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Harmonized standard vs ISO standards latest version

  • 1.  Harmonized standard vs ISO standards latest version

    This message was posted by a user wishing to remain anonymous
    Posted 16-Jul-2020 09:28
    This message was posted by a user wishing to remain anonymous

    Good day all, 


    I have a couple of questions about harmonised standards and ISO standards. If the newest version has been released in the ISO website but a harmonised standard refers to an older version, which standard should the organisation needs to comply with the newest ISO or the harmonised? Should we buy both standards? 

    For example: 
    EN 62366:2008 Medical devices - Application of usability engineering to medical devices but there is the latest version of IEC 62366-1:2015 in the ISO website.

    Thank you so much.



  • 2.  RE: Harmonized standard vs ISO standards latest version

    Posted 16-Jul-2020 09:55

    In making the decision, there are a few considerations. First, are you implementing a directive or a regulation? Second, if a regulation, what is your Notified Body's expectation?

    For each directive, there is a list of harmonized standards (recently revised). Some Notified Bodies, incorrectly, require a manufacturer to use harmonized standards when available. Other Notified Bodies recognize that many of the harmonized standards are obsolete (and have been for years) and expected the most recent EN standard. (This leads to the next problem described below.)

    For the regulations, there are no harmonized standards. There is a process call standardization (a precursor to harmonization) in which the standards bodies, CEN and CENELEC, produce the cross reference between Annex I and the standard. The Commission made a standardization request to the standards bodies, but they rejected it. At this point the process is at an impasse.

    Under the regulations, you don't need harmonized standards, so, given the incorrect requirements of some NBs, this is probably a good thing.

    A manufacturer needs to demonstrate that the device meets the applicable Annex I requirements. The common method uses standards. The selection decision should use the latest standard available, regardless of source, under the "state of the art principal". If there is an EN standard derived from an ISO or IEC standard, then use the EN standard. Otherwise, use the ISO or IEC standard.

    Be careful with IEC 62366-1:2015. IEC just published amendment 1.



    ------------------------------
    Dan O'Leary CQA, CQE
    Swanzey NH
    United States
    ------------------------------



  • 3.  RE: Harmonized standard vs ISO standards latest version

    This message was posted by a user wishing to remain anonymous
    Posted 17-Jul-2020 09:18
    This message was posted by a user wishing to remain anonymous

    Hi Dan

    Thank for responding.

    This "The selection decision should use the latest standard available" clarifies a lot for us.

    We have just bought the harmonised EN IEC 62366-1:2015, I will be looking into the new amendment.

    Best Regards



  • 4.  RE: Harmonized standard vs ISO standards latest version

    Posted 17-Jul-2020 10:52

    You have hit on the essence of the problem. EN IEC 62366-1:2015 is not a harmonized standard. A standard becomes harmonized to a directive or regulation by having been published in the Official Journal.

    For the MDD, the harmonized standard is EN 62366:2008 which is based on IEC 62366:2007.

    For the MDR there are no harmonized standards.

    The current EN version is EN 62366-1:2015/AC:2015. However, EN 62366-1:2015/A1:2020 is scheduled for ratification on July 22, 2020.

    The current IEC version is IEC 62366-1:2015+AMD1:2020. As a consolidated version it is Edition 1.1.

    My recommendation is that you use IEC 62366-1:2015+AMD1:2020. However, given the scheduled ratification date of July 22, 2020, it would be prudent to wait and get the EN version.



    ------------------------------
    Dan O'Leary CQA, CQE
    Swanzey NH
    United States
    ------------------------------



  • 5.  RE: Harmonized standard vs ISO standards latest version

    Posted 17-Jul-2020 02:53
    Hi Anon,

    This is a very tricky question. As Dan said, you have to define the regulatory framework that you work within.

    For MDD, where the harmonized standards exist, many NBs accept the harmonized standards (e.g. EN 62366: 2008) as the state of the art. But if you claim compliance with the latest version, they also accept it.
    I know a case, where they do not accept the latest version. They expect compliance only with the harmonized standard.

    Also, there might be a chance, a NB accepts the harmonized standard (e.g. ISO 10993-1: 2009) but they expect from the manufacturer to identify and control the new hazards that have arrived from the scientific community and medtech industry since then. So, they do not directly ask you to comply with the latest version, but there are well known risks that you have to control.

    There is a red thin line between harmonized standards and the latest versions. I suggest to have a clear line of communication with your NB

    ------------------------------
    Spyros Drivelos
    Medical Devices Expert, RAC
    Agia Paraskevi, Athens
    Greece
    ------------------------------



  • 6.  RE: Harmonized standard vs ISO standards latest version

    Posted 17-Jul-2020 05:14
    Hi Anon
    It is also necessary to consider and take into account, ie Article 5 of MDD concerning harmonized standards.





    ------------------------------
    Evangelos Tavandzis
    Lead Auditor, Consultant
    Praha
    Czech Republic
    ------------------------------



  • 7.  RE: Harmonized standard vs ISO standards latest version

    This message was posted by a user wishing to remain anonymous
    Posted 17-Jul-2020 13:46
    This message was posted by a user wishing to remain anonymous

    No one mentioned about CEN and CENELEC recent refusal. Would be interested in thoughts on that and how it affects use of harmonized standard vs latest standard. 


  • 8.  RE: Harmonized standard vs ISO standards latest version

    Posted 24-Aug-2020 14:56
    The European Commission made an attempt to start a "standardization process" for the MDR and IVDR, which would be the Harmonization process for the regulations.  The commission made a Standardization Request of the two European standardization bodies, CEN (the regions equivalent of ISO) and CENELEC (the European equivalent to IEC) .  Those two bodies rejected the request of the commission, thus throwing the process into confusion.  Apparently, there is activity in the commission to revamp the Standardization process (Harmonization).  Please be aware that the present Harmonized standards do not meet the requirements of the regulations and thus those Harmonized standards may not be used to demonstrate compliance with the two regulations.

    So Harmonized standards are still acceptable for the directives depending on the interpretations of the Notified Bodies and the questions of latest versus Harmonized. In a presentation, one of BSI's executives stated that EN ISO 14971:2019 is the "state of the art" medical device risk management standard,  thus implying that this new version should replace the EN ISO 14971:2012 version (which was very controversial in some of its interpretations).  Also at the same time as approving the EN ISO 14971:2019 version, CEN indicated that the 2012 document was "withdrawn" adding to the controversy.

    The unfortunate situation where the Notified Body (NB) cannot consult, has led to the situation where you can, in some cases, only find out about the NB's position on a topic by getting a nonconformance in an audit.  The way you can, for example, find out how to proceed is to perform a gap analysis between your risk management system and the requirements of the appropriate regulation.  Then you would develop a (quality) plan to address those gaps.  When you get the audit, show progress on your plan, and see how the NB reacts to this approach.  

    Until the European Commission and the standardization bodies come to an agreement on how to proceed and then take action leaves us in the situation where we must guess how to proceed.  There are three chapters in Annex I of the two regulations plus other requirements in the regulations themselves which must be interpreted and addressed.  Then there is the Common Specifications situation which still is not defined.  The MDR and IVDR are still not ready for prime time, but I seem to remember a similar situation when the three directives were first released.

    Good Luck!

    ------------------------------
    Edwin Bills MEd, CQA, RAC, BSc, CQE, ASQ
    Principal Consultant
    Overland Park KS
    United States
    elb@edwinbillsconsultant.com
    ------------------------------



  • 9.  RE: Harmonized standard vs ISO standards latest version

    This message was posted by a user wishing to remain anonymous
    Posted 24-Aug-2020 16:53
    This message was posted by a user wishing to remain anonymous

    Appreciate Bill's comments as for weeks now I was trying to reconcile what Bill said in the Green Light Guru webinar on ISO 14971:2019 vs CEN and CENELEC rejecting the request of the commission.


  • 10.  RE: Harmonized standard vs ISO standards latest version

    Posted 24-Aug-2020 19:14

    First, it would be valuable if you told us what Green Light Guru said in the webinar.

    Here is my understanding of the situation.

    There is a two-step process: standardization and harmonization.

    There is a regulation that governs standardization, Regulation (EU) 1025/2012.

    There are standardization requests that predate the regulation. See https://ec.europa.eu/growth/single-market/european-standards/requests_en in the section Types of requests for an explanation.

    The European Commission issued a standardization request to the European Standardization Organizations, ESOs, CEN and CENELEC. The ESOs refused the request. For a discussion see https://www.axonlawyers.com/standardisation-request-for-mdr-and-ivdr-refused-now-what-2/

    The European Commission intends to try again in 2021. See the Draft 2021 Annual Union Work Programme at https://ec.europa.eu/growth/single-market/european-standards/notification-system_en


    It says, under Type of Action, "Revision of existing standards under new mandate (by repealing the relevant clauses of the existing mandate); Complementary work (add new work items) under new mandate".

    The second step is publication in the Official Journal. This makes a standardized standard a harmonized standard.

    HERESY ALERT
    The intent of harmonized standards in good. By adopting one of these voluntary standards, a manufacturer obtains presumption of conformity, i.e., the device is presumed to be in conformity with the requirements of this Regulation covered by those standards or parts thereof. [EU-MDR Art. 8(1)]

    The main problem with harmonized standards is that some Notified Bodies, NB, do not consider them voluntary. Instead they assume harmonized are mandatory and write non-conformances for failure to implement these voluntary standards.

    In my opinion, device manufacturers need to strongly resist these actions. Do not accept such nonconformances and require the NB, your supplier, to correct the situation.

    Manufacturers are not required to use harmonized standards; they provide a useful legal status. A device manufacturer can meet the requirements of the directives or regulations without their use.

    The longer we don't have harmonized standards the better; the NBs will not be able to dream up requirements not supported by fact.



    ------------------------------
    Dan O'Leary CQA, CQE
    Swanzey NH
    United States
    ------------------------------



  • 11.  RE: Harmonized standard vs ISO standards latest version

    Posted 25-Aug-2020 01:38
    Dan,

    While I appreciate your Heresy in theory, I think it is very difficult to implement and justify in practice. The position of the NB is almost always going to be "the standard may not be required, but it is indicative of the State of the Art." If they consider the standard as State of the Art, they will be concerned with where you do or do not comply with the standard. I think the only way to get around that is to perform a Gap Analysis of the standard, and provide justification as to why your lack of compliance for a given standard section/number/clause/etc. still meets the Directive or Regulation and is also State of the Art. For that amount of effort, you might as well try to comply with the standard and then if there are gaps, see if you can justify them.

    Regarding OP's question, I have definitely been in the situation where there was a harmonized standard that had been superseded by an updated version of the standard that was not harmonized. The NB insisted on compliance with the new State of the Art standard, even though harmonization was stalled because industry had some valid concerns with the new version of the standard. We did agree with the NB that the bulk of the new standard reflected the State of the Art, so it was just easier, better, and produced a better product to comply with the new standard.

    Have you had any luck yourself with not meeting harmonized standards, or State of the Art un-harmonized standards?
      
    Regards,

    ------------------------------
    Kat Crowder
    Lake Zurich IL
    United States
    ------------------------------



  • 12.  RE: Harmonized standard vs ISO standards latest version

    Posted 25-Aug-2020 01:52
    Hi all,

    Dan and Kat, the problem with the harmonized standards, in my opinion, is not that MDR considers them as the state of the art. It's the article (22) :To recognise the important role of standardisation in the field of medical devices, compliance with harmonised standards as defined in Regulation (EU) No 1025/2012 of the European Parliament and of the Council (2) should be a means for manufacturers to demonstrate conformity with the general safety and performance requirements and other legal requirements, such as those relating to quality and risk management, laid down in this Regulation.

    There is of course the word should there, which still keeps the conformity not mandatory (in my eyes), but for NBs, demonstrating compliance with the harmonized standards is the most common and preferable route.

    ------------------------------
    Spyros Drivelos
    Medical Devices Expert, RAC
    Agia Paraskevi, Athens
    Greece
    ------------------------------



  • 13.  RE: Harmonized standard vs ISO standards latest version

    Posted 26-Aug-2020 09:41
    I think this is because simply looking at accepted standards as "state of the art" is much easier for NBs. Now, they in many ways don't have to be experts in what is actually "state of the art," which can often be anticipated to be ahead of the standards, due to the lengthy process for writing and approving standards. I can identify 3 typical times that NBs run into someone not following the accepted standard:

    1) company follows older standard, but legacy product has lots of safe use data - this is tricky, because the EU regs require "state of the art" but there is an argument to be made that safe, effective, older/cheaper devices serve an important role in medical care. Often there is a way to bridge this with some sort of gap analysis.

    2) company has no idea they need to meet latest standard and has not established any type of analysis to it - obviously, NB should flag these

    3) company has analyzed the standard, but has identified a better way to meet the requirement/intent of the requirement - it seems these are often the ones that get bogged down, because the company may have found better ways to meet hte intent, but they are complex and hard for an auditor to understand. It seems like in many cases, if the NBs were not so backlogged, the answer would be to discuss implementing these practices ahead of time to get NB comfortable with it. However, right now it appears a good scientific assessment document making the case is essential.

    I do agree with Dan that companies should not always take the "easy" way out and try to meet standard NB requests (much like you don't always agree to a stupid scientific request from FDA), particularly in the last scenario. However, in reality, it is a strategic and relationship decision and companies have to pick which battles to fight.

    g-

    ------------------------------
    Ginger Glaser RAC
    Chief Technology Officer
    MN
    ------------------------------



  • 14.  RE: Harmonized standard vs ISO standards latest version

    This message was posted by a user wishing to remain anonymous
    Posted 25-Aug-2020 16:49
    This message was posted by a user wishing to remain anonymous

    Sorry Dan I did not explain myself correctly.

    The speaker in the free Green Light Guru webinar was Edwin Bills, who posted in this thread. In that Nov 2019 webinar, titled "AN EXCLUSIVE LOOK AT THE NEW  CHANGES TO ISO 14971:2019 AND ISO TR 24971:2019," I thought I heard Mr. Bills make a prediction about whether the EN version of the ISO 14971:2019 would be more like 2012 or like 2019.

    It's a been a topic of significant discussion in my firm on whether to keep following 2012 "just in case."


  • 15.  RE: Harmonized standard vs ISO standards latest version

    Posted 25-Aug-2020 17:40
    What I tried to discuss, though apparently not effectively, is that the future EN ISO 14971:20XX Amend XX will contain Correspondence Tables like other Harmonized Standards, which show where in the standard a particular identified requirement of the regulation (MDR or IVDR) is covered.  If it is not covered, that is indicated.  For those that had access to the ISO FDIS 14971:2019, those tables were shown, though not in final form as the standardization process was not complete.

    Unlike EN ISO 14971:2012, the EN (standardized or harmonized, whatever the final term is) version will not have any content deviations.  Through diligent work of the European members of the risk management standards committee at CEN and CENELEC with the Harmonization Consultants as we moved through the revision of ISO 14971 requirements (identical to the EN version as required by agreements between ISO/ IEC and CEN/CENELEC) the technical committee integrated the MDR/IVDR risk management requirements in such a manner that the various requirements scattered throughout the regulations have been addressed.  Some of the requirements represent things the manufacturer has to accomplish, outside the standard, for the particular device like risk management process requirements, where the standard does not cover device-specific execution of the process.  Those things outside the standard are the responsibility of the manufacturer to provide objective evidence on how the requirement is met.

    Since the EC has not reached agreement with CEN and  CENELEC on the process and the standards, at this time the requirements of the new regulations depend on the manufacturer to interpret them and provide objective evidence to the Notified Body that the requirements of the MDR or IVDR have been met.  

    Remember that the current Harmonized Standards are only Harmonized to the Directives and do not apply to the MDR and IVDR.  The standards on that list are woefully out of date as Harmonization was dropped some time ago, so there are a number of standards whose Harmonized version has been updated to a new "state of the art" version of the standard.  As I mentioned in one of my earlier posts, one of BSI's key personnel indicated that ISO 14971:2019 was the state of the art risk management standard which seemed to indicate it replaced EN ISO 14971:2012, which is out of date and should no longer be in use.  CEN has identified the 2012 version as "Withdrawn" in favor of the EN ISO 14971:2019.

    Bottom line is that along with all of MDR and IVDR there remains a lot of confusion and unknowns around what a manufacturer needs to do to comply.  The sooner the EC gets those things resolved the easier it will be for the industry.  Until then, there will continue to be big waves and concerns in the MDR/IVD sea.

    ------------------------------
    Edwin Bills MEd, CQA, RAC, BSc, CQE, ASQ
    Principal Consultant
    Overland Park KS
    United States
    elb@edwinbillsconsultant.com
    ------------------------------



  • 16.  RE: Harmonized standard vs ISO standards latest version

    Posted 25-Aug-2020 17:56

    Here is the background story that explains the issue.

    Typically, EU standards that relate to directives or regulations have Z annexes. They provide a valuable linkage between the clauses of the standard and the requirements of Annex I of the directive or regulation.

    Earlier versions of 13485 and 14971 were harmonized to the three directives – MDD, IVDD, and AIMD. Sweden filed a formal objection because neither standard addressed Annex I. The solution was to provide a new EU version.

    For 13485 the Z annexes referred to the various conformity assessment paths in the directives. They explained the gaps between the international version and the directives. (There are multiple correction documents, so be sure use the most recent.)

    For 14971 there were Z annexes, but it also used the ill-fated content deviation. There were two problems. In some cases, the content deviations were just wrong. In other cases, the NBs misunderstood the content deviations and create strange and arbitrary rules. (Warning of a harm doesn't reduce the risk the user or patient will experience the harm. For example, "Hot surface do not touch" doesn't reduce the likelihood that somebody will touch.)

    The ISO committee has a strong (well-placed) desire work with the corresponding CEN committee. The ISO committee worked a person familiar with the EU issues to draft Z annexes. The thought, as I understand it, was that if the draft Z annexes were available it would be easier to CEN to adopt them. As a result, the ISO draft and final draft includes five Z annexes – three of them related to directives and two of them to the regulations.

    I'm sure that the webinar included this expectation. (I've known Ed Bills for many years. He really knows his stuff!)

    Unfortunately, there is a political fight in the EU about standardization and harmonization. I don't claim to understand the issues.

    CEN published EN ISO 14971:2019 without any Z annexes. Because the EU-MDR and EU-IVDR don't align with EN ISO 14971:2019, the manufacturer must determine the differences. (At some point, I worked this out for the EU-MDR and posted my analysis.)

    Then, the Commission published new lists of harmonized standards for the directives. They use EN ISO 14971:2012.

    Here is my recommendation.

    Any given device can be in one of three states:
    Full MDD
    MDD as modified by EU-MDR Article 120
    Full MDR

    For the first two, the technical documentation uses the MDD. I'm suggesting that companies continue with EN ISO 14971:2012. There is no value in updating the documentation and there is a potential that the NB will object. This applies, to my way of thinking to all standards. Use the harmonized standards.

    However, for full MDR, use EN ISO 14971:2019. It is the current version of the standard. While not harmonized, so what! Let the political battles rage – worry about making the best device. Be careful however, that the Annex I requirements in the regulations do not match EN ISO 14971:2019. In those cases, Annex I takes precedence.



    ------------------------------
    Dan O'Leary CQA, CQE
    Swanzey NH
    United States
    ------------------------------