Checklist RMF IEC 60601-1 ed3 rev. June 2011_z1

Company name Checklist for RMF references from IEC 60601 1 ed 3 Document ID Edition RMF Risk Management File Product model type designation Intertek Semko AB Checklist for RMF rev June 2011 1 24 Company representative signature Date Position of signatory This checklist is intended to be used by the manufacturer to check that all items required by IEC EN 60601 1 is covered in the RMF be used by the manufacturer as a reference list pointer to facilitate for a third party to find relevant parts in the RMF when testing evaluating compliance to the standard be used together with the standard since the complete standard text is not present in this checklist Before delivering this checklist make sure to fill out also page 2 to describe the ISO 14971 process For details see ISO 14971 2007 for CB certification ISO 14971 2000 applies Summary of deviations should there be any to design requirements and test procedures stated in the standard that has been implemented supported by sub clause 4 5 and risk analysis and which could have an impact on the type testing project in terms of capabilities test equipment timing and compliance judgements Any deviations YES List deviations below or refer to an appendix NO State the intended environment ranges for use Temperature Humidity Air pressure Intertek Checklist RMF IEC 60601 1 ed 3 rev June 2011 doc 2 24 ISO 14971 2000 Checklist Clause Title Item Comments and Location in the RMF State page section or other suitable ref or N A when not applicable plus a rationale 3 3 3 2 Management Responsibilities Policy for determining acceptable risk 3 5 3 4 Risk Management Plan Evidence of risk acceptability criteria 4 1 Risk Analysis Procedure Procedure for risk analysis 4 2 Intended use intended purpose etc Record of safety issue analysis 4 3 Hazard Identification Record of hazard analysis 4 4 Risk estimation Definition of methods used for estimating risks Description of method s used Record of risk estimation activities 5 0 Risk evaluation Record of risk evaluation activities 6 1 Risk reduction Procedure for risk control activities 6 2 Option analysis Record of risk control option analysis including risk benefit analysis if appropriate 6 3 Implementation of risk control measures Inputs from risk management activities 6 4 Residual risk evaluation Evidence e g from design verification activities 6 5 Risk Benefit Analysis Evidence as necessary see 6 2 6 6 Other generated hazards Record of review of all risk controls for impact on new hazards 7 Overall risk evaluation Records of related meetings analysis etc 8 Risk management report Summary of risk management activities ISO 14971 2007 Intertek Checklist RMF IEC 60601 1 ed 3 rev June 2011 doc 3 24 IEC 60601 1 ed 3 Requirements of which compliance is to be checked by review of the RMF Location in the RMF State page section or other suitable ref or N A when not applicable plus a rationale 4 2 Risk Management Process for ME Equipment and ME Systems A Risk Management Process complying with ISO 14971 shall be performed Compliance is checked by inspection of the RMF Minimum requirements established RISK MANAGEMENT PROCESS established acceptable levels of RISK demonstrated that the RESIDUAL RISK S is acceptable in accordance with the policy for determining acceptable RISK 4 3 Essential performance The manufacturer shall identify which functions of the ME EQUIPMENT and ME systems are essential performance Compliance is checked by inspection of the RMF 4 4 Expected service life The manufacturer shall state the expected service life of the ME EQUIPMENT or ME system in the RISK MANAGEMENT FILE Compliance is checked by inspection of the RMF 4 5 Equivalent safety for ME Equipment or ME Systems Where this standard specifies requirements addressing particular RISKS alternative means of addressing these RISKS are acceptable provided that the MANUFACTURER can justify that the RESIDUAL RISKS that result from applying the alternative means are equal to or less than the RESIDUAL RISKS that result from applying the requirements of this standard Compliance is checked by inspection of the RMF 4 6 ME EQUIPMENT or ME system parts that contact the patient The RISK MANAGEMENT PROCESS shall include an assessment of whether parts that can come into contact with the patient but fall outside of the definition of applied parts shall be subject to the requirements for applied parts Compliance is checked by inspection of the RMF 4 7 SINGLE FAULT CONDITION for ME EQUIPMENT ME EQUIPMENT shall be so designed and manufactured that it remains SINGLE FAULT SAFE or the RISK remains acceptable as determined through application of 4 2 Where a SINGLE FAULT CONDITION causes another SINGLE FAULT CONDITION the two failures are considered as one SINGLE FAULT CONDITION The results of the RISK ANALYSIS shall be used to determine which failures shall be tested Compliance is determined by applying the specific requirements and tests associated with the SINGLE FAULT CONDITIONS identified in 13 2 and tests for the failures identified from evaluation of the results of the RISK ANALYSIS 4 8 COMPONENTS of ME EQUIPMENT Any components used outside of their specified ratings shall be justified through risk management that an unaccepted risk is not introduced Intertek Checklist RMF IEC 60601 1 ed 3 rev June 2011 doc 4 24 4 9 Use of components with high integrity characteristics in ME EQUIPMENT A component with high integrity characteristics shall be used when a fault in a particular component can generate an unacceptable risk Components with high integrity characteristics shall be selected and evaluated consistent with their conditions of use and reasonably foreseeable misuse during the expected service life of the ME EQUIPMENT Compliance is checked by inspection of the RMF and the selection criteria for the components with high integrity characteristics 5 4 a OTHER CONDITIONS ME equipment is to be tested in the least favourable working condition as specified in the risk analysis 5 7 Humidity preconditioning treatment Where the RISK MANAGEMENT PROCESS suggests that the ME EQUIPMENT can be exposed to high humidity for extended periods such as out door use the period is extended appropriately Concluded preconditioning treatment Intertek Checklist RMF IEC 60601 1 ed 3 rev June 2011 doc 5 24 5 9 2 3 Actuating mechanisms Conductive parts of actuating mechanisms are not considered accessible parts if removal of handles knobs etc requires the use of a tool and inspection of the RMF demonstrates that the relevant part is unlikely to become detached unintentionally during the EXPECTED SERVICE LIFE of the ME EQUIPMENT See also 15 4 6 1 7 1 1 Usability of the identification marking and documents The manufacturer shall address in a USABILITY ENGINEERING PROCESS the risk of poor usability associated with the design of the ME EQUIPMENT S identification marking and documents See IEC 60601 1 6 and also see 1 3 and 12 2 Compliance is checked by inspection of the results of the USABILITY ENGINEERING PROCESS 7 2 2 Identification ME Equipment and its detachable components shall be marked with the name or trademark of the Manufacturer and with a Model or Type Reference unless misidentification does not present an unacceptable risk 7 2 5 ME EQUIPMENT intended to receive power from other equipment If ME Equipment is intended to receive its power from other equipment including ME Equipment in an ME System and connection to another source could result in an unacceptable risk the Model or Type Reference of the specified other equipment shall be marked adjacent to the relevant connection point 7 2 13 Physiological effects safety signs and warning statements ME EQUIPMENT producing physiological effects that are not obvious to the OPERATOR and can cause HARM to the PATIENT or OPERATOR shall bear a suitable safety sign see 7 5 The safety sign shall appear in a prominent location so that it will be CLEARLY LEGIBLE in NORMAL USE after the ME EQUIPMENT has been PROPERLY INSTALLED The instructions for use shall describe the nature of the HAZARD and the precautions for avoiding it or minimizing the associated RISK 7 2 17 Protective packaging If special handling measures have to be taken during transport or storage the packaging shall be marked accordingly see ISO 780 The permissible environmental conditions for transport and storage shall be marked on the outside of the packaging see 7 9 3 1 and ISO 15223 Where premature unpacking of ME EQUIPMENT or its parts could result in an unacceptable RISK the packaging shall be marked with a suitable safety sign see 7 5 Intertek Checklist RMF IEC 60601 1 ed 3 rev June 2011 doc 6 24 7 3 3 Batteries The type of battery and the mode of insertion if applicable shall be marked see 15 4 3 2 For batteries intended to be changed only by SERVICE PERSONNEL with the use of a TOOL an identifying marking referring to information stated in the ACCOMPANYING DOCUMENTS is sufficient Where lithium batteries or fuel cells are incorporated and where incorrect replacement would result in an unacceptable RISK a warning indicating that replacement by inadequately trained personnel could result in a HAZARD such as excessive temperatures fire or explosion shall be given in addition to the identifying marking referring to information stated in the ACCOMPANYING DOCUMENTS 7 3 7 Supply terminals Terminals for supply conductors shall be marked adjacent to the terminals unless it can be demonstrated that no HAZARDOUS SITUATION can result if connections are interchanged 7 4 2 Control devices If in NORMAL USE the change of setting of a control could result in an unacceptable RISK to the PATIENT such controls shall be provided with either an associated indicating device e g instruments or scale or an indication of the direction in which the magnitude of the function changes See also 15 4 6 2 7 5 Safety signs For the purpose of this clause markings used to convey a warning prohibition or mandatory action that mitigates a RISK that is not obvious to the OPERATOR shall be a safety sign selected from ISO 7010 7 9 1 General see also Table C 4 Accompanying documents may be provided electronically e g electronic file format on CD ROM If the accompanying documents are provided electronically the RISK MANAGEMENT PROCESS shall include consideration of which information also needs to be provided as hard copy or as markings on the ME EQUIPMENT e g to cover emergency operation 7 9 2 4 Electrical power source If leakage from a battery would result in an unacceptable RISK the instructions for use shall include a warning to remove the battery if the ME EQUIPMENT is not likely to be used for some time 7 9 2 4 Electrical power source If loss of the power source would result in an unacceptable RISK the instructions for use shall contain a warning that the ME EQUIPMENT must be connected to an appropriate power source 7 9 2 5 ME EQUIPMENT description The instructions for use shall include information on the materials or ingredients to which the PATIENT or OPERATOR is exposed if such exposure can constitute an unacceptable RISK see 11 7 Intertek Checklist RMF IEC 60601 1 ed 3 rev June 2011 doc 7 24 7 9 3 2 Replacement of fuses POWER SUPPLY CORDS and other parts where replacement of a component could result in an unacceptable RISK appropriate warnings that identify the nature of the HAZARD and if the MANUFACTURER specifies the component as replaceable by SERVICE PERSONNEL all information necessary to safely replace the component 8 1 Fundamental rule of protection against electric shock b interruption of any one power carrying conductor between ME EQUIPMENT parts in separate ENCLOSURES if the RISK ANALYSIS indicates that this condition might cause permitted limits to be exceeded 8 1 Fundamental rule of protection against electric shock b unintended movement of a component but only if the component is not mounted securely enough to ensure that such movement will be very unlikely to occur during the EXPECTED SERVICE LIFE of the ME EQUIPMENT as determined by the RISK MANAGEMENT PROCESS see also 8 10 1 8 2 2 Connection to an external d c power source If ME EQUIPMENT is specified for power supplied from an external d c power source no HAZARDOUS SITUATION other than absence of its intended function shall develop when a connection with the wrong polarity is made The ME EQUIPMENT when connection is subsequently made with the correct polarity shall provide freedom from unacceptable RISK Protective devices that can be reset by anyone without the use of a TOOL are acceptable provided that these restore correct operation on reset 8 3 Classification of applied parts d For a part that is identified according to 4 6 as needing to be subject to the requirements for an applied part except for marking the requirements for a type B applied part shall apply unless the RISK MANAGEMENT PROCESS identifies a need for the requirements for a type BF applied part or type CF applied part to apply 8 4 2 Accessible parts including applied parts c The limits specified in b above do not apply to the following parts if the probability of a connection to a PATIENT either directly or through the body of the OPERATOR through which a current exceeding the allowable TOUCH CURRENT could flow is negligible in NORMAL USE and the instructions for use instruct the OPERATOR not to touch the relevant part and the PATIENT simultaneously accessible contacts of connectors contacts of fuse holders that are accessible during replacement of the fuse contacts of lamp holders that are accessible after removal of the lamp parts inside an ACCESS COVER that can be opened without the use of a TOOL or where a TOOL is needed but the instructions for use instruct any OPERATOR other than SERVICE PERSONNEL to open the relevant ACCESS COVER Compliance is checked by inspection of the RMF by reference to the instructions for use and by measurement Intertek Checklist RMF IEC 60601 1 ed 3 rev June 2011 doc 8 24 8 5 2 2 Type B applied parts The PATIENT CONNECTION S of a TYPE B APPLIED PART that is not PROTECTIVELY EARTHED shall be separated by one MEANS OF PATIENT PROTECTION from metal ACCESSIBLE PARTS that are not PROTECTIVELY EARTHED unless the metal accessible part is physically contiguous with the applied part and can be regarded as a part of the applied part and the risk that the metal accessible part will make contact with a source of voltage or leakage current above permitted limits is acceptably low Compliance is checked by inspection by the leakage current tests of 8 7 4 by the dielectric strength test of 8 8 3 by measurement of relevant creepage distances and air clearances and by reference to the RMF 8 5 2 3 PATIENT Leads Any connector for electrical connections on a PATIENT lead that is at the end of the lead remote from the PATIENT and contains a conductive part that is not separated from all PATIENT CONNECTION S by one MEANS OF PATIENT PROTECTION for a WORKING VOLTAGE equal to the MAXIMUM MAINS VOLTAGE shall be constructed so that the said part cannot become connected to earth or possible hazardous voltage while the PATIENT CONNECTION S contact the PATIENT In particular the said part shall not come into contact with a flat conductive plate of not less than 100 mm diameter the AIR CLEARANCE between connector pins and a flat surface shall be at least 0 5 mm if able to be plugged into a mains socket the said part shall be protected from making contact with parts at MAINS VOLTAGE by insulating means providing a CREEPAGE DISTANCE of at least 1 0 mm and a dielectric strength of 1 500 V and complying with 8 8 4 1 the straight unjointed test finger with the same dimensions as the standard test finger of Figure 6 shall not make electrical contact with the said part if applied in the least favorable position against the access openings with a force of 10 N unless the RISK MANAGEMENT PROCESS demonstrates that no unacceptable RISK exists from contact with objects other than a mains socket or a flat surface e g corners or edges 8 6 3 Protective earthing of moving parts Any PROTECTIVE EARTH CONNECTION shall not be used for a moving part unless the MANUFACTURER demonstrates that the connection will remain reliable during the EXPECTED SERVICE LIFE of the ME EQUIPMENT Compliance is checked by inspection of the ME EQUIPMENT and if necessary inspection of the RMF 8 8 4 1 Mechanical strength and resistance to heat The resistance to heat shall be retained by all types of insulation including insulating partition walls during the EXPECTED SERVICE LIFE of the ME EQUIPMENT Compliance is checked by inspection of the ME EQUIPMENT and the RMF and if necessary in conjunction with the following tests resistance to moisture etc dielectric strength mechanical strength 8 10 1 Fixing of components Components of ME EQUIPMENT the unwanted movement of which could result in an unacceptable risk shall be mounted securely to prevent such movement Compliance is checked by inspection of the ME EQUIPMENT and the RMF Intertek Checklist RMF IEC 60601 1 ed 3 rev June 2011 doc 9 24 8 10 2 Fixing of wiring Conductors and connectors of ME EQUIPMENT shall be so secured or insulated that accidental detachment shall not result in a HAZARDOUS SITUATION They are not considered to be adequately secured if on breaking free at their joint and moving about their support point they are capable of touching circuit points resulting in a HAZARDOUS SITUATION Breaking free of one means of mechanical restraint shall be considered a SINGLE FAULT CONDITION Stranded conductors shall not be solder coated if they are affixed by any clamping means and poor contact could result in a HAZARDOUS SITUATION Compliance is checked by inspection of the ME EQUIPMENT and the RMF 8 10 5 Mechanical protection of wiring a Internal cables and wiring shall be adequately protected against contact with a moving part or from friction at sharp corners and edges where damage to insulation could result in a HAZARDOUS SITUATION b ME EQUIPMENT shall be so designed that wiring cord forms or components are not likely to be damaged during assembly or the opening or closing of ACCESS COVERS where such damage could result in a HAZARDOUS SITUATION Compliance is checked by inspection and where appropriate by manual test or reference to the RMF 8 11 5 Mains fuses and over current releases Justification for omission of fuses or OVER CURRENT RELEASES shall be included in the RISK MANAGEMENT FILE Compliance is checked by inspection of the ME EQUIPMENT and the RMF 9 2 HAZARDs associated with moving parts 9 2 1 General The RESIDUAL RISK associated with moving parts is considered acceptable if exposure is needed for the ME EQUIPMENT to perform its intended function If after all reasonable protective measures have been implemented HAZARDS persist warnings shall be marked on the ME EQUIPMENT or given in the instructions for use 9 2 2 4 3 Movable guards Movable GUARDS that can be opened without the use of a TOOL shall remain attached to the ME EQUIPMENT when the guard is open shall be associated with an interlock device that prevents the relevant moving parts from starting to move while the trapping zone is accessible and stops movement when the guard is opened shall be so designed that the absence or failure of one of their components prevents starting and stops moving parts Compliance is checked by conducting any applicable tests and inspection of the ME EQUIPMENT and the RMF Intertek Checklist RMF IEC 60601 1 ed 3 rev June 2011 doc 10 24 9 2 2 4 4 Protective measures Protective measures shall be designed and incorporated into the control system so that moving parts cannot start to move while they are in the reach of persons once the ME EQUIPMENT has started to move the trapping zone cannot be reached or if the trapping zone is reached system movement must stop In the later case no HAZARD or damage shall result if in a single fault condition of the protective measure an unacceptable risk could arise one or more emerg