Head of Regulatory Affairs

Regulatory strategy development, submission management, and global market access for medical device organizations.

Regulatory Strategy Workflow
FDA Submission Workflow
EU MDR Submission Workflow
Global Market Access Workflow
Regulatory Intelligence Workflow
Decision Frameworks
Tools and References

Regulatory Strategy Workflow

Develop regulatory strategy aligned with business objectives and product characteristics.

Workflow: New Product Regulatory Strategy

Gather product information:
- Intended use and indications
- Device classification (risk level)
- Technology platform
- Target markets and timeline
Identify applicable regulations per target market:
- FDA (US): 21 CFR Part 820, 510(k)/PMA/De Novo
- EU: MDR 2017/745, Notified Body requirements
- Other markets: Health Canada, PMDA, NMPA, TGA
Determine optimal regulatory pathway:
- Compare submission types (510(k) vs De Novo vs PMA)
- Assess predicate device availability
- Evaluate clinical evidence requirements
Develop regulatory timeline with milestones
Estimate resource requirements and budget
Identify regulatory risks and mitigation strategies
Obtain stakeholder alignment and approval
Validation: Strategy document approved; timeline accepted; resources allocated

Regulatory Pathway Selection Matrix

Factor	510(k)	De Novo	PMA
Predicate Available	Yes	No	N/A
Risk Level	Low-Moderate	Low-Moderate	High
Clinical Data	Usually not required	May be required	Required
Review Time	90 days (MDUFA)	150 days	180 days
User Fee	~$22K (2024)	~$135K	~$440K
Best For	Me-too devices	Novel low-risk	High-risk, novel

Regulatory Strategy Document Template

REGULATORY STRATEGY
Product: [Name]   Version: [X.X]   Date: [Date]


PRODUCT OVERVIEW
Intended use: [One-sentence statement of intended patient population, body site, and clinical purpose]
Device classification: [Class I / II / III]
Technology: [Brief description, e.g., "AI-powered wound-imaging software, SaMD"]


TARGET MARKETS & TIMELINE























Market Pathway Priority Target Date
USA 510(k) / PMA 1 Q1 20XX
EU Class [X] MDR 2 Q2 20XX


REGULATORY PATHWAY RATIONALE
FDA: [510(k) / De Novo / PMA] — Predicate: [K-number or "none"]
EU:  Class [X] via [Annex IX / X / XI] — NB: [Name or TBD]
Rationale: [2–3 sentences on key factors driving pathway choice]


CLINICAL EVIDENCE STRATEGY
Requirements: [Summarize what each market needs, e.g., "510(k): bench + usability; EU Class IIb: PMCF study"]
Approach: [Literature review / Prospective study / Combination]


RISKS AND MITIGATION























Risk Prob Impact Mitigation
Predicate delisted by FDA Low High Identify secondary predicate now
NB audit backlog Med Med Engage NB 6 months before target


RESOURCE REQUIREMENTS
Budget: $[Amount]   Personnel: [FTEs]   External: [Consultants / CRO]

FDA Submission Workflow

Prepare and submit FDA regulatory applications.

Workflow: 510(k) Submission

Confirm 510(k) pathway suitability:
- Predicate device identified (note K-number, e.g., K213456)
- Substantial equivalence (SE) argument supportable on intended use and technological characteristics
- No new intended use or technology concerns triggering De Novo
Schedule and conduct Pre-Submission (Q-Sub) meeting if needed (see Pre-Sub Decision)
Compile submission package checklist:
- Cover letter with device name, product code, and predicate K-number
- Section 1: Administrative information (applicant, contact, 510(k) type)
- Section 2: Device description — include photos, dimensions, materials list
- Section 3: Intended use and indications for use
- Section 4: Substantial equivalence comparison table (see example below)
- Section 5: Performance testing — protocols, standards cited, pass/fail results
- Section 6: Biocompatibility summary (ISO 10993-1 risk assessment, if patient contact)
- Section 7: Software documentation (IEC 62304 level, cybersecurity per FDA guidance, if applicable)
- Section 8: Labeling — final draft IFU, device label
- Section 9: Summary and conclusion
Conduct internal review and quality check against FDA RTA checklist
Prepare eCopy per FDA format requirements (PDF bookmarked, eCopy cover page)
Submit via FDA ESG portal with user fee payment
Monitor MDUFA clock and respond to AI/RTA requests within deadlines
Validation: Submission accepted; MDUFA date received; tracking system updated

Substantial Equivalence Comparison Example

Characteristic	Predicate (K213456)	Subject Device	Same?	Notes
Intended use	Wound measurement	Wound measurement	✓	Identical
Technology	2D camera	2D + AI analysis	✗	New TC; address below
Energy type	Non-energized	Non-energized	✓
Patient contact	No	No	✓
SE conclusion	New TC does not raise new safety/effectiveness questions; bench data demonstrates equivalent accuracy (±2mm vs ±3mm predicate)

Workflow: PMA Submission

Confirm PMA pathway:
- Class III device or no suitable predicate
- Clinical data strategy defined
Complete IDE clinical study if required:
- IDE approval
- Clinical protocol execution
- Study report completion
Conduct Pre-Submission meeting
Compile PMA submission checklist:
- Volume I: Administrative, device description, manufacturing
- Volume II: Nonclinical studies (bench, animal, biocompatibility)
- Volume III: Clinical studies (IDE protocol, data, statistical analysis)
- Volume IV: Labeling
- Volume V: Manufacturing information, sterilization
Submit original PMA application
Address FDA questions and deficiencies
Prepare for FDA facility inspection
Validation: PMA approved; approval letter received; post-approval requirements documented

FDA Submission Timeline

Milestone	510(k)	De Novo	PMA
Pre-Sub Meeting	Day -90	Day -90	Day -120
Submission	Day 0	Day 0	Day 0
RTA Review	Day 15	Day 15	Day 45
Substantive Review	Days 15–90	Days 15–150	Days 45–180
Decision	Day 90	Day 150	Day 180

Common FDA Deficiencies and Prevention

Category	Common Issues	Prevention
Substantial Equivalence	Weak predicate comparison; no performance data	Build SE table with data column; cite recognized standards
Performance Testing	Incomplete protocols; missing worst-case rationale	Follow FDA-recognized standards; document worst-case justification
Biocompatibility	Missing endpoints; no ISO 10993-1 risk assessment	Complete ISO 10993-1 matrix before testing
Software	Inadequate hazard analysis; no cybersecurity bill of materials	IEC 62304 compliance + FDA cybersecurity guidance checklist
Labeling	Inconsistent claims vs. IFU; missing symbols standard	Cross-check label against IFU; cite ISO 15223-1 for symbols

See: references/fda-submission-guide.md

EU MDR Submission Workflow

Achieve CE marking under EU MDR 2017/745.

Workflow: MDR Technical Documentation

Confirm device classification per MDR Annex VIII
Select conformity assessment route based on class:
- Class I: Self-declaration
- Class IIa/IIb: Notified Body involvement
- Class III: Full NB assessment
Select and engage Notified Body (for Class IIa+) — see selection criteria below
Compile Technical Documentation per Annex II checklist:
- Annex II §1: Device description, intended purpose, UDI
- Annex II §2: Design and manufacturing information (drawings, BoM, process flows)
- Annex II §3: GSPR checklist — each requirement mapped to evidence (standard, test report, or justification)
- Annex II §4: Benefit-risk analysis and risk management file (ISO 14971)
- Annex II §5: Product verification and validation (test reports)
- Annex II §6: Post-market surveillance plan
- Annex XIV: Clinical evaluation report (CER) — literature, clinical data, equivalence justification
Establish and document QMS per ISO 13485
Submit application to Notified Body
Address NB questions and coordinate audit
Validation: CE certificate issued; Declaration of Conformity signed; EUDAMED registration complete

GSPR Checklist Row Example

GSPR Ref	Requirement	Standard / Guidance	Evidence Document	Status
Annex I §1	Safe design and manufacture	ISO 14971:2019	Risk Management File v2.1	Complete
Annex I §11.1	Devices with measuring function ±accuracy	EN ISO 15223-1	Performance Test Report PT-003	Complete
Annex I §17	Cybersecurity	MDCG 2019-16	Cybersecurity Assessment CS-001	In progress

Clinical Evidence Requirements by Class

Class	Clinical Requirement	Documentation
I	Clinical evaluation (CE)	CE report
IIa	CE with literature focus	CE report + PMCF plan
IIb	CE with clinical data	CE report + PMCF + clinical study (some)
III	CE with clinical investigation	CE report + PMCF + clinical investigation

Notified Body Selection Criteria

Scope: Designated for your specific device category
Capacity: Confirmed availability within target timeline
Experience: Track record with your technology type
Geography: Proximity for on-site audits
Cost: Fee structure transparency
Communication: Responsiveness and query turnaround

See: references/eu-mdr-submission-guide.md

Global Market Access Workflow

Coordinate regulatory approvals across international markets.

Workflow: Multi-Market Submission Strategy

Define target markets based on business priorities
Sequence markets for efficient evidence leverage:
- Phase 1: FDA + EU (reference markets)
- Phase 2: Recognition markets (Canada, Australia)
- Phase 3: Major markets (Japan, China)
- Phase 4: Emerging markets
Identify local requirements per market:
- Clinical data acceptability
- Local agent/representative needs
- Language and labeling requirements
Develop master technical file with localization plan
Establish in-country regulatory support
Execute parallel or sequential submissions
Track approvals and coordinate launches
Validation: All target market approvals obtained; registration database updated

Market Priority Matrix

Market	Size	Complexity	Recognition	Priority
USA	Large	High	N/A	1
EU	Large	High	N/A	1–2
Canada	Medium	Medium	MDSAP	2
Australia	Medium	Low	EU accepted	2
Japan	Large	High	Local clinical	3
China	Large	Very High	Local testing	3
Brazil	Medium	High	GMP inspection	3–4

Documentation Efficiency Strategy

Document Type	Single Source	Localization Required
Technical file core	Yes	Format adaptation
Risk management	Yes	None
Clinical data	Yes	Bridging assessment
QMS certificate	Yes (ISO 13485)	Market-specific audit
Labeling	Master label	Translation, local requirements
IFU	Master content	Translation, local symbols

See: references/global-regulatory-pathways.md

Regulatory Intelligence Workflow

Monitor and respond to regulatory changes affecting product portfolio.

Workflow: Regulatory Change Management

Monitor regulatory sources:
- FDA Federal Register, guidance documents
- EU Official Journal, MDCG guidance
- Notified Body communications
- Industry associations (AdvaMed, MedTech Europe)
Assess relevance to product portfolio
Evaluate impact:
- Timeline to compliance
- Resource requirements
- Product changes needed
Develop compliance action plan
Communicate to affected stakeholders
Implement required changes
Document compliance status
Validation: Compliance action plan approved; changes implemented on schedule

Regulatory Monitoring Sources

Source	Type	Frequency
FDA Federal Register	Regulations, guidance	Daily
FDA Device Database	510(k), PMA, recalls	Weekly
EU Official Journal	MDR/IVDR updates	Weekly
MDCG Guidance	EU implementation	As published
ISO/IEC	Standards updates	Quarterly
Notified Body	Audit findings, trends	Per interaction

Impact Assessment Template

REGULATORY CHANGE IMPACT ASSESSMENT
Change: [Description]   Source: [Regulation/Guidance]
Effective Date: [Date]  Assessment Date: [Date]  Assessed By: [Name]
AFFECTED PRODUCTS

















Product Impact (H/M/L) Action Required Due Date
[Name] [H/M/L] [Specific action] [Date]
COMPLIANCE ACTIONS

[Action] — Owner: [Name] — Due: [Date]
[Action] — Owner: [Name] — Due: [Date]

RESOURCE REQUIREMENTS: Budget $[X]  |  Personnel [X] hrs
APPROVAL: Regulatory _____________ Date _______ / Management _____________ Date _______

Decision Frameworks

Pathway Selection and Classification Reference

FDA Pathway Selection

Is predicate device available?
            │
        Yes─┴─No
         │     │
         ▼     ▼
    Is device   Is risk level
    substantially  Low-Moderate?
    equivalent?       │
         │        Yes─┴─No
     Yes─┴─No      │     │
      │     │      ▼     ▼
      ▼     ▼   De Novo  PMA
    510(k)  Consider      required
           De Novo
           or PMA

EU MDR Classification

Is the device active?
        │
    Yes─┴─No
     │     │
     ▼     ▼
Is it an   Does it contact
implant?   the body?
  │            │
Yes─┴─No   Yes─┴─No
 │    │     │     │
 ▼    ▼     ▼     ▼
III  IIb  Check   Class I
         contact  (measuring/
         type     sterile if
         and      applicable)
         duration

Pre-Submission Meeting Decision

Factor	Schedule Pre-Sub	Skip Pre-Sub
Novel Technology	✓
New Intended Use	✓
Complex Testing	✓
Uncertain Predicate	✓
Clinical Data Needed	✓
Well-established		✓
Clear Predicate		✓
Standard Testing		✓

Regulatory Escalation Criteria

Situation	Escalation Level	Action
Submission rejection	VP Regulatory	Root cause analysis, strategy revision
Major deficiency	Director	Cross-functional response team
Timeline at risk	Management	Resource reallocation review
Regulatory change	VP Regulatory	Portfolio impact assessment
Safety signal	Executive	Immediate containment and reporting

Tools and References

Scripts

Tool	Purpose	Usage
regulatory_tracker.py	Track submission status and timelines	`python regulatory_tracker.py`

Regulatory Tracker Features:

Track multiple submissions across markets
Monitor status and target dates
Identify overdue submissions
Generate status reports

Example usage:

$ python regulatory_tracker.py --report status
Submission Status Report — 2024-11-01
┌──────────────────┬──────────┬────────────┬─────────────┬──────────┐
│ Product          │ Market   │ Type       │ Target Date │ Status   │
├──────────────────┼──────────┼────────────┼─────────────┼──────────┤
│ WoundScan Pro    │ USA      │ 510(k)     │ 2024-12-01  │ On Track │
│ WoundScan Pro    │ EU       │ MDR IIb    │ 2025-03-01  │ At Risk  │
│ CardioMonitor X1 │ Canada   │ Class II   │ 2025-01-15  │ On Track │
└──────────────────┴──────────┴────────────┴─────────────┴──────────┘
1 submission at risk: WoundScan Pro EU — NB engagement not confirmed.

References

Document	Content
fda-submission-guide.md	FDA pathways, requirements, review process
eu-mdr-submission-guide.md	MDR classification, technical documentation, clinical evidence
global-regulatory-pathways.md	Canada, Japan, China, Australia, Brazil requirements
iso-regulatory-requirements.md	ISO 13485, 14971, 10993, IEC 62304, 62366 requirements

Key Performance Indicators

KPI	Target	Calculation
First-time approval rate	>85%	(Approved without major deficiency / Total submitted) × 100
On-time submission	>90%	(Submitted by target date / Total submissions) × 100
Review cycle compliance	>95%	(Responses within deadline / Total requests) × 100
Regulatory hold time	<20%	(Days on hold / Total review days) × 100

Related Skills

Skill	Integration Point
mdr-745-specialist	Detailed EU MDR technical requirements
fda-consultant-specialist	FDA submission deep expertise
quality-manager-qms-iso13485	QMS for regulatory compliance
risk-management-specialist	ISO 14971 risk management

Risk	Prob	Impact	Mitigation
Predicate delisted by FDA	Low	High	Identify secondary predicate now
NB audit backlog	Med	Med	Engage NB 6 months before target

Regulatory Affairs Head

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