Skip to main content

Risk Management for Medical Devices in Compliance with EN ISO 14971

  • Reference work entry
  • First Online:
Medical Devices and In Vitro Diagnostics

Part of the book series: Reference Series in Biomedical Engineering ((TIENRE))

  • 334 Accesses

Abstract

As a medical device manufacturer, one is often confronted with questions regarding the correct application of risk management for medical devices. For example, it is important to know from the outset which regulations or legal bases apply to risk management. For the implementation of the risk management process, it is important to know which phases it has to go through and which methods and tools are helpful in the implementation. And, of course, it is also important to know which documents have to be created and which prerequisites have to be fulfilled in order to be able to perform a risk assessment, for example.

To answer these questions, this chapter highlights the relevant regulations and laws for risk management in the development and manufacturing of medical devices. Furthermore, the risk management process in the life cycle of a medical device is presented, and the procedure for its implementation is outlined. In addition, the individual elements of the risk management process are described and discussed in detail. All documents that are considered as evidence of the establishment of a complete risk management process are presented, and their necessary content is shown. The most commonly used risk management methods, such as fault tree analysis, Ishikawa diagram, and failure mode and effects analysis, are described, and the strengths and weaknesses of these methods are discussed. Finally, the use of knowledge-based software systems for risk management is discussed, as these software systems are increasingly coming into focus to enable knowledge management in risk management.

This is a preview of subscription content, log in via an institution to check access.

Access this chapter

Chapter
USD 29.95
Price excludes VAT (USA)
  • Available as PDF
  • Read on any device
  • Instant download
  • Own it forever
eBook
USD 449.99
Price excludes VAT (USA)
  • Available as EPUB and PDF
  • Read on any device
  • Instant download
  • Own it forever
Hardcover Book
USD 449.99
Price excludes VAT (USA)
  • Durable hardcover edition
  • Dispatched in 3 to 5 business days
  • Free shipping worldwide - see info

Tax calculation will be finalised at checkout

Purchases are for personal use only

Institutional subscriptions

Abbreviations

AIMDD :

Active Implantable Medical Device Directive

ALARP:

As low as reasonably practicable

CEN/CENELEC:

European Committee for Standardization (CEN) and European Committee for Electrotechnical Standardization (CENELEC)

EN:

European norm

EU:

European Union

FDA:

Food and Drug Administration

FMEA:

Failure mode and effects analysis

FMECA:

Failure modes, effects, and criticality analysis

FTA:

Fault tree analysis

GHTF:

Global Harmonization Task Force

GMP:

Good manufacturing practice

HACCP:

Hazard analysis and critical control points

HAZOP:

Hazard and operability study

ICH:

International Conference on Harmonisation

IEC:

International Electrotechnical Commission

ISO:

International Organization for Standardization

IVDD:

In Vitro Diagnostic Medical Device Directive

IVDR:

In Vitro Diagnostic Medical Device Regulation

MDD:

Medical Devices Directive

MDR:

Medical Device Regulation

RA:

Risk assessment

REXS:

Risk expert system

RM:

Risk management

RPN:

Risk priority number

References

  • CEN/CENELEC (2012) European Committee for Standardization and European Committee for Electrotechnical Standardization (CEN/CENELEC): EN ISO 14971:2012 medical devices – application of risk management to medical devices

    Google Scholar 

  • CEN/CENELEC (2016) European Committee for Standardization and European Committee for Electrotechnical Standardization (CEN/CENELEC): EN ISO 13485:2016 medical devices – quality management systems – requirements for regulatory purposes

    Google Scholar 

  • CEN/CENELEC (2019) European Committee for Standardization and European Committee for Electrotechnical Standardization (CEN/CENELEC): EN ISO 14971:2019 medical devices – application of risk management to medical devices

    Google Scholar 

  • CEN/CENELEC (2020) European Committee for Standardization and European Committee for Electrotechnical Standardization (CEN/CENELEC): CEN ISO/TR 24971:2020 medical devices – guidance on the application of ISO 14971

    Google Scholar 

  • European Parliament and of the Council: Council Directive 90/385/EEC relating to active implantable medical devices – AI-MDD, Official Journal L 189, P. 0017–0036 from 20.07.1990. Retrieved on September 01, 2022a., from EUR-Lex – 31990L0385 – EN – EUR-Lex (europa.eu)

    Google Scholar 

  • European Parliament and of the Council: Council Directive 93/42/EEC concerning medical devices – MDD, Official Journal L 169, P. 0001–0043 from 12.07.1993. Retrieved on September 01, 2022b, from EUR-Lex – 31993L0042 – EN – EUR-Lex (europa.eu)

    Google Scholar 

  • European Parliament and of the Council: Directive 98/79/EC on in vitro diagnostic medical devices – IVDD, Official Journal L 331, P. 0001–0037 from 07.12.1998. Retrieved on September 01, 2022c., from EUR-Lex – 31998L0079 – EN – EUR-Lex (europa.eu)

    Google Scholar 

  • European Parliament and of the Council: Regulation (EU) 2017/745: Regulation on medical devices – MDR, Version from 05.04.2017. Retrieved on September 01, 2022 from EUR-Lex – 32017R0745 – EN – EUR-Lex (europa.eu)

    Google Scholar 

  • European Parliament and of the Council: Regulation (EU) 2017/746: Regulation on in vitro diagnostic medical devices – IVDR, Version from 05.04.2017. Retrieved on September 01, 2022 from, EUR-Lex – 32017R0746 – EN – EUR-Lex (europa.eu)

    Google Scholar 

  • Global Harmonization Task Force (GHTF): Implementation of risk management principles and activities within a Quality Management System (SG3/N15R8/2005) (2005) Retrieved on September 01, 2022, from http://www.imdrf.org/docs/ghtf/final/sg3/technical-docs/ghtf-sg3-n15r8-risk-management-principles-qms-050520.pdf

  • International Council for Harmonisation of Technical Requirements for Pharmaceuticals for Human Use (ICH): ICH Harmonised guideline – quality risk management Q9 (R1) – final version adopted on 18 January (2023) Retrieved on February 14, 2023, from https://database.ich.org/sites/default/files/ICH_Q9%28R1%29_Guideline_Step4_2023_0126_0.pdf

  • International Council for Harmonisation of Technical Requirements for Pharmaceuticals for Human Use (ICH): ICHQ9 briefing pack (2006) Retrieved on February 15, 2023 from https://ich.org/page/q9-briefing-pack

  • International Electrotechnical Commission (IEC): International Standard 61882, first edition: Hazard and operability studies (HAZOP studies) – application guide (2001)

    Google Scholar 

  • International Electrotechnical Commission (IEC): International Standard 61025, second edition: Fault tree analysis (FTA) (2006)

    Google Scholar 

  • International Electrotechnical Commission (IEC): International Standard IEC 60812:2018 Failure modes and effects analysis (FMEA and FMECA) (2018)

    Google Scholar 

  • Johner C, Hölzer-Klüpfel M, Wittorf S (2011) Basiswissen Medizinische Software. dpunkt

    Google Scholar 

  • Maier M (2021) Methoden und Instrumente des Qualitätsrisikomanagements. In: GMP-Berater (AL60), Kapitel 19.D.6; GMP Verlag Maas & Peithner

    Google Scholar 

  • Preis R (2009) Methoden der Risikoanalyse in der Technik. TÜV Austria Akademie

    Google Scholar 

  • Rempe P (2021) Anforderungen an Qualitätsrisikomanagement aus Behördensicht. In: GMP-Berater (AL59), Kapitel 19.A; GMP Verlag Maas & Peithner

    Google Scholar 

  • U. S. Food and Drug Administration (FDA): National Advisory Committee on Microbiological Criteria for Foods; HACCP Principles & Application Guidelines (1997) Retrieved on February 02, 2023 from https://www.fda.gov/food/hazard-analysis-critical-control-point-haccp/haccp-principles-application-guidelines

  • U. S. Food and Drug Administration (FDA): Guidance for Industry: Juice Hazard Analysis Critical Control Point Hazards and Controls Guidance, First Edition (2004). Retrieved on September 01 2022 https://www.fda.gov/regulatory-information/search-fda-guidance-documents/guidance-industry-juice-hazard-analysis-critical-control-point-hazards-and-controls-guidance-first

Download references

Author information

Authors and Affiliations

Authors

Corresponding author

Correspondence to Brigitte Gübitz .

Editor information

Editors and Affiliations

Rights and permissions

Reprints and permissions

Copyright information

© 2023 Springer Nature Switzerland AG

About this entry

Check for updates. Verify currency and authenticity via CrossMark

Cite this entry

Gübitz, B., Klinger, U. (2023). Risk Management for Medical Devices in Compliance with EN ISO 14971. In: Baumgartner, C., Harer , J., Schröttner, J. (eds) Medical Devices and In Vitro Diagnostics. Reference Series in Biomedical Engineering(). Springer, Cham. https://doi.org/10.1007/978-3-031-22091-3_6

Download citation

Publish with us

Policies and ethics