IEC 60601-1-2: Is EMC immunity testing required for a device without essential performance?

Peter Selvey

Leader
Super Moderator
The blood pressure meter not turning on due to EM noise is an excellent example. These meters are being used to monitor the patient's BP which in turn affects decisions about what medication to take or other actions. Therefore the failure to operate (even simple not turning on) does have the potential to cause harm. Consideration for this type of indirect harm is a key change from the 2nd edition to 3rd edition of IEC 60601, and aligns with ISO 14971 which had always covered both direct and indirect harm.

Of course, if the failure only happens occasionally, e.g. once a month, it might be marginally OK. But if it happens say every second time the user tries to make a measurement, it's not reasonable. Especially when you consider that failure to turn on in the normal EM environment is just lazy design. Keep in mind that the real world requirement is not whether the risk is acceptable, but whether it has been reasonably minimised, especially if you are talking about the MDR in Europe. You should not be able to CE mark a device that struggles to turn on in the normal EM environment.
 

Tidge

Trusted Information Resource
When I was asked to explain what the essential performance statement should be for a medical device, my advice was always: "Start with a one sentence medical reason for why this thing should even be near a patient."
I am really sorry, but I have to disagree here regarding the definition of "essential performance"! IEC 60601-1 defines EP in cl. 3.27 quite clearly:

"performance of a clinical function, other than that related to BASIC SAFETY, where loss or degradation beyond the limits specified by the MANUFACTURER results in an unacceptable RISK

NOTE: ESSENTIAL PERFORMANCE is most easily understood by considering whether its absence or degradation would result in an unacceptable RISK."

In my understanding, what Tidge wrote is not in line with this definition!

My immediate follow-up advice was: "Qualify the first sentence as necessary to clarify the acceptable levels of risk."

So for example... picking a medical electrical device, since we are talking about 60601-1... if the device was something like a respiratory aid (full disclosure, I have never worked with such devices)... My thinking of Essential Performance might start out as: "Provide supplementary oxygen to the patient"... but then update the EP statement as necessary to address the otherwise unacceptable risks, such as "Provide supplementary oxygen to the patient without over-pressuring their lungs."

Note that I don't think EP is supposed to address all unacceptable risks, just those that arise from the inherent use of the technology. E.g. anesthetic machines can inherently deprive patients of oxygen, heating devices can inherently burn, perfusion pumps can pump air (instead of blood). (re: burns... We can negotiate around the "basic safety" things like burns, shocks, cuts, etc. that appear in 2nd edition.... this avoids cluttering the EP statement)
 

Tidge

Trusted Information Resource
You should not be able to CE mark a device that struggles to turn on in the normal EM environment.

As much I will occasionally toss salt in the direction of NRTLs on the topic of Risk Management, any ME device that has those types of struggles is going to have a deservedly difficult time achieving certification from a NRTL.

One of the core responsibilities for NRTLs is to provide fair and unbiased assessment of how well devices conform to consensus standards... from competing manufacturers. If I was the manufacturer of a competing device that didn't have such issues and I discovered a NRTL was allowing certifications that jeopardized my markets (including by lowering consumer confidence in the product area), I know that I have many diverse options available to me, and none of them are pleasant for the NRTL.
 

nozzle

Involved In Discussions
Hi all, I've been reading though this thread with interest as we're struggling with the following.

We are developing a disposable (single use) Laryngoscope which comes with the batteries already fitted. The bulb is turned on by moving the blade into the locked position (as per ISO 7376), the batteries and the LED are the only electronic components in the device. A simple visual check pre use is they method of verifying the device is working as intended.

In this example we would argue the device has no essential performance and is therefore exempt from 60601-1-2.
We would test the device to 60601-1. Have we reached the correct conclusion?
 

MThomas

Involved In Discussions
Let us remove from any consideration any devices for which analysis can show that EMI is not a factor...a length of cord for example, or a pulley.

There are many medical devices that have no essential performance...a device which diagnoses a condition that will never become life-threatening comes to mind. If the condition persists, the clinician will understand that an alternative form of diagnosis must occur.

But of course you must have objective evidence that the device cannot harm the environment with electromagnetic disturbances.

You must also show that basic safety is not violated before, during, or after EMI testing. So an X-ray machine that triggers on ESD is not safe. A supply with 2XMOPP cannot have any MOPP removed by applied surges (EMI is a normal condition). (Yes you should check dielectric breakdown after surges / EFT and perhaps in rare instances ESD)

Finally, you must execute an EMI Risk analysis.
 

ChrisM

Quite Involved in Discussions
In response to nozzle's scenario above ......
One issue may be that the intended users will not purchase the product unless it has been certified as a medical device because they would assume that for its intended use, it would be a medical device and would therefore need to be sure that it had the relevant approvals
 

jdoran

Starting to get Involved
This is a very insightful and thought-provoking discussion.

I fully agree that some (many!) medical devices will not have any EP. However, I'm aware of many situations with FDA reviewers where there has been an expectation that EP is defined, especially in few years prior to 2021. Since the FDA published draft guidance "Electromagnetic Compatibility of Medical Devices" in November 2020, there finally appears to be an easier route to justifying no EP to the Agency. This guidance was published in final form in June 2022:

https://www.fda.gov/media/94758/download

The pertinent text is:

"It is also possible for a medical device to have no Essential Performance. A determination of no Essential Performance should be accompanied by scientific justification and risk analysis. Even for medical devices that have no Essential Performance, appropriate immunity pass/fail criteria should be used to demonstrate that the device is safe and performs as intended."

There is also excellent guidance on EP in AAMI CR500:2019 Basic Introduction to the IEC 60601 Series which I believe is indispensable to manufacturers that struggle with this complex topic and it's relationship to BASIC SAFETY, ISO 14971 and regulatory pathways.

JD
 

Robert_D

Registered
Very insightful discussion indeed!

Thanks Jdoran for the reference. In regards to the quoted text:
"It is also possible for a medical device to have no Essential Performance. A determination of no Essential Performance should be accompanied by scientific justification and risk analysis. Even for medical devices that have no Essential Performance, appropriate immunity pass/fail criteria should be used to demonstrate that the device is safe and performs as intended."

My question is, wouldn't the phrase "...and performs as intended" be (in a way) referring to the same thing discussed in this thread: that performance of some sort (deemed "essential" or otherwise) needs to be checked during testing?
 

jdoran

Starting to get Involved
That is a very pertinent point Robert_D, and yes, I agree, that the performance necessary to achieve the intended use of the medical device/system must be verified and validated. The important distinction in my view between said performance and ESSENTIAL PERFORMANCE (IEC 60601) is that the latter is strictly limited to the performance that, if degraded or absent, would result in an unacceptable risk (this is also clearly explained in AAMI CR500:2019).

An example I can think of that would not necessarily have ESSENTIAL PERFORMANCE is a hearing aid (IEC 60601-2-66), because the failure to amplify the sound would generally not give rise to an unacceptable risk. But of course, the performance necessary to achieve intended use is still critical to verify and validate. At the opposite end of the same type of device would be a Cochlear implant, which most certainly would have ESSENTIAL PERFORMANCE because, if it fails to deliver amplified sound then there would be an unacceptable risk associated with explant and re-implantation.

So, to answer your question, the reason there is an important distinction between EP and the performance necessary to achieve intended use is that the former requires additional safeguards, testing and risk analyses, and must also be considered under normal condition (no faults) and fault conditions, which adds significant additional overheads to the development effort. Also, if a medical device/system containing software has EP, it usually has implications for the software safety classification (IEC 62304) and FDA software Level of Concern, which again, can add significant development costs.

JD
 

Peter Selvey

Leader
Super Moderator
Reading a number of posts above, I think misunderstanding persists about "safety". In the 2nd edition of IEC 60601-1, safety was defined as "direct" harm. This means energy (electrical, mechanical, thermal), flow, shock, sharp points, radiation etc. coming from the device itself.

Looking just at the function or performance of the device, many devices are unable to create this kind of direct harm, in which case a definition of "no EP" makes sense.

With the 3rd edition, the term "direct" was quietly removed from the standard, in order to align it with ISO 14971. This meant the inclusion of "indirect" harm as well, such as failure to diagnose, monitor or compensate, which are all considered potential risks in ISO 14971.

The revised definition means failure to perform becomes a risk. For low risk devices, this risk may be small, but it still exists.

Our gut reaction is to ignore these kind of risks because of a hidden assumption that in the normal course of events, a manufacturer is economically incentivised to ensure the device works "most" of the time. Thus, when we consider for example "failure of a hearing aid to amplify sound", we assume unconsciously the failure rate of <1%, in which case the risk is acceptable. Most users are OK for a short time without the aid and will have a backup device in the home (they are normally sold in pairs).

However, if the failure rate was >1% , the risk should be unacceptable, especially if the cause of the failure is easily preventable.

So in general, EP should exist, but with fairly relaxed expectations for low risk devices. They should work most of the time in normal, real world conditions, but not necessarily in the "worst case normal conditions" that we often use as "normal use" in handling high risk issues.

Unfortunately, standards often tend towards overkill. For example, the 4th edition of IEC 60601-1-2 changed the test levels for ESD air from 8kV to 15kV. Does 15kV represent the normal environment, or is it an outlier?

If 15kV is an outlier, then a "no EP" claim makes sense for a hearing aid.

But there's a problem: how do we know the device works OK at levels that aren't outliers?

Consider a hearing aid that gives up the ghost with a relatively low 2kV ESD pulse: is that acceptable? It's winter, the first one dies out of the box. Get the next one, it dies one the 3rd day of use. Go to the shop and get a replacement. Both of those die after a couple of days, all due to poor ESD. The user can't work, join in conversations, walk around without fear of not hearing cars etc.

This should be unacceptable, because immunity to 2kV is run of the mill, nothing special, designers should be able to do it. There's no excuse. So the "no EP" is not a reasonable approach, but we need standard writers to differentiate between "general normal use" and "worst case normal use". This is not only for EMC, but for other tests that are designed to represent normal use, for example, water ingress testing in IEC 60601-1-11 (home use), IPX2 makes sense for serious risks, but a 30s test makes sense for lower risk EP.

You might say: surely manufacturers would do the right thing anyway? Well I have three case studies in the past year of exactly this kind of situation, unreasonably hiding behind "no EP". In each case the manufacturer said they recognised the problem, agree it's unreasonable, plan to fix it, but they have deadlines for FDA 510(k) applications, NB review etc so they want to hide behind the "no EP" to get a report as soon as possible. Which is another story ... !
 
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