An Introduction to FDA’s Regulation

of Medical Devices

Elias Mallis

Director

Division of Industry and Consumer Education

Office of Communication Education

Center for Devices and Radiological Health

U.S. Food and Drug Administration
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Learning Objectives

• Explain FDA’s role in regulating medical devices

• Define a medical device and review basics about 

device classification

• Describe five steps to get a new product to market 

• Identify different types of premarket submissions

• Identify three actions after watching this module

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FDA Regulation of Medical Devices

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FDA’s Role

• Oldest comprehensive consumer protection 

government agency

• Promote and protect health

• Covers foods, drugs, biologics, cosmetics, animal and 

veterinary medicine, and tobacco

• CDRH regulates medical devices and radiationemitting products

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CDRH’s Role

• Evaluate safety and effectiveness of medical 

devices

– Before and after reaching market

• Patients and providers have timely, continued 

access

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FDA Device Regulatory Authority:

Laws

• 1976: Medical Device Amendments to Federal Food, Drug, and 

Cosmetic Act (FD&C Act)

• Subsequent Laws

• 2002 - present: User Fee Programs

www.fda.gov/MedicalDevices/DeviceRegulationandGuidance/Overview/ucm618375.htm

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Is My Product a Medical Device?

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Medical Device, defined

• Instrument, apparatus, machine, implant, in vitro reagent, including 

component, part, or accessory

• Diagnoses, cures, mitigates, treats, or prevents disease or condition

• Affects structure or function of body

• Doesn’t achieve purpose as a drug

• Excludes certain software functions

– data storage, administrative support, electronic patient records

Section 201(h) of FD&C Act

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Combination Products

• Involves at least two regulatory component types:

• Example: Drug-Eluting Cardiovascular Stent

• Regulatory responsibilities from involved component types

• One Center usually takes lead

• Office of Combination Products facilitates jurisdiction

www.fda.gov/CombinationProducts/JurisdictionalInformation/ucm148279.htm

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Drug Device Biologic
Device Regulations

• 21 Code of Federal Regulations (CFR): Parts 800-1050

– 800-861: cross-cutting device requirements

• Example: 812 - Investigational Device Exemption

– 862-1050: device-specific requirements

• Example: 876 - Gastroenterology and Urology Devices

• 21 CFR: Parts 1-99

– general medical requirements that also apply to medical devices

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Device Guidance Documents

• Non-binding

• Elaborate on applicable laws, regulations

• Types

– Draft: Agency’s proposed thinking; public comment period

– Final: Agency’s thinking; may incorporate public comment

www.fda.gov/RegulatoryInformation/Guidances/default.htm

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Device Classification

• Based on device description and intended use

• Determines extent of regulatory control

• Class I, II, or III

– increases with degree of risk

• Product Codes: three-letter coding to group similar 

devices and intended use

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Classes of Medical Devices

Class Risk Controls Submission

I Lowest General • Exempt*

• 510(k)

II Moderate General and

Special (if available)

• 510(k)*

• Exempt

III Highest General and

PMA

• PMA

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* More common submission requirement of this Class
Regulatory Controls

• Requirements that apply to a product area (product 

code)

• Provide consistent requirements to foster predictably 

safe and effective medical devices

• With appropriate level of regulatory burden/oversight

• Generally broad, but may be specific

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General Controls: Examples

Control Regulation

(21 CFR Part)

Brief Description

Labeling 801 provide information for users

Medical Device Reporting 803 report device-related injuries and deaths

Establishment Registration 807 register business with FDA

Device Listing 807 identify devices 

Quality System 820 ensure safe, effective finished devices

Adulteration FD&C Act 501 provide device not proper for use

Misbranding FD&C Act 502 provide false or misleading labeling

FD&C Act = Federal Food Drug, and Cosmetic Act 16
Special Controls

• Specific to Class II devices

• Not common

• Usually for well-established device types

• Found in “(b) Classification” of regulation

– example: 21 CFR 876.5860(b)

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Special Controls: Examples

• Design, Characteristics or Specifications

• Testing

• Special Labeling

• Guidance Documents

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Steps to Get a New Product to 

Market

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1. Establish the Product

 Identify product (device) description

 Identify purpose

 intended use (usually broad)

 indications for use (more specific)

 duration of use

 target patient population (age range; disease)

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2. Verify that Product

is Medical Device

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3. Identify Classification and 

Regulatory Pathway

• Identify regulatory classification

• Classification will generally indicate regulatory 

pathway (premarket submission type) required 

for device

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4. Develop Valid Scientific Evidence

21 CFR 860.7(c)(1)

– requires valid scientific evidence for safety and 

effectiveness

21 CFR 860.7(c)(2)

– provides definition of valid scientific evidence

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5. Prepare Premarket Submission

Each type has own sets of:

• processes

• applicable laws and regulations

• review times

• evidence burden

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Types of Premarket Submissions

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Premarket Submission Types

• Investigational Device Exemption (IDE)

• Premarket Notification (510(k))

• Premarket Approval Application (PMA)

• De Novo

• Humanitarian Device Exemption (HDE)

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Investigational Device Exemption

(IDE)

• Clinical research on investigational devices

• Collect safety and effectiveness data for future marketing 

application

• Requires approval by

Institutional Review Board 

• Protect human patients

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Premarket Notification - 510(k)

Market application for low

and moderate risk devices

“Substantial Equivalence”

between new device and

a legally marketed device

Compare

• intended use

• device features

• performance testing

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Premarket Approval Application

(PMA)

• Market application for

highest risk devices

• Reasonable assurance:

– safety and effectiveness

• Evidence stands on own

– not equivalence

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De Novo

• Device has no existing classification regulation

• Marketing process for novel devices

• Creates new classification regulation

• Alternative to PMA

• Reduced regulatory burden/controls based on riskbenefit profile of device

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Humanitarian Device Exemption

HDE

• Premarket submission for Humanitarian Use Devices

• 8000 individuals per year in United States

• Exempt from effectiveness

• Reasonable assurance of safety and probable benefit

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A Note about Quality Systems

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CDRH Learn: Overview of the Quality System Regulation (Postmarket Activities)

fda.yorkcast.com/webcast/Play/4abbbeeb0f76423998cab8c782c3e4181d
What Should You Do Next:

Resources for You

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1. Device Advice

• Written content

• Hundreds of pages of total product life cycle 

regulatory information

• Over 30 regulatory categories

• “How to” guides

www.fda.gov/DeviceAdvice 35
2. CDRH Learn

• Multi-media video training modules

• Presentations, computer-based training, webinars

• Over 100 modules

• Most are less than 20 minutes

• Mobile-friendly

www.fda.gov/Training/CDRHLearn

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3. Division of Industry and 

Consumer Education

Phone: (800) 638-2041

• Hours of operation: 9 am-12:30 pm; 1-4:30 pm

Email: dice@fda.hhs.gov

• DICE will respond within 2 business days

www.fda.gov/DICE

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Summary

• FDA regulates medical devices by evaluating safety and 

effectiveness

• FDA classifies device types with class, regulatory control, 

and submission requirements

• General process gets new products to market 

• FDA has different types of premarket submissions

• FDA develops resources to help you

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Your Call to Action

1. Understand your 

regulatory responsibilities

2. Stay informed 

3. Use FDA resources

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