Source: https://www.validation-online.net/SOP-Warning-Letter.html
Timestamp: 2018-12-13 15:15:35
Document Index: 645686776

Matched Legal Cases: ['§ 321', '§ 351', 'art 820', 'art 803', 'art 803', 'art 1', 'art 2', 'art 3', 'art 1', 'art 2', '§ 352', '§ 360', 'art 803', '§ 820', '§ 820', '§ 820', '§ 820']

Warning Letter | FDA | EC | WHO | Violation | Citation | 483 | cGMP |
Example Warning Letter.
Reference Warning Letter. During an inspection of a firm located in Milan, Italy on December 10, 2012 through December 13, 2012, an investigator (or investigators) from the United States Food and Drug Administration (FDA) determined that your firm manufactures x-ray collimators, mammography compression supports/plates, bucky rad film holders, and ionization chambers. Reference FDA Warning Letter. During an inspection of a firm located in Milan, Italy on December 10, 2012 through December 13, 2012, an investigator (or investigators) from the United States Food and Drug Administration (FDA) determined that your firm manufactures x-ray collimators, mammography compression supports/plates, bucky rad film holders, and ionization chambers.
Under section 201(h) of the Federal Food, Drug, and Cosmetic Act (the Act), 21 U.S.C. § 321(h), these products are devices because they are intended for use in the diagnosis of disease or other conditions or in the cure, mitigation, treatment, or prevention of disease, or to affect the structure or function of the body. This inspection revealed that these devices are adulterated within the meaning of section 501(h) of the Act, 21 U.S.C. § 351(h), in that the methods used in, or the facilities or controls used for, their manufacture, packing, storage, or installation are not in conformity with the current good manufacturing practice requirements of the Quality System regulation found at Title 21, Code of Federal Regulations (CFR), Part 820. We received your response dated January 3, 2013 concerning our investigator’s observations noted on the Warning letter, List of Inspectional Observations, that was issued to your firm. We address this response below, in relation to each noted FDA Warning letter. This FDA Warning letter include, but are not limited to, the following:
Complaint File.
Failure to maintain complaint files and establish and maintain adequate procedures for receiving, reviewing, and evaluating complaints by a formally designated unit, as required by 21 CFR 820.198(a). The procedures shall ensure that: All complaints are processed in a uniform and timely manner Oral complaints are documented upon receipt; and Complaints are evaluated to determine whether the complaint represents an event which is required to be reported to FDA under part 803, Medical Device Reporting (MDR). For example: a. Only complaints that result in returned product are documented. Your firm was asked to provide a list of all Non-compliance and Complaints. Your firm provided a list, which turned out to only include their own complaints about their suppliers.
The Purchasing Manager and Quality Control Supervisor explained that these complaints would be documented on a Return Material Authorization (RMA) Warning letter. They stated that the firm does not document complaints when the product is not returned. b. Complaints are not evaluated for MDR reportability. The Medys SpA document titled Non-Conformity Treatment Corrective and Preventive Action (Document SQM 4.13/00) did not include instructions to evaluate whether complaints represent an event which is required to be reported to FDA under part 803. c.
You failed to adequately maintain all complaint files. Only returned devices are recorded as complaint on the RMA Form 229, FDA Warning letter. Thirteen of the RMA forms reviewed were not evaluated for MDR reportability, lacked address and phone numbers of complainants. Two of the RMAs requested could not be located. d. An MDR event was reported by management (b)(4) However, no complaint file was created for this event. We reviewed your firm’s response and conclude that it is not adequate.
The response is not adequate because it did not address the issue of missing or lost RMAs. Your firm also stated that you will evaluate complaints for MDR reportability, and that they will include email complaints in those evaluations. Your firm has not set a procedure to determine when to file an MDR vs. when GE Healthcare should file an MDR for a particular event. Your firm stated that you would revise their Non-Conformity Treatment Corrective and Preventive Action Document (QSM 4.13/00) to include different kind of complaints that do not involve returned products, and to include reporting MDR adverse events to FDA. Your firm stated that you will update NC Form 105 and RMA Form 229 FDA Warning letter to link the two and contain information about the complainant. Your firm also stated that you will analyze the last 5 years of RMAs to be sure not to have evaluated any issue incorrectly.
Failure to establish and maintain adequate procedures for implementing corrective and preventive action in a uniform and consistent manner, as required by 21 CFR 820.100(a). For example: a. The document titled Non-Conformity Treatment Corrective and Preventive Action (CAPA) Document SQM 4.13/00 FDA Warning letter, is used to address non-compliances and corrective and preventive actions involving products, processes, service and quality systems. The Corporate Quality Manager and Management Representative stated that SQM 4.13/00 requires that all non-compliances regardless of source (including complaints, RMAs) be documented using the NC Form 105 Rev.02. However, the Product Manager confirmed that the NC form is only used for handling and reporting supplier non-conformances and that the only quality data analyzed to identify existing or potential quality problems is customer returned product. b.
Your firm did not follow the procedure in SQM 4.13/00 to open and record CAPA when a returned product defect occurs 3 times per quarter. The RMA list shows that in 2011 and 2012, the threshold for number of defects to trigger a CAPA was reached. The Quality Control Supervisor stated that CAPAs for 2011 and 2012 were opened but the firm did not follow the CAPA procedure for documenting these CAPAs or maintain a CAPA list or CAPA spreadsheet.
The adequacy of your firm’s response cannot be determined at this time. Your response stated that it will modify SQM 4.13/00 FDA Warning letter in order to clearly define how a CAPA should be managed and which data shall be analyzed. Updates will include which conditions require the opening of a CAPA and what steps will be taken to correct CAPA management. The adequacy cannot be determined because you did not provide the updated documents as part of your response.
Failure to establish and maintain adequate procedures for quality audits and conduct such audits to assure that the quality system is in compliance with the established quality system requirements and to determine the effectiveness of the quality system. These quality audits shall be conducted by individuals who do not have direct responsibility for the matters being audited, as required by 21 CFR 820.22. For example: a. Your firm did not follow their established procedures for quality audits. The firm’s Internal Quality Audit procedure (Document SQM 4.17/00) states that each quality area must be audited annually. The internal audit schedule shows that multiple quality areas each year between 2009 and 2012 were not audited. Specifically, 12 of 17 quality areas were not audited in 2012, 3 of 17 quality areas were not audited in 2011, 17 of 18 quality areas were not audited in 2010, and 15 of 17 quality areas were not audited in 2009. b.
Management quality audits in 2010 and 2011 were conducted by individuals who had direct responsibility for the matters being audited. The internal audit schedule shows the Quality Control Supervisor performed the management audits. c. Auditors did not meet the qualifications outlined in the firm’s Internal Quality Audit procedure (Document SQM 4.17/00). Page 3 of the Internal Quality Audit procedure requires auditors to have knowledge of relevant legislation. The Quality Control Supervisor, who performed some of the quality audits, stated that he was not familiar with 21 CFR 803 and 21 CFR 820 requirements. We reviewed your firm’s response and conclude that it is not adequate. The response states that external customer audits will be considered as internal audits for your firm’s Quality System per the procedure SQM 4.17/00 Warning letter. External audits are not a replacement for internal quality audits. In addition, the response states training will be given to auditors but does not describe how the auditors will be qualified to ensure they are knowledgeable in the Quality System regulation. Your firm stated that you will define a 2013 Internal Audit plan that will be agreed upon in January 2013. Your firm specified that these updates will include a new training course for auditors, and that they will have both internal and external audits. The new internal audit plan was not included.
Computer Validation (Production Systems)
Failure to validate, for its intended use, computers or automated data processing systems used as part of production or the Quality System, as required by 21 CFR 820.70(i). For example: a. Your firm did not document a revalidation plan for Quality Control (QC) test equipment that was relocated from a manufacturing plant in (b)(4) SQM 4.09/00 General Process Validation procedure Rev.4 dated May 31, 2010 is the firm’s procedure describing process validation for the (b)(4) that are used for final QC testing of (b)(4) test data is recorded on the Test Report QC Form 1078 FDA Warning letter. The Engineering Supervisor stated that (b)(4) The revalidation plan and revalidation summary results for the (b)(4) were requested and the Engineering Supervisor stated that no written revalidation plan or final revalidation summary report exists for (b)(4) In addition, SQM 4.09/00 general process validation procedure, for the (b)(4) (equipment) was not followed for installation at (b)(4) The Engineering Supervisor stated that a revalidation plan for (b)(4) (equipment) was to run the same (b)(4) b. The data used for revalidation was not adequately documented. The only test data available for review was prior to relocation of the equipment (b)(4) Furthermore, the data obtained does not state which (b)(4) was tested. Without knowing which (b)(4) was tested, it cannot be determined which test results to compare with after relocation. We reviewed your firm’s response and conclude that it is not adequate. Although your firm intends to define a procedure for revalidation of the (b)(4) there is no assessment of why this equipment was not qualified after installation. In addition there is no information of a systemic corrective action. Documentation of the new procedure was not included in the response because the procedure had not been completed at the time the response was submitted. Failure to validate, for its intended use, computers or automated data processing systems used as part of production or the Quality System, as required by 21 CFR 820.70(i). For example:
Your firm did not document a revalidation plan for Quality Control (QC) test equipment that was relocated from a manufacturing plant in (b)(4) SQM 4.09/00 General Process Validation procedure Rev.4 dated May 31, 2010 is the firm’s procedure describing process validation for the (b)(4) that are used for final QC testing of (b)(4) test data is recorded on the Test Report QC Form 1078. The Engineering Supervisor stated that (b)(4) The revalidation plan and revalidation summary results for the (b)(4) were requested and the Engineering Supervisor stated that no written revalidation plan or final revalidation summary report exists for (b)(4) In addition, SQM 4.09/00 general process validation procedure, for the (b)(4) (equipment) was not followed for installation at (b)(4) The Engineering Supervisor stated that a revalidation plan for (b)(4) (equipment) was to run the same (b)(4)
b. The data used for revalidation was not adequately documented. The only test data available for review was prior to relocation of the equipment (b)(4) Furthermore, the data obtained does not state which (b)(4) was tested. Without knowing which (b)(4) was tested, it cannot be determined which test results to compare with after relocation. We reviewed your firm’s response and conclude that it is not adequate. Although your firm intends to define a procedure for revalidation of the (b)(4) there is no assessment of why this equipment was not qualified after installation. In addition there is no information of a systemic corrective action. Documentation of the new procedure was not included in the response because the procedure had not been completed at the time the response was submitted.
Failure to validate, for its intended use, computers or automated data processing systems used as part of production or the Quality System, as required by 21 CFR 820.70(i). For example: a. Your firm did not document a revalidation plan for Quality Control (QC) test equipment that was relocated from a manufacturing plant in (b)(4) SQM 4.09/00 General Process Validation procedure Rev.4 dated May 31, 2010 is the firm’s procedure describing process validation for the (b)(4) that are used for final QC testing of (b)(4) test data is recorded on the Test Report QC Form 1078. The Engineering Supervisor stated that (b)(4) The revalidation plan and revalidation summary results for the (b)(4) were requested and the Engineering Supervisor stated that no written revalidation plan or final revalidation summary report exists for (b)(4) In addition, SQM 4.09/00 general process validation procedure, for the (b)(4) (equipment) was not followed for installation at (b)(4) The Engineering Supervisor stated that a revalidation plan for (b)(4) (equipment) was to run the same (b)(4) b. The data used for revalidation was not adequately documented. The only test data available for review was prior to relocation of the equipment (b)(4) Furthermore, the data obtained does not state which (b)(4) was tested. Without knowing which (b)(4) was tested, it cannot be determined which test results to compare with after relocation. We reviewed your firm’s response and conclude that it is not adequate. Although your firm intends to define a procedure for revalidation of the (b)(4) there is no assessment of why this equipment was not qualified after installation. In addition there is no information of a systemic corrective action. Documentation of the new procedure was not included in the response because the procedure had not been completed at the time the response was submitted.
Monitor Production Processes
Failure to develop, conduct, control, and monitor production processes to ensure that a device conforms to its specifications, as required by 21 CFR 820.70(a). Where deviations from device specifications could occur as a result of the manufacturing process, the manufacturer shall establish and maintain process control procedures that describe any process controls necessary to ensure conformance to specifications. Where process controls are needed they shall include: Documented instructions, standard operating procedures (SOP's), and methods that define and control the manner of production;Monitoring and control of process parameters and component and device characteristics during production;Compliance with specified reference standards or codes;The approval of processes and process equipment; and Criteria for workmanship which shall be expressed in documented standards or by means of identified and approved representative samples.For example: The multiple instances were observed where workers did not have work instructions for their jobs: a. A worker assembling an (b)(4) had no work instructions at his workstation. b. In the assembly area, a worker repairing a (b)(4) had no work instructions at his workstation. The Purchasing Manager stated no work instructions exist for device rework or repairs. The work area dedicated to the changes and repairs of Printed Circuit Board Assembly (PCBA) and other electronic device components did not have work instructions for the worker assigned to electronic repair. d. A worker soldering (b)(4) and a worker soldering (b)(4) had no work instructions for the soldering operations or soldering temperature. Additionally, criteria for workmanship was not identified or documented. (b)(4) We reviewed your firm’s response and conclude that it is not adequate. Your firm stated that the work instructions in one specific case were in a bookcase 3 meters from the workstation, and that you would provide work instructions on the work tables from now on. This does not address the issue of the situations (2-4 above) where no work instructions existed. In addition there was no review of other manufacturing areas to ensure work instructions are available.
Failure to establish and maintain adequate procedures to ensure that sampling methods are adequate for their intended use and failure to ensure that when changes occur the sampling plans are reviewed, as required by 21 CFR 820.250(b). For example: There was no statistical rationale for testing (b)(4) of devices for (b)(4). Testing (b)(4) of devices for (b)(4) is required per the (b)(4) Manual, QC 2060, and the (b)(4) Measurement manual, QC 712. Neither of these documents provided statistical rationale for why the firm used a (b)(4) sample size and stated that the (b)(4) sample size was not specified in a procedure and he did not know why (b)(4) was chosen. We reviewed your firm’s response and conclude that it is not adequate. Your firm stated that you will collect data from the time period that lead to them switching from 100% testing to (b)(4) testing and then provide a summary report. However, the response does not address using sampling plans based on valid statistical rationale. Additionally, the summary report was not included in your firm’s response.
Failure to establish and maintain adequate procedures to ensure that Device History Records (DHR’s) for each batch, lot, or unit are maintained to demonstrate that the device is manufactured in accordance with the Device Master Record (DMR), as required by 21 CFR 820.184(d). For example: a. The DHRs from 2010 and 2011 lack primary identification labels. b. The final acceptance release could not be located for all DHRs, and the DHR lacked a reference to the release. c. Finished product test results for (b)(4) could not be located for all DHRs reviewed. In addition, the tests were not always conducted on at least (b)(4) of the devices. Only 1 of 4 test results was available in the DHRs. The test results that were provided showed only a (b)(4) sample rate, instead of the (b)(4) rate that the QC Supervisor stated the firm used. The adequacy of your firm’s response cannot be determined at this time. For several parts of your response, your firm has stated that you will make modifications to Quality Systems documents, but did not have documents finished prior to submitting the response. In response to part 1 of the observation, your firm provided revised copies of the DHR which include requirements for device labeling. In response to part 2 of the observation, your firm promised to add a new field to the Device Test Report, which is part of the DHR, to keep track of final acceptance. Your firm did not provide this documentation as part of the response. Lastly in response to part 3 of the observation, your firm noted that there is an error on the product sheet. The error is that every individual product sheet has a field for test results when only (b)(4) of devices are actually tested. Your firm has edited the products sheets to include a reference to a different form that indicates which serial numbers get tested. This will show the (b)(4) which are tested, and whether each particular device was tested or not. Additionally, your firm has stated that you will update your product sheet to introduce a check of the DHR for QC.
Failure to establish procedures for ensuring that all personnel are trained to adequately perform their assigned responsibilities and for identifying training needs were not established, maintained, and documented, as required by 21 CFR 820.25(b). For example: a. Records do not exist to demonstrate that the auditor(s) met all qualification requirements as specified in the firm's audit procedure(s). Auditors did not meet the qualifications outlined in your firm’s Internal Quality Audit procedure (Document SQM 4.17/00) FDA Warning letter. Page 3 of the Internal Quality Audit procedure requires auditors to have knowledge of relevant legislation. The Quality Control Supervisor, who performed some of the quality audits, stated that he was not familiar with 21 CFR 803 and 21 CFR 820. b. Records do not exist to demonstrate that production workers, including assembly and test workers received training on revised work instructions. The Quality Control Supervisor stated that no training or other records exist to show the workers responsible for implementing these changes were notified or trained on the changes. We reviewed your firm’s response and conclude that it is not adequate. The response does not provide a systemic corrective action such as evaluating other training to ensure employees are adequately trained and qualified to perform their jobs. In response to part 1 of the observations, your firm will have managers and the internal auditor trained on 21 CFR 820 requirements by the end of February. Your firm submitted the CV of the consultant who will be performing the training. There was no evidence provided to ensure that this training occurred. In response to part 2 of the observation, your firm stated that you will send forms that demonstrate workers training on work instruction changes in the future, but did not include the forms with your response.
Failure to establish and maintain adequate instructions and procedures for performing and verifying the servicing to ensure servicing meets the specified requirements, as required by 21 CFR 820.200(a). For example: The worker performing repair work on a (b)(4) had no work instructions. The Purchasing Manager and the Corporate Quality Manager/Manager Representative stated that the firm performs service and warranty repairs at their facility and that no procedures or instructions exist for performing repair and service activities. We reviewed your firm’s response and conclude that it is not adequate. Your firm stated that during repairs the devices are almost completely disassembled in order to discover the cause of failure. Your firm also said that a proper procedure for these repairs would be in place by the end of January, and that the documentation of this plan would be sent to the FDA. However, the response does not ensure service reports will be documented and include information such as service performed and test and inspection data. Additionally, the response does not address previous service activities to ensure they met specified requirements.
Failure of management with executive responsibility to review the suitability of the quality system at defined intervals and with sufficient frequency according to established procedures to ensure that the quality system satisfies the requirements of this part, as required by 21 CFR 820.20(c). For example: a. Management with executive responsibility has not reviewed the suitability and effectiveness of the quality system at defined intervals and with sufficient frequency. Page 2 of the document titled Quality System Review by Management (SQM 4.01/30) requires that management reviews be held at six month intervals. The Quality Manager stated that although the English translation of the document does not reflect it, the procedure requires that the Managing Director attend the management reviews. The Managing Director did not attend the management reviews held on 01/28/2010, 6/30/2010 or 01/10/2011. The sign-in sheets for these meetings show that the Managing Director of (b)(4), attended these meetings in the Quality Manager’s place. The Managing Director of (b)(4) does not have decision making authority at Medys. b. Management with executive responsibility did not review quality audits at the management reviews, as required by the SQM 4.01/30 Quality System Review by Management, since some internal audits were not completed. The adequacy of your firm’s response cannot be determined at this time. Your firm stated that you will update the procedures to allow management to attend a web meeting or teleconference when they cannot attend the management review meetings in person. Your firm also stated that according to your previous procedure, only audits which resulted in a non-conformity would be reviewed, and that you will change the procedure to ensure that all quality audits are reviewed. These updated procedures were not included in the January 3, 2013 response. Our inspection also revealed that your firm’s devices are misbranded under section 502(t)(2) of the Act, 21 U.S.C. § 352(t)(2), in that your firm failed or refused to furnish material or information respecting the device that is required by or under section 519 of the Act, 21 U.S.C. § 360i, and 21 CFR Part 803 - Medical Device Reporting. Significant FDA Warning letter include, but are not limited to, the following: Failure to develop, maintain, and implement written Medical Device Reporting (MDR) procedures, as required by 21 CFR 803.17. We reviewed your firm’s response and conclude that it is not adequate. Your firm stated that since they are a contract manufacturer for (b)(4) and do not directly commercialize products to final users, it is (b)(4) responsibility. However, contract manufacturers are required to maintain MDR procedures unless they request to be exempt from the reporting MDR requirements by submitting a written request for an exemption as described in 21 CFR 803.19. A follow up inspection will be required to assure that corrections and/or corrective actions are adequate. U.S. federal agencies may be advised of the issuance of Warning FDA Warning letter about devices so that they may take this information into account when considering the award of contracts. Additionally, premarket approval applications for Class III devices to which the Quality System regulation deviations are reasonably related will not be approved until the FDA Warning letter have been corrected. Requests for Certificates to Foreign Governments will not be granted until the FDA Warning letter related to the subject devices have been corrected. Please notify this office in writing within fifteen business days from the date you receive this FDA Warning letter of the specific steps your firm has taken to correct the noted FDA Warning letter, including an explanation of how your firm plans to prevent these FDA Warning letter, or similar FDA Warning letter, from occurring again. Include documentation of the corrections and/or corrective action (including any systemic corrective actions) that your firm has taken. If your firm’s planned corrections and/or corrective actions will occur over time, please include a timetable for implementation of those activities. If corrections and/or corrective actions cannot be completed within fifteen business days, state the reason for the delay and the time within which these activities will be completed. Please provide a translation of documentation not in English to facilitate our review. Your firm’s response should be sent to: Food and Drug Administration, Center for Devices and Radiological Health, Office of Compliance, Field Operations Branch, White Oak Building 66, Rm 2609, 10903 New Hampshire Ave., Silver Spring, MD 20993. Refer to CMS case #396220 when replying. If you have any questions about the contents of this FDA Warning letter, please contact: James Woods, OIR Deputy Director Product Safety and Product Quality at 301-796-6225. Finally, you should know that this FDA Warning letter is not intended to be an all-inclusive list of the FDA Warning letter at your firm’s facility. It is your firm’s responsibility to ensure compliance with applicable laws and regulations administered by FDA. The specific FDA Warning letter noted in this FDA Warning letter and in the Inspectional Observations, FDA Warning letter, issued at the close of the inspection may be symptomatic of serious problems in your firm’s manufacturing and quality management systems. Your firm should investigate and determine the causes of the FDA Warning letter letters, and take prompt actions to correct the FDA Warning letter and bring the products into compliance.
IQ OQ PQ Protocol.
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FDA Warning Letters Continued.
Failure to validate with a high degree of assurance, and approve according to established procedures, the results of a process that cannot be fully verified by subsequent inspection and test, and failure to document the validation activities and results. [21 CFR § 820.75(a)]. FDA Warning Letters.
Failure to implement procedures to ensure the device history records (DHR's) for each batch, lot, or unit are maintained to demonstrate that the device is manufactured in accordance with the Device Master Record (DMR) and the Quality System regulation. [21 CFR § 820.184]
During the investigator's visual inspection of the manufacturing facility, layers of dust and dried white powder were observed on the surface of the lyophilizer, tables, compounding tanks, water storage tanks, filter housing, water purification equipment and the walls of the building. This dust was also observed on various components of the water purification system. FDA Warning Letters.
Cobwebs were observed between the [redacted] C freezer, the walls surrounding it and the water purification system. FDA Warning Letters.
The investigator noticed a white dried crystallized powder on the top opening of the tanks as well as the outside wall of the tanks. The firm had no designated area for the tanks to be cleaned properly. The firm gave no reply when asked the last time the facility was cleaned. FDA Warning Letters.
Prior to performing process validation of the lyophilizer in 2004, the firm noticed there was damage to the equipment. More specifically, the firm's process validation report indicated that the wires on the lyophilizer were damaged. This physical damage was observed by the investigator during the current inspection. FDA Warning Letters.
The firm failed to establish procedures to ensure that all equipment was appropriately designed, constructed, placed, and installed to facilitate use. FDA Warning Letters.
Failure to document acceptance activities including the acceptance activities performed, the date acceptance activities are performed, the results, the signature of the individual conducting the acceptance activities, and, where appropriate, the equipment used. [21 CFR § 820.80(e)] FDA Warning Letters.
Failure to implement procedures for quality audits and conduct such audits to assure that the quality system is in compliance with quality system regulation. [21 CFR § 820.22] FDA Warning Letters.
Failure to thoroughly review any unexplained discrepancy and the failure of a batch or any of its components to meet any of its specifications, whether or not the batch has been already distributed [21 CFR 211.192]. For example: FDA Warning Letters.
Failure to fully establish and follow written procedures describing the handling of all written and oral complaints regarding a drug product. [21 CFR 211.198(a)]. For example: FDA Warning Letters.
Failure to establish and follow written responsibilities and procedures applicable to the quality control unit [21 CFR 211.22(d)]. For example: Written procedure 2-032, In-House Reference Standards, dated 8/27/04, is not followed. In house reference standards, which are used in testing finished product samples, are not retested annually as required by step 7.3 of the SOP. Examples include: FDA Warning Letters.