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510(k) Summary: What It Contains and How to Read One

A 510(k) summary is the owner’s account of why a device is substantially equivalent: what 807.92 requires and how it differs from the SE letter.

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General regulatory information for lab, clinic and supply staff. It is not medical, legal or regulatory advice and says nothing about whether any device is right for any patient.

Short answer

A 510(k) summary is the public-facing document in which the 510(k) owner sets out the information it relied on to claim a device is substantially equivalent to a legally marketed predicate. FDA says it will place the summary on the Internet 30 days after the substantial equivalence decision. People searching “510k decision summary” or “FDA decision summary” usually mean this document; FDA’s own content page calls it the “510(k) Summary” and does not use the phrase “decision summary”.

What a 510(k) summary is

FDA requires every 510(k) to include either a 510(k) Summary or a 510(k) Statement, whether the device is Class I, II or III. The summary is “a summary of information upon which you based your claim of substantial equivalence” and must be “in sufficient detail to provide an understanding of the basis for a determination of substantial equivalence” (21 CFR 807.92(a)). It is written by the applicant, not by FDA. That is the main thing to keep in mind when reading one: it is the owner’s account of its evidence, not FDA’s own evaluation.

For how the K number that identifies a 510(k) works and how to look up its database record, see FDA K number for a medical device. For the three submission routes, see special vs abbreviated vs traditional 510(k).

What 21 CFR 807.92 requires it to contain

The regulation lists the required content. Each item below is also something a reader can check.

Regulation item What the summary must contain
807.92(a)(1) Submitter’s name, address, telephone number, a contact person, and the date the summary was prepared
807.92(a)(2) Name of the device, including trade or proprietary name if applicable, and the common or usual name
807.92(a)(3) The legally marketed device (the predicate) to which equivalence is claimed
807.92(a)(4) A description of the device, including its significant physical and performance characteristics
807.92(a)(5) The intended use; where indications differ from the predicate, an explanation of why the differences do not affect safety and effectiveness
807.92(a)(6) A summary of the technological characteristics compared with the predicate
807.92(b)(1) Where the decision rests partly on performance data, a brief discussion of the nonclinical tests
807.92(b)(2) Where clinical data were used, a brief discussion of the clinical tests, including adverse effects and complications
807.92(b)(3) The conclusions drawn from those tests that the device is as safe, as effective and performs as well as or better than the predicate
807.92(c) The summary should be a separate section, beginning on a new page, clearly identified as a “510(k) summary”

FDA’s checklist adds that a summary should contain only information also covered in the body of the 510(k), no raw data (only summary data), no trade secret or confidential commercial information, no patient identification information, and no puffery or unsubstantiated labeling claims. So a summary is intentionally brief, and test reports are not in it.

Summary vs Statement

An applicant picks one of two routes. A 510(k) Statement is a certification that the owner will provide the safety and effectiveness information supporting the finding of substantial equivalence to any person within 30 days of a written request. FDA says the choice should be made before submission and can be changed until the substantial equivalence determination is reached; after that it cannot. In the FDA database record this appears as a “Summary or Statement” field. If the record says Statement, there is no summary to read: the route to the detail is a written request to the applicant of record. FDA states that requests under a Statement “must be filled within 30 days”, that patient identifiers, trade secret and confidential information are deleted from what is sent, and that the owner may not charge for compiling it.

Summary, Statement, SE letter and Indications for Use: four different documents

The wording people use is loose. “FDA clearance letter”, “FDA approval letter” and “decision summary” are often used for one document or another. FDA’s own page distinguishes the following.

Document Who writes it What FDA says about it
510(k) Summary The 510(k) owner Placed on the Internet 30 days after the substantial equivalence decision
510(k) Statement The 510(k) owner, signed by the certifier A promise to supply the information on written request within 30 days; not itself the information
Substantial Equivalence (SE) letter FDA, addressed to the applicant Sent when review is complete; FDA includes the Indications for Use Statement with it
Indications for Use Statement The applicant, on FDA’s form Must be consistent with the labeling, advertising and instructions for use; made available to the public on the Internet with the SE letter

The SE letter reports a clearance decision under the 510(k) pathway. It is not a certification or an approval in the way a premarket approval is, which is why “approval letter” is a misnomer for a 510(k). See FDA certified: why FDA does not certify devices for the wider point.

A checklist for reading one

These are questions to ask of the document, keyed to the regulation. They are not verdicts on the device.

  1. Identity (a)(1)-(a)(2). Does the trade name and common name match the product on the label and the K number in the database record?
  2. Predicate (a)(3). Which legally marketed device is named? Is it a device you can look up by its own K number?
  3. Intended use (a)(5). Does the stated intended use cover the way your site would use the product? If it differs from the predicate, read the explanation the owner gives.
  4. Technological comparison (a)(6). Does it describe the same design, materials, chemical composition or energy source as the predicate, or different ones, and how they compare?
  5. Testing (b)(1)-(b)(2). Does it mention nonclinical tests, clinical tests, or neither? A summary may rest on nonclinical data alone.
  6. Date (a)(1). When was the summary prepared, and does it relate to the version of the device you are looking at? Compare with the decision date in the database record.

What to ask a supplier for

  • The K number for the exact product, so the database record, summary or statement route, and decision can be checked directly with FDA.
  • The SE letter and the Indications for Use Statement for that K number.
  • If the record shows a Statement instead of a Summary, the applicant of record’s contact route for a written request.

The summary will not contain raw test data or confidential commercial information. For other terms on supplier paperwork, see medical supplies names: common, FDA and HCPCS names.

Common misunderstandings

  • “The summary is FDA’s review.” It is the owner’s summary of the information it relied on.
  • “The clearance letter is an approval.” The SE letter is a 510(k) determination, a different thing from premarket approval.
  • “A summary proves the product suits my use.” It describes the intended use claimed for that device; it makes no judgement about your setting.

FAQ

What is a 510k summary?

It is the document in which the 510(k) owner summarizes the information supporting its claim of substantial equivalence to a predicate, as required by 21 CFR 807.92.

Is a “510k decision summary” or “FDA decision summary” a different document?

FDA’s content page for the 510(k) uses the terms 510(k) Summary, 510(k) Statement and Substantial Equivalence (SE) letter. “Decision summary” is an informal search phrase and is not a term FDA uses on that page.

When does the summary become public?

FDA says it will place the summary on the Internet 30 days following the substantial equivalence decision.

What if the record says Statement, not Summary?

Anyone may ask the applicant of record in writing for the safety and effectiveness information, and FDA says the owner must fill such requests within 30 days.

Is an FDA clearance letter the same as an FDA approval letter?

No. For a 510(k), FDA issues an SE letter reporting a substantial equivalence determination. See the guide on FDA certified for the difference between clearance and approval.

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