP, ROI, etc). 
    *excerpted from slide 42 http://www.accessdata.fda.gov/cdrh_docs/presentations/MDSAP-Training/5-Events-Reporting/module/presentation.html

    Based on how "regulatory requirements" are applied under Section 0.2 of ISO 13485: 2016 (limited to QMS and safety and performance of the device), I would consider regulatory requirements to be included in both Design and Commercial buckets.  Various QS procedures would cover a number of Commercial requirements (including the requirement to obtain market access prior to commercialization), while Design Controls would cover the safety and performance of the device (e.g. evidence needed to support applications for market access).  Likewise, if you look at the MDSAP audit sequence, regulators are considering Market Access as a separate (but most definitely linked) module to Design and Development. 

    To support this scheme, I currently prepare a Regulatory Strategy to cover the QMS/Commercial requirements for market access, QMS requirements, types of submissions required for the target markets, approval timelines (submission to approval), etc.   That, in turn, feeds a Regulatory Requirements document that covers the detailed design requirements mandated by the regulations of the target countries.  This document includes labelling requirements, special controls, relevant design/testing standards, list of DHF/DMR documentation required for submission in each target country, etc. 

    Ideally, when V&V is complete, I will have all of the DHF documentation required to submit in all of my target countries irrespective of when those submissions will take place.  The design project can move through design transfer and into commercialization phases as a parallel path to market access applications. The task of preparing submission packages, sending them to the regulatory authorities, and getting approvals are managed under my Regulatory Compliance QS procedure.  The design project does not have to be revisited for regulatory purposes unless there were a situation where either a target country required additional (unplanned) design documentation OR a new country is added to scope who requires additional (unplanned) design documentation.   Either situation would require an update to the Regulatory Requirements document (and possibly the Strategy) to kick off the necessary Design Controls activities to generate the required documentation.

    Upon each regulatory approval, the market release QS process would kick in to ensure that all the market access requirements have been met prior to commercialization in that country. 


    ------------------------------
    Tina O'Brien RAC, MS
    Director of Regulatory Affairs
    Aroa Biosurgery
    Auckland
    New Zealand
    ------------------------------



  • 6.  RE: Regulatory Submissions within Design Controls

    Posted 14-Sep-2017 09:06
    ​I have seen this also and have found it's almost invariably a sign of one or more broader/deeper problems within the company, which I won't get into here. 

    I agree that regulatory submissions are not part of the quality system in any way shape or form, and I recommend that RA professionals resist efforts to pretend otherwise, as these efforts typically enable the broader/deeper problems to go unrecognized and, therefore unaddressed, and, therefore unresolved.

    ------------------------------
    Julie Omohundro, ex-RAC (US, GS), still an MBA
    Principal Consultant
    Class Three, LLC
    Durham, North Carolina, USA
    919-544-3366 (T)
    434-964-1614 (C)
    julie@class3devices.com
    ------------------------------



  • 7.  RE: Regulatory Submissions within Design Controls

    Posted 14-Sep-2017 11:48
    Tina,

    Reading between the lines, it kind of seems that your systems have a single level of "design inputs" which makes this much harder. Generally, design requirements exist in a heirarchy - system requirements deconstruct into subsystem requirements into component requirements etc. Also, as you make design decisions at each level (say to EtO sterilize to meet a must be sterile requirement) bring in their own set of requirements (such as the EtO standards and regulations in that example).

    As I see it, regulatory requirements work the same way. A top level of "must meet market requirements in the US" breaks down into "must have a 510(k), must have a UDI, must meet elements of 21CFR1000 etc" which in turn break down into the specific requirements in the 510(k) process, UDI process etc.

    Thus, to answer your question of "how do you ever keep up with registrations over time" we would simply update our "top level" requirement when we'd add a new country. Then we would "deconstruct" and verify that all those requirements are already met by the current DHF. If not, any "missing" requirements (like shelf life in Brazil, or languages on labeling) are added. Then, we do a "mini-project" with whatever phases are appropriate, to manage that specific update to the top level requirements. If all the requirements are already in place, we simply add the top level and use the resultant approval as the v&v evidence.

    g-

    ------------------------------
    Ginger Glaser RAC
    Vice-President, Engineering
    MN
    ------------------------------



  • 8.  RE: Regulatory Submissions within Design Controls

    Posted 14-Sep-2017 13:45
    ​Ginger, I've never had time to give this approach deep thought, but, if I ever get around to it, my first question to ponder would be, "How do you design a device that is both safe and effective and yet does not meet market requirements in the US?"  Do you have any thoughts on this?

    ------------------------------
    Julie Omohundro, ex-RAC (US, GS), still an MBA
    Principal Consultant
    Class Three, LLC
    Durham, North Carolina, USA
    919-544-3366 (T)
    434-964-1614 (C)
    julie@class3devices.com
    ------------------------------



  • 9.  RE: Regulatory Submissions within Design Controls

    Posted 15-Sep-2017 16:41
    Oh, I could think of a lot of ways...

    - don't file initial report under any of the 21CFR1000 series of regs
    - put your website address rather than physical address on labeling
    - have no viable predicate for a Class 1 device
    - have a device that improved performance so much it isn't deemed "SE"
    - fail to get proper import/export approvals for components or devices
    - have a large OUS clinical study that proved S&E from a design standpoint but didn't meet US expectations on foreign clinical data...

    The list goes on...

    g-

    ------------------------------
    Ginger Glaser RAC
    Vice-President, Engineering
    MN
    ------------------------------



  • 10.  RE: Regulatory Submissions within Design Controls

    Posted 16-Sep-2017 09:56
    I think maybe my question should be "How do you design a device that meets user requirements but does not meet regulatory requirements?"  This may then raise questions of what you mean by "design" and "device."

    ​I think I'm just going to have to quit, because I could write a separate response to each example. 

    Quickly on the report...I don't see filing a report as being any part of the process of designing a device.  (Points back to second sentence above.)

    Quickly on the clinical study...to my mind, if a study which proved S&E "from a design standpoint" (what does that mean?) but does not meet "US expectations," does not meet US user requirements because the data are not applicable to the US user population, and this would be true even if the FDA disappeared in a puff of smoke tomorrow, so I don't see a need to drag FDA or 510(k)s into it.

    ------------------------------
    Julie Omohundro, ex-RAC (US, GS), still an MBA
    Principal Consultant
    Class Three, LLC
    Durham, North Carolina, USA
    919-544-3366 (T)
    434-964-1614 (C)
    julie@class3devices.com
    ------------------------------



  • 11.  RE: Regulatory Submissions within Design Controls

    Posted 14-Sep-2017 09:17
    ​As for whether regulatory clearance or approval can serve as design validation, "it depends" on what you mean by "design validation."

    In a regulated industry, the regulators are free to require or not require that a design be validated before it will be cleared or approved.  Regulators are also free to define or not define what they mean by "design validation" and what documentation they accept as adequate evidence to support validation of the design.  As far as the FDA goes, the term is clearly defined, and regulatory clearance or approval doesn't come anywhere close to meeting the definition. In other jurisdictions, I can't say.

    In jurisdictions where the regulators require it but don't define it, then you can fall back on industry standards, not to be confused with widespread practice or what any given individual has most commonly observed, but actual standards.  There may be an industry standard for design validation, but I'm not aware of one.

    If there is no industry standard, then you fall back on what makes sense, is quickest, and/or is cheapest.



    ------------------------------
    Julie Omohundro, ex-RAC (US, GS), still an MBA
    Principal Consultant
    Class Three, LLC
    Durham, North Carolina, USA
    919-544-3366 (T)
    434-964-1614 (C)
    julie@class3devices.com
    ------------------------------



  • 12.  RE: Regulatory Submissions within Design Controls

    Posted 14-Sep-2017 12:17
    Not sure I totally agree. Design validation, in its basic sense means "evidence the product meets the user's requirements. In many requirements systems, there are "buckets" of top level requirements. Specifically, I generally use

    - Voice of Customer
    - Regulatory Requirements
    - Application requirements (which encompasses things like use environment, workflows, inherant limits of the technology etc)
    - Voice of Business
    - Standards (where those are not required by law but chosen by company)

    These groups have different "users" to validate. VoC is, obviously, actual customers/users. Voice of Business is usually the function, department that described the need. Standards might be a test lab, NB or other group. Regulatory requirements would be, by their nature, the regulatory authorities - who often weigh in via submissions, pre-market inspections etc.

    VoA is a topic unto itself and might involved many (or no) "users" for validation.

    g-

    ------------------------------
    Ginger Glaser RAC
    Vice-President, Engineering
    MN
    ------------------------------



  • 13.  RE: Regulatory Submissions within Design Controls

    Posted 14-Sep-2017 13:49
    ​Ginger, where are you getting your definition of design validation?

    ------------------------------
    Julie Omohundro, ex-RAC (US, GS), still an MBA
    Principal Consultant
    Class Three, LLC
    Durham, North Carolina, USA
    919-544-3366 (T)
    434-964-1614 (C)
    julie@class3devices.com
    ------------------------------



  • 14.  RE: Regulatory Submissions within Design Controls

    Posted 15-Sep-2017 16:56
    Good question - because I am approaching it more from the "Good Design Practices" standpoint rather than the regulatory language. I believe I originally got it from the explanation in an old DfSS book. It said that "the final step after testing to ensure your specification and detail level requirements are met is to ensure the final product meets the needs to the customers who generated defined the requirements: or something similar (I can't find the book handy on my shelf).

    Neither FDA nor ISO 9000 "invented" the basic concepts found in design controls. They have been well known in Design for Six Sigma and other design best practices for at least 40-50 years. Of course, ISO/FDA had to "invent" new terminology such as "requirements" becoming "design inputs" and thus forever messing up the term validation but what FDA defines as design validation in terms of..
     
    "...confirmation...that the particular requirements for a specific intended use be fulfilled" basically describe the exact concept - did the customer/person/application that described the requirement actually have their need met by the finished product.

    FDA chose to spell out the "application" or the "intended use" as one "requirement" for which it must be suitable, and it implies the rest in the terms of discussion about "device specifications conform with user needs." Why they chose to say it this way rather than refer to the actual top level requirements, aka "needs" described by the user(s) I don't know, because the requirements are linked to said specifications and much more descriptive of said "needs."

    It stands to reason that users can only validate that a device meets their requirements. Requirements from, say, manufacturing or servicability, can only be validated by testing from the users who defined those requirements.

    Of course there are nuances - for instance, in many case VoB requirements can be changed as part of a business strategy. In rare circumstances, customer requirements can the changed, particularly if they weren't really requirements but "wants" (think perhaps for 2 year shelf life). OTOH, requirements generated by risk mitigation (a bucket I forgot earlier), regulatory requirements and the application itself can't really be ignored or changed (again, of course I could change the indication but that pretty much requires returning to every requirement and revisiting).

    So this is partly my two "hats" combining. I really, really wish that the regulators had not chosen to come up with language that embodies well known principles of robust design with a bunch of non-standard terminology that makes most engineers think they are completely unrelated regulatory requirements, but they did. So I spend a lot of time trying to get my various teams to translate between the two.

    g-

    ------------------------------
    Ginger Glaser RAC
    Vice-President, Engineering
    MN
    ------------------------------



  • 15.  RE: Regulatory Submissions within Design Controls

    Posted 14-Sep-2017 13:47
    ​Here is a link to a 2015 presentation by FDA:

    https://www.fda.gov/downloads/Drugs/DevelopmentApprovalProcess/SmallBusinessAssistance/UCM466494.pdf

    Note page 9, where it says that "design outputs are included in regulatory submissions as product specifications."

    ------------------------------
    Julie Omohundro, ex-RAC (US, GS), still an MBA
    Principal Consultant
    Class Three, LLC
    Durham, North Carolina, USA
    919-544-3366 (T)
    434-964-1614 (C)
    julie@class3devices.com
    ------------------------------



  • 16.  RE: Regulatory Submissions within Design Controls

    Posted 14-Sep-2017 18:01
    ​Thanks ladies!  And yes, our device doesn't have components, software, so the design process is "flat".

    Part of my challenge is to ensure that my process is global.  I think it's easy to focus on US/EU and clearly tie submission elements into design controls, but what about those countries which require some type of regulatory approval, but who don't review any design documentation per se? 

    For example, Ecuador, requires a variety of certificates as part of the application process, but no technical documentation apart from a CoA/CoC.  The need for that piece of documentation is a QS requirement and not a design requirement (although the content is definitely a design output).

    ------------------------------
    Tina O'Brien RAC, MS
    Director of Regulatory Affairs
    Aroa Biosurgery
    Auckland
    New Zealand
    ------------------------------



  • 17.  RE: Regulatory Submissions within Design Controls

    Posted 14-Sep-2017 19:03
    Tina, sounds like you re working on a global regulatory strategy/plan.  RAPS offer regulatory strategy courses and I'll try to see if I can find some white paper on it as well to send it to you.  Lin

    ------------------------------
    Lin Wu, RAC
    ------------------------------



  • 18.  RE: Regulatory Submissions within Design Controls

    Posted 19-Sep-2017 12:54
    Resource I have used when developing a regulatory strategy is http://www.regulatorystrategies.net/resources.html

    ------------------------------
    Lin Wu, RAC
    ------------------------------



  • 19.  RE: Regulatory Submissions within Design Controls

    Posted 15-Sep-2017 17:02
    I think generally the process you described somewhere else in the thread is fine - particularly for countries where your original design controls met all the technical aspects of their regulations.

    We chose to go the other way because all too often that isn't true. Original product was designed for US/EU. Now I want to go to Asia. But, there are new standards for biocompatibility, electronic compatibility, clinical evidence, risk analysis, materials characterization etc etc. How do you deal with these if they don't make it into the product requirements? How do the engineers know what they they can and can't change if there are no listed requirements telling them something is critical? I have seen chaos ensue too many times when the regulatory requirements aren't linked into the design and this is a way to manage that, and one that aligns with best design practices as well. But it certainly isn't the "only" way from a QS perspective.

    g-

    ------------------------------
    Ginger Glaser RAC
    Vice-President, Engineering
    MN
    ------------------------------



  • 20.  RE: Regulatory Submissions within Design Controls

    Posted 16-Sep-2017 09:58
    ​This strikes me as another thought-provoking question that I don't have time to be provoked into thinking about right now:

    How do the engineers know what they can and can't change?

    ------------------------------
    Julie Omohundro, ex-RAC (US, GS), still an MBA
    Principal Consultant
    Class Three, LLC
    Durham, North Carolina, USA
    919-544-3366 (T)
    434-964-1614 (C)
    julie@class3devices.com
    ------------------------------



  • 21.  RE: Regulatory Submissions within Design Controls

    Posted 18-Sep-2017 08:41
    If you actually have your requirements cascade complete and detailed to include all the different types of requirements, it is super-easy to do an impact assessment. Simply take that "part" of the design, look at its requirements, and see what it ties back to. Each of those ties will likely have associated specs, testing, regulatory submission impact etc. For instance, a change in material may tie up through biocompatibility, sterilization, design physical strength, reg submissions galore etc. A well constructed requirements/trace tool finds all this easily.

    Not that we have one in place yet at my current organization. Putting that together retrospectively takes a lot of time....

    g-

    ------------------------------
    Ginger Glaser RAC
    Vice-President, Engineering
    MN
    ------------------------------



  • 22.  RE: Regulatory Submissions within Design Controls

    Posted 15-Sep-2017 19:06
    ​​​This is a really interesting discussion, with much food for thought.  I regret I'm about to take off for IMDRF and probably won't have time to give many of the comments the thought they for the near term, but I hope to get back to them at some point.

    I find Ginger's comment on "designed for US/EU, now what about other jurisdictions," is very much on point, and kind of makes my head spin.  I really hope the IMDRF brings forward some useful solutions in the foreseeable future, because it does seem as if we are reaching a point where the lack of harmonization is starting to make things untenable.  I'm not talking about costs, although there certainly is that, but if you really want to sell globally, it doesn't take long before you find yourself in a snarl that seems to get harder and harder to sort out every year.

    ------------------------------
    Julie Omohundro, ex-RAC (US, GS), still an MBA
    Principal Consultant
    Class Three, LLC
    Durham, North Carolina, USA
    919-544-3366 (T)
    434-964-1614 (C)
    julie@class3devices.com
    ------------------------------



  • 23.  RE: Regulatory Submissions within Design Controls

    Posted 16-Sep-2017 10:15
    ​My other initial reaction is that this is the kind of thing that RA professionals really need to understand...that the industry really needs RA professionals to understand/who understand, and I don't know where we can turn to get much help.  It seems like mostly everyone is left silo'ed inside their respective companies, to struggle with it on their own. Has anyone attended any training on design controls that dug this deep, including exploring the crossover entanglements among functions?

    ------------------------------
    Julie Omohundro, ex-RAC (US, GS), still an MBA
    Principal Consultant
    Class Three, LLC
    Durham, North Carolina, USA
    919-544-3366 (T)
    434-964-1614 (C)
    julie@class3devices.com
    ------------------------------



  • 24.  RE: Regulatory Submissions within Design Controls

    Posted 16-Sep-2017 20:32
    I have reached out to a handful of design controls experts, but those people haven't come from a regulatory background, so in some cases it felt like spinning my wheels since they really, truly couldn't appreciate my perspective.  

    What's become clear is that there is no right answer and it really comes down to what works best for each person and their organization. So long as all of the regulatory aspects are considered throughout your quality system, the pathway can be flexible.  

    Until there is compelling evidence to change my stance, I'm going to continue to leverage my 15+ years experience of doing regulatory submissions and supporting development teams and keep the administrative task of conducting submission activities as a separate but parallel path from the statutory/standards-based true design requirements that clearly live in the design control and change control domains.   This way of working has been consistent throughout my regulatory career and the various device companies (giant and medium sized) for whom I've worked, so is ingrained.  

    However, I am still very interested in learning about how others manage this topic and the associated pros/cons, so please feel free to contact me offline if you'd like to continue the discussion.  

    Cheers!

    ------------------------------
    Tina O'Brien RAC, MS
    Director of Regulatory Affairs
    Aroa Biosurgery
    Auckland
    New Zealand
    ------------------------------



  • 25.  RE: Regulatory Submissions within Design Controls

    Posted 20-Sep-2017 12:29
    Hi All,

    This has been a really interesting thread.  I'm with you, Tina.  With all respect and deference to each of the prior authors whom I consider giants in this field, I believe the best approach is to keep regulatory submissions outside the design control activity.  We have two gates:  one is the "production release" gate which is achieved after the device has been validated (Design Validation) and all device design requirements (including regulatory requirements) have been achieved.  Manufacturing is ready because we have already executed the Design Transfer.  Prior to this gate all labeling etc is defined and has passed internal regulatory assessment.  All bio compatibility is done and passes regulatory review.  Etc etc.  The design control project is closed.  Following that gate is the second gate we call "commercial release".  Activities which must be completed prior to commercial release are regulatory submissions/approvals, CE Declaration of Conformity, country-specific homologation (often for insurance reimbursements), quality agreements with distributors, etc. These tasks can take a very long time and are not design control tasks, but they use the information in the DHF to support the effort.  It is only after passing the second gate that the device can actually be placed onto the markets for which we have regulatory clearance.

    As new markets are identified, the design control process has to start over, adding any new design requirements to the Design Inputs, and a new design control project has to be executed to accomplish those new requirements, and assuring that the original device S&E are not affected.  Again once that is done the design control project is closed, and the commercial release activities commence again for the new market.

    This is our approach.  Hope this helps.

    Mitch

    ------------------------------
    Mitchell Johnson (RAC)
    Arden Hills MN
    United States
    ------------------------------



  • 26.  RE: Regulatory Submissions within Design Controls

    Posted 21-Sep-2017 16:42
    ​Thanks for the feedback, Mitchell! 

    As I look at the construct of your process, it dawned on me that the (IMO) inherent confusion between pure design controls and product realization/product lifecycle management is really clouding the conversation and something I should have clarified up-front.  If you consider the latter as the "cradle to grave" concept that incorporates a number of sub-systems (e.g. technical feasibility, business needs, DESIGN CONTROLS, commercialization, PMS, and obsolescence), then I think my original question makes more sense and perhaps I've even answered my own question. 

    it takes a village, right?

    ------------------------------
    Tina O'Brien RAC, MS
    Director of Regulatory Affairs
    Aroa Biosurgery
    Auckland
    New Zealand
    ------------------------------



  • 27.  RE: Regulatory Submissions within Design Controls

    Posted 16-Sep-2017 10:22
    ​My other initial reaction is that this is the kind of thing that RA professionals really need to understand...that the industry really needs RA professionals to understand/who understand, and I don't know where we can turn to get much help.  It seems like mostly everyone is left silo'ed inside their respective companies, to struggle with it on their own. Has anyone attended any training on design controls that dug this deep, including exploring the crossover entanglements among functions?


    ------------------------------
    Julie Omohundro, ex-RAC (US, GS), still an MBA
    Principal Consultant
    Class Three, LLC
    Durham, North Carolina, USA
    919-544-3366 (T)
    434-964-1614 (C)
    julie@class3devices.com
    ------------------------------