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Last revised on 12/02/03
Medical Device Adverse Event Reporting and Patient Safety
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| From FDA's Center for Devices and Radiological Health Consumer Protections | |
The public expects, and the law requires, all medical devices to be safe, effective and manufactured in accordance with the good manufacturing practices. The Food and Drug Administration's (FDA) Center for Devices and Radiological Health (CDRH) promotes and protects the health of the public by ensuring the safety and effectiveness of medical devices and the safety of radiological products.
Essentially, medical devices are subject to the general controls of
the Federal Food Drug & Cosmetic (FD&C) Act, which are contained
in the final procedural regulations in Title 21 Code of Federal
Regulations Part 800-1200 (21 CFR Parts 800 - 1299). These controls are
the baseline requirements that apply to all medical devices; marketing
clearance, proper labeling and monitoring device performance once it is
on the market.
There are three steps to obtain marketing clearance of a medical device
from CDRH. The first step in
the marketing process is to make absolutely sure that the product being
proposed for marketing is a
medical
device, that is, it meets the definition of a medical device in
section 201(h) of the FD&C Act. For example, the product may be a
drug or biological product that is regulated by
a
component in the FDA other than the Center for Devices and
Radiological Health (CDRH) and for which there are different provisions
in the FD&C Act. If the product is a medical device and is also an
electronic
radiation emitting product, marketing clearance will have additional
requirements.
The second step is to determine how FDA may classify a device, that
is, which one of the three classes the device may fall into.
Classification identifies the level of regulatory control that is
necessary to assure the safety and effectiveness of a medical device.
Unless exempt, FDA will classify all devices. Most importantly, the
classification of the device will identify, unless exempt, the marketing
process a manufacturer must complete in order to obtain FDA
clearance/approval for marketing.
The third step is to select the appropriate marketing application. This
includes the development of data and/or information necessary to submit
a marketing application, and to obtain FDA clearance to market. For some
[510(k)] submissions and most PMA applications, clinical performance
data is required to obtain clearance to market. In these cases, conduct
of the trial must be done in accord with FDA's FDA's
Investigational
Device Exemption (IDE) regulation, in addition to marketing
clearance.
Before
marketing clearance is obtained the manufacturer must assure that the
device is properly labeled in accordance with FDA's
labeling
regulations. Once clearance for marketing is obtained, the manufacturer
must register their establishment and list the type of device they plan
to market with the FDA. This
registration
and
listing
process is accomplished by the submission of specific FDA forms.
Once on the
market, there are postmarket surveillance controls with which a
manufacturer must comply. These requirements include the Quality Systems
(QS) (also known as Good Manufacturing Practices, GMPs) and
Medical
Device Reporting (MDR) regulations. The
QS
regulation is a quality assurance requirement that covers the design,
packaging, labeling and manufacturing of a medical device. The MDR
regulation is an adverse event reporting program.
Medical Device Reporting (MDR) is the mechanism for the United States Food and Drug Administration (FDA), to receive reports of adverse events involving medical devices from manufacturers, importers, user facilities, health care professionals, and consumers. FDA has been receiving voluntary adverse event reports involving medical devices from health care professionals and consumers since 1974, and mandatory reports from medical device manufacturers since 1984. The two programs were merged into MedWatch, FDA's adverse event reporting program for drugs, biologics, and medical devices in 1993.
Simply defined, a medical device is an item used for diagnostic treatment, or prevention of disease, injury, or other condition that is not a drug, biologic, or food. A medical device adverse event is an event whereby a medical device has, or may have, caused or contributed to a death or serious injury.
Manufacturers and importers are required to report medical device adverse events involving deaths, serious injuries, and malfunctions to the FDA. User facilities (e.g. hospitals, nursing homes, diagnostic and therapeutic outpatient treatment facilities) are required to report suspected medical device related deaths to both the FDA and the manufacturer. User facilities report medical device related serious injuries directly to the manufacturer, and if the device manufacturer is unknown, to the FDA. Consumers and health professionals use the MedWatch program for voluntary reporting of adverse events involving deaths, injuries, or malfunctions with medical products. FDA's Center for Devices and Radiological Health (CDRH) receives approximately ninety-five percent of its adverse event reports from manufacturers, and five percent from health care professionals, consumers, and user facilities.
CDRH routinely receives adverse event reports involving patient deaths and serious injuries, and for product malfunctions involving medical devices used for patient monitoring, diagnostic testing, medical, surgical and therapeutic interventions, and telemedicine. Decreasing both the frequency of occurrence and the severity of adverse events associated with medical devices poses a major challenge for the Center.
FDA CDRH staff analyze medical device adverse event reports to
determine if the use of a particular product is resulting in unexpected
problems and to identify trends that can improve management and reduce
use error. Significant adverse event reports, such as those involving
fire, explosion, anaphylaxis, pediatric deaths, or multiple patient
deaths or serious injuries, receive priority review. Well-known adverse
events are reviewed in
the aggregate. Data related to the reported adverse event are reviewed
to determine if further FDA action is warranted. Outcomes from FDA CDRH
staff recommendations for action include: public health notifications,
regulatory actions such as device recalls, published articles in
peer-reviewed clinical journals, and education and outreach activities
for health care professionals and consumers.
Medical device adverse event reports are evaluated individually, and
in the aggregate, to identify actual and potential risks to patient
safety. Review and evaluation of reported adverse events includes
identification of approaches to mitigate risk and to promote patient
safety. Comprehensive review and evaluation requires knowledge of FDA's
Medical Device Reporting Regulation and familiarity with reporting
policies, clinical expertise including experience, expertise, and
knowledge of a device's intended use within various patient populations,
and the ability to analyze, interpret, and synthesize adverse event data
against the backdrop of patient safety implications. Review and
evaluation of patient safety implications must take into account the
myriad of reasons why adverse events occur; device specific problems
such as manufacturing process and human factors design considerations,
use error, and adverse outcomes inherent to a patient's underlying
diagnosis. Evaluation requires a review of the circumstances related to
a specific reported event, as well as, historical adverse event trends,
and evaluation of the scientific and medical literature, including
published failure mode and patient safety data. Analysis,
interpretation, and synthesis of adverse events utilizing the
aforementioned criteria facilitates a model for patient safety by
identifying factors to mitigate risk and promote safe and effective
medical device use.
Analysis and interpretation of adverse events requires the ability to integrate knowledge of the medical device reporting regulation and reporting policies, clinical expertise and experience with medical devices in clinical settings, and the ability to evaluate complex data sets including historical adverse event reporting trends, and published reports of medical device adverse event experiences in the clinical, scientific, and regulatory literature. Adverse event reviews and evaluations include an assessment of risk versus benefit of a device, including actual versus potential device problems, and expected versus unanticipated device-related outcomes. Device problems that impact patient safety may be associated with poor device design, defects in device components, clear and concise device labeling and instructions for use, as well as, inadequate packaging of a device.
Use error also has implications for patient safety. Human factors
including healthcare practitioner familiarity with device, (correct
device assembly, connection and compatibility of device components),
practitioner interpretation of device labeling and instructions for use,
and the intended use of the device for appropriate patient populations
must be evaluated. Environmental factors such as patient-staff ratios,
urgent or emergent patient care scenarios, and a patient's underlying
diagnosis, all have an impact on patient safety.
Manufacturers are required to report adverse events associated with deaths, serious injuries (adverse events requiring medical or surgical intervention), and device malfunctions. Submission of medical device reports by manufacturers was effective on December 13, 1984. The reporting requirements were subsequently revised in the Safe Medical Devices Act of 1990 and 1992 with an amendment of the regulation effective July 31, 1996. Manufacturers must report deaths and serious injuries within 30 days of becoming aware of an adverse event associated with their device. In addition, manufacturers are required to notify FDA of product recalls initiated as a result of product performance problems. Manufacturers are required to perform failure mode investigations and analyses of devices involved in adverse events. These investigations and analyses will vary in scope and complexity depending on the type of device and the device's intended use. Manufacturers may conduct an initial failure analysis of devices involved in an adverse event at a user facility, or may have the devices returned to their manufacturing facility for more complete failure analysis testing and evaluation. Results of failure mode investigations may result in submission of adverse event reports to FDA, implementation of manufacturing process or design changes, changes in labeling and instructions for use, or a firm-initiated recall of the device.
The Safe Medical Devices Act (SMDA), implemented in 1991, requires
user facilities to report adverse events which reasonably suggest that a
medical device has, or may have, caused or contributed to a death or
serious injury. User facilities include hospitals, nursing homes,
ambulatory surgical facilities, and outpatient diagnostic and treatment
facilities. To comply with this requirement, user facilities need to
educate and train health care professionals to recognize an adverse
event that may be device related and to report it through their
organization to the manufacturer or FDA.
The Food and Drug Modernization Act (FDAMA) in 1997 mandated that FDA
move away from a universal reporting requirement for user facilities to
that of a subset of user facilities that constitute an overall
representative profile. FDA's Medical Product Surveillance Network (MedSun),
consists of a sample of user facilities, which are specifically trained
to recognize and report medical device adverse events. MedSun
participants submit medical device adverse event reports associated with
problems that have the potential for medical or surgical intervention,
as well as for deaths and serious injuries. Currently, there are
approximately 200 hospitals and nursing homes participating in MedSun.
Fetal deaths associated with electronic fetal monitors have been reported to the Food and Drug Administration (FDA). The electronic fetal monitor is a microprocessor based medical device that uses ultrasound transducers to measure and translate signals from the fetal heart. It is used primarily by nurses to monitor the heart rate of single or twin fetuses throughout labor and delivery; however, the monitor is limited in evaluating fetal heart rate (FHR) because of possible signal loss due to fetal movement, misreading due to maternal movement, artifact mistaken for normal variability of FHR, and possible recording of maternal heart rate (MHR) instead of FHR. The fetal deaths reported to FDA involved single and twin fetuses and have raised concern about the monitor and whether it detects and records the FHR as it should.
Fetal monitors provide both internal and external methods of monitoring single and twin fetuses. Transducers are positioned on the maternal abdomen and/or thigh and connected by cables to a monitor. Fetal heart information translated from the transducer is displayed on the monitor panel and can be recorded and printed on a strip or trace. Some monitors provide alarm surveillance for fetal heart rates that are outside of limits that have been set.
Reported adverse event:
A woman was about to deliver twins. Her nurse reported that an external
and internal fetal monitor recorded two normal baseline heart rates.
During a forceps delivery, an external fetal monitor was used to monitor
both twins. The first twin had died before birth (in utero) 48 hours
earlier. When a twin dies in utero, the monitor usually picks up the
maternal heart rate (MHR). If the MHR and FHR coincide, the monitor is
not able to differentiate between the two. In this case, the nurse
assumed the monitor was recording the twins' heart rates; however, it
was apparently monitoring the mother's and the second twin's heart rate.
The second twin was delivered alive and without incidence. No technical
failure of the monitor was identified following the event and
information on the cause of fetal death was not reported.
Action taken by the FDA:
A. Technical Evaluations
B. Association of Women's Health, Obstetric and Neonatal Nurses (AWHONN) educational program: Fetal Heart Rate Monitor Principles and Practice, which focuses on the application of essential heart essential heart monitoring knowledge and skills in antepartum nursing. AWHONN serves and represents more than 22,000 healthcare professionals in the U.S., Canada and abroad.
C. American College of Obstetrics and Gynecology July 1995, technical bulletin guidelines for performing fetal heart rate monitoring entitled: Fetal Heart Rate Patterns: monitoring, interpretation, and management.
D. Consultations
The STAMP's recommendations to AWHONN:
Summary of Findings
Opportunities for Use Error
Device Limitations
Conclusion
Nursing practice, as well as, literature on use of electronic fetal
monitors emphasize, that monitoring should not replace a complete
nursing assessment since the monitor may not detect and record FHR.
Vascular Hemostasis Devices
Hemostasis devices are used percutaneously (applied through the skin) to seal off the femoral artery puncture site, which is accessed for diagnostic and interventional cardiac procedures, usually in cardiac catheterization laboratories. The devices provide an alternative to traditional manual compression by facilitating more rapid sealing of the arterial puncture site, thus allowing the patient to go home more quickly. The three types of hemostasis devices that were marketed and approved by the FDA at the time of the case study adverse event evaluation included: (1) Extravascular, a collagen plug placed at the femoral artery puncture site, (2) Intravascular, a collagen plug in combination with a biodegradable anchor placed inside the femoral artery, and (3) a surgical suture device, whereby arterial closure is accomplished by deployment of sutures around the arterial entry site.
Reported adverse event:
A 39 year old man underwent a diagnostic cardiac catheterization. During
the procedure the cardiologist used multiple needle sticks to locate the
femoral artery. It is believed that the backwall of the femoral artery
was punctured. The patient became very restless during the procedure and
additional sedation was needed to continue. After the procedure, a
hemostasis device was used to control bleeding at the femoral puncture
site. Continuous oozing was noted from the site, the patient remained
restless, and within 15 minutes of the procedure his blood pressure
dropped significantly. Medications and medical internventions did not
improve the patient's condition. He continued to deteriorate,
experienced cardiac arrest, and died. The patient's reported cause of
death was exsanguination (a massive loss of blood) as a result of
retroperitoneal bleeding (bleeding into the back side of the abdomen).
From 1996 to 2000, the FDA received more than 1000 serious injury and 26 death adverse event reports involving the use of the three types of vascular hemostasis devices referenced above. At the time of our analysis (January 2000), the most frequently reported problems associated with the use of hemostasis devices were hemorrhage (profuse bleeding from the femoral artery which may result in death by exsanguination), hematoma (bruising), and infection. These problems were more frequently reported with interventional cardiac catheterization procedures in females than males. The deaths and serious injuries reported to FDA associated with vascular hemostasis devices raised concerns about the role of the device-user interface and how it plays in adverse outcomes associated with hemostasis devices. At the time of the case study, there was scant published clinical or scientific literature on the use of vascular hemostasis devices.
Actions taken by FDA:
(1) The FDA convened a committee to evaluate the etiology of the reported complications associated with the use of these devices. Their deliberations, in an effort to reduce the number of complications related to hemostasis devices, led the FDA to issue a notification to users recommending that all manufacturer warnings and instructions regarding patient selection and device use be carefully followed. The following recommendations are excerpted from FDA's "Dear Colleague Letter" (Safety Alert) to health care practitioners:
(2) Published articles authored by the adverse event reviewer on
complications
associated with vascular hemostasis devices describing the implications
for trauma nursing, in the peer-reviewed clinical journals, Nursing and
the International Journal of Trauma Nursing in 1999 and 2000
respectively. The articles specifically caution nurses to observe
patients receiving these devices for vital sign changes, signs and
symptoms of blood loss, including the presence of a hematoma or
ecchymosis at the arterial puncture site, or the loss of arterial
perfusion distal to the puncture site.
(3) Poster Presentation at the 2001 FDA Science Forum. The purpose of this presentation was to describe a study, conducted as part of the ongoing adverse event evaluation, on the reported rates of serious injuries and deaths associated with hemostasis use by year of occurrence, type of injury (or death), and gender. The study used medical device adverse event reports involving vascular hemostasis devices received by FDA from 1996 to August 29, 2000 as numerator. The 1996 National Center for Health Statistics (NCHS) data on coronary angioplasty was used for denominator. Only adverse event reports of with hemorrhage, hematoma, or infection were included in the numerator.
Conclusions from the study indicate that serious injury rates associated with the use of vascular hemostasis devices in coronary angioplasty procedures are more than twice as great, and death rates are more than four times as great, in females than in males. The chart below depicts the rates of reported deaths and serious injuries associated with hemostasis device use by type of injury (or death) and gender from 1996-2000.

(4) Subsequent to these presentations, design of two epidemiologic research projects to obtain more accurate rates of serious injuries associated with vascular hemostasis device use and a comparison of serious injury rates associated with cardiac catheterization in patients with, and without, hemostasis device use have been undertaken in collaboration with the American College of Cardiology (ACC). Preliminary findings show that women are at a much higher risk than men for hemorrhagic events associated with the use of vascular hemostasis devices. Complete results are pending.
Conclusions
Patient safety data obtained from medical device adverse event reports have provided health care practitioners and researchers throughout the world with a better understanding of the occurrence of adverse events associated with the use of vascular hemostasis devices following cardiac catheterization. It is anticipated that the information obtained from further epidemiological research will assist health care practitioners to make better decisions regarding the use of these devices, as well as providing a basis for further research on the subject.
1. Select a medical device problem of interest.
2. Review and analyze device adverse event data from the Internet
Version of the FDA MAUDE adverse event database. Patient and problem
codes are not available in this version of MAUDE.
3. Review device labeling, literature, and ascertain clinical significance of device problem. Most manufacturers have websites where device information can be accessed.
4. Discuss with manufacturer how they conduct a failure mode analysis of the device selected.
5. Identify patient safety implications:
A. Patient population
B. Device/user interface
C. User training
D. Environment in which event occurred
6. Communicate with users about patient and device problems.
7. Create a model of patient safety to help reduce adverse events associated with the medical device you selected.
8. Present model.
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Beyea, S. (2003, January). Tracking medical devices to ensure patient
safety. AORN, 77 (1): 192-194.
Beyea, S. (2002, June). Finding patient safety internet resources. AORN,
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Bogner, M.S. (1994). Human Error in Medicine. New Jersey: Erlbaum.
Boyer, M. (2001, June). Root cause analysis in perinatal care: Health
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Ebright, P., Patterson, E., & Render, M. (2002, September). The
"new look" approach to patient safety. Clinical Nurse
Specialist, 16 (5): 247-253.
FDA Modernization Act of 1997, amended, Section 519 9b) of the Food,
Drug, and Cosmetic Act 21 U.S.C. 360 I (b) (1997).
Ferguson, S. (2001, December). To err is human: strategies for ensuring
patient safety and quality when caring for children. Journal of
Pediatric Nursing, 16 (6): 438-440.
Gallauresi, B. (1999, January). Collagen hemostasis devices. Nursing
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Gallauresi B. (2000, April-June). Complications associated with vascular hemostasis devices. International Journal of Trauma Nursing, 6, (2): 64-65.
Killen, A., & Beyea, S. (2003, February). Learning from near
misses in an effort to promote patient safety. AORN, 77 (2): 423-425.
Meaney, M. (2003, January-February). Case management and patient safety.
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Meurier, CE. (2000, July). Understanding the nature of errors in
nursing: Using a model to analyze critical incident reports of errors
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new era of 'systems-think': The implications for managed care
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Tavris, D., Gallauresi, B., & Rich, S. (2001, February). Risk of
serious injury ordeath associated with hemostasis devices by gender. Poster
presentation at the FDA Science Forum, Washington, DC.
Tavris, D,, Gallauresi, B., Rich, S., & Bell, C. Relative risks of reported serious injury and death associated with the use of hemostasis devices by gender. Pharmacoepidemiology and Drug Safety 2003, 12: 237-241.
U.S. Department of Health and Human Services. (1999). Complications related to the use of vascular hemostasis devices: FDA dear colleague letter. Rockville, MD: Feigal, D.
ADVAMED: Trade association representing medical device manufacturers
http://www.advamed.org/
Centers for Disease Control
http://www.cdc.gov
CDRH website (premarket device clearance and postmarket medical
device reporting requirements, medical device report submissions, safety
alerts, notifications, and advisories, and Patient Safety Portal)
http://www.cdrh.fda.gov
ECRI: A non-profit agency focused on healthcare technology and patient safety research http://www.ecri.org/
FDA Consumer Magazine
http://www.fda.gov/fdac
FDA Device Advice (device classification and procedures)
http://www.fda.gov/cdrh/devadvice
FDA Patient Safety News
http://www.fda.gov/psn
Institute of Medicine Report
To ERR is Human: Building a Safer Health System (you can read on line
free)
http://www.nap.edu/books/0309068371/html/
Mandatory and User Facility Device Experience (MAUDE) adverse event
report data base
http://www.fda.gov/cdrh/maude.html
MedSun
http://www.medsun.net/about.html
MedWatch
http://www.fda.gov/medwatch
This page is part of the course on quality / process improvement. For more information contact Farrokh Alemi, Ph.D.