WARNING LETTER
Unimicro Medical Systems-Shenzhen Co., Ltd.
MARCS-CMS 624560 —
January 06, 2022
Delivery Method:
VIA UNITED PARCEL SERVICE
Product:
Medical Devices
Recipient:
Recipient Name
Roly Lee
Recipient Title
General Manager
Unimicro Medical Systems-Shenzhen Co., Ltd.
201, Bldg 38 101 Heshui Kou
Gongmingzhen Longgang
Shenzhen
518106
China
Issuing Office:
Center for Devices and Radiological Health
United States
WARNING LETTER
January 6, 2022
Dear Roly Lee:
During an inspection of your firm located in Shenzhen, China, on September 15, 2021, through September 26, 2021, an investigator from the United States Food and Drug Administration (FDA) determined that your firm manufactures Veress Pneumoperitoneum Needles. 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 any 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. These violations include, but are not limited to, the following:
1. Failure to adequately establish and maintain procedures to control product that does not conform to specified requirements as required by 21 CFR 820.90(a).
For example: Your firm has not established a disposition process for product that does not conform to specified requirements. Your firm was not able to provide the disposition of
(b)(4)
package heat sealed nonconforming products. In Nonconforming Product Handling Sheet (No.
(b)(4)
, dated
(b)(4)
), your firm noted
(b)(4)
package heat sealing nonconformances. For these
(b)(4)
nonconforming products, the final determination was stated as “return to warehouse” and no final disposition was provided or conducted, per Nonconforming Product Control Procedure (Doc No.
(b)(4)
, Ver.
(b)(4)
, and dated
(b)(4)
). Therefore, it is unknown where these products are or how they were handled. Additionally, your firm’s staff was unaware of the nonconforming product procedure or handling and disposition of nonconforming products.
We have reviewed your firm’s response in the 483 Corrective Action Plan dated October 8, 2021 and have concluded it is not adequate. You plan to stop any products exporting to the United States of America until corrective actions are completed and deactivate all products from your Device Listings until the corrective actions are completed. You also plan to modify the Nonconforming Product Control Procedure, train relevant personnel of the design, purchasing, quality, production, warehouse, logistics, and sales department according to the revised procedure. You state you will also perform retrospective review for all products which have been sold for the US market, to analyze if there is any quality issue or adverse events that have occurred. However, to ensure a sufficient evaluation of the risk posed by the situation, you should also actively evaluate the risks associated with the device presently and take any needed actions to mitigate those risks. This should not rely only on adverse event reporting or other outside reporting. Additionally, your Corrective Action Plan does not include ensuring the disposition of nonconforming products are documented. As part of your corrective actions, you should document the disposition of the identified nonconforming products.
2. Failure to adequately establish and maintain procedures to control the design of the device in order to ensure that specified design requirements are met as required by 21 CFR 820.30(a).
For example: Your firm was unable to provide documentation and/or evidence of conducting Design and Development activities as described in the Design and Development Control Procedures (Doc No.
(b)(4)
, Ver.
(b)(4)
, dated
(b)(4)
), related to the veress pneumoperitoneum needles. In this document, the procedures for design control are described in detail. The procedures include steps to review the design input, output, verification and validation, design changes, design transfer, and design history. However, your firm was unable to provide documentation and data demonstrating design requirements for the veress pneumoperitoneum needles wet met, as required by the Design and Development Control Procedures.
We have reviewed your firm’s response in the 483 Corrective Action Plan dated October 8, 2021 and have concluded it is not adequate. You plan to modify the Design and Development Control Procedure based on the requirements of 21 CFR 820.30 Design Control, train all design personnel according to the revised procedure, and to retrospectively review all products which have been sold for the U.S market, to analyze if there is any quality issue or adverse events occurred. However, you have no plan to evaluate the retrospectively conduct design control activities for affected products. You should conduct a review of your products to determine which products did not have design control activities conducted and retrospectively conduct those activities to ensure products meet design requirements. In addition, you should actively assess if lack of design control activities could have led to the distribution of nonconforming products (aside from review of adverse event or malfunction reports). If any risks are identified, you should take appropriate action to mitigate those risks.
3. Failure to adequately establish and maintain procedures for monitoring and control of process parameters for validated processes to ensure that the specified requirements continue to be met, as required by 21 CFR 820.75(b).
For example: Your firm was unable to provide validation documentation with objective evidence and data for activities related to the manufacturing of medical devices, specifically EtO Sterilization, Heat Sealing Packaging, and UV Glue Curing documented in the Validation Management Control Procedure (Doc No.
(b)(4)
, Ver. No.
(b)(4)
and dated
(b)(4)
), Sealing Machine Sealing Effect Re-Verification Program (Doc No.
(b)(4)
, Ver.
(b)(4)
and dated
(b)(4)
), Sealing Machine Sealing Effect Re-Verification Report (Doc No.
(b)(4)
, Ver.
(b)(4)
and dated
(b)(4)
), UV Curing Re-Verification Program (Doc No.
(b)(4)
, Ver.
(b)(4)
and dated
(b)(4)
). Your firm also did not have personnel familiar with process validation.
We have reviewed your firm’s response in the 483 Corrective Action Plan dated October 8, 2021 and have concluded it is not adequate. You plan to modify the validation management control procedure based on the requirement of 21 CFR 820.75 Process validation, train all validation personnel according to the revised procedure, re-validate all other special processes identified for U.S products such as the ultrasonic cleaning process and ultrasonic welding process, and re-validate the EtO sterilization process, heat sealing packaging process, and UV glue curing process. However, these activities have not been completed. In addition, you have not indicated if or how you plan to assess any potential impacts of the lack of process validation on previously distributed product and how you plan to mitigate any associated risks. To ensure safety and conformity of product, it is important that you assess the potential impact the lack of process validation as described above, may have had on previously distributed products as part of your corrective action plan.
4. Failure to adequately establish and maintain procedures for implementing corrective and preventive action as required by 21 CFR 820.100(a).
For example: Your firm did not provide a severity determination, or a root cause analysis conducted for CAPA events deemed “necessary”. The CAPA states a root cause analysis is required to be conducted only if necessary. However, your firm has not defined what CAPA events are necessary in the Corrective and Preventive Actions Control Procedure (Doc No.
(b)(4)
Ver.
(b)(4)
dated
(b)(4)
). In the document, your firm utilizes an in-process CAPA, which requires a severity determination, which is not defined in the procedure. There is no documented definition, requirement, or guidance in the procedure for the severity determination. Also, no root cause analysis was performed in your firm’s two most recent CAPAs, (Abnormal Manufacturing Process Feedback Memo
(b)(4)
for Model MND11500 and Model MND11200).
We have reviewed your firm’s response in the 483 Corrective Action Plan. The adequacy of the response dated October 8, 2021, cannot be determined at this time. You plan to modify the Corrective and Preventive Action Control Procedure to define severity (Major, Moderate, or Minor), and define what is “necessary” when requiring a root cause analysis. You intend to train relevant personnel of all departments according to the revised procedure. You also state you will investigate the past CAPAs and customer complaints, to confirm whether there is any improper handling of CAPAs or customer complaints, and to evaluate the risks to the products that have been sold in the US market. These actions have not been completed; therefore, the adequacy of these actions cannot be determined until the activities described have been completed and documentation verifying the successful completion of these actions are provided.
5. Failure to adequately establish and maintain procedures to ensure that equipment is routinely calibrated, inspected, checked, and maintained as required by 21 CFR 820.72(a).
For example: Your firm was not able to provide calibration documentation and data related to equipment and instruments including leakage tester and push & pull tester, used in the manufacturing of medical devices intended for the US market. Your firm was able to provide the calibration procedure, Production Equipment Management Control Procedure (Doc No.
(b)(4)
, Ver.
(b)(4)
, and dated
(b)(4)
). However, when calibration documentation for equipment and instruments used during the manufacturing of the Class II Veress Needles, such as their Leakage Tester and Push & Pull Tester, your firm was unable to provide calibration documentation and data.
We have reviewed your firm’s response in the 483 Corrective Action Plan. The adequacy of the response dated October 8, 2021, cannot be determined at this time. You plan to modify the production equipment management control procedure based on the requirements of 21 CFR 820.72(a) and train relevant personnel of quality, production, and warehouse departments according to the revised procedure. You also plan to send Leakage Tester and Push&Pull Tester to the Calibration institute for calibration. Additionally, you state that you will review the impact of their Leakage Tester and Push&Pull Tester on the product test results during the failure period based on the calibration results. Lastly, you plan to review the measuring and test equipment for any of the same issues for other inspection, measuring, and test equipment. These actions have not been completed; therefore, the adequacy of these actions cannot be determined until the activities described have been completed, and documentation verifying the successful completion of these actions are provided.
6. Failure to adequately establish and maintain acceptance procedures, where appropriate, to ensure that specified requirements for in-process product are met as required by 21 CFR 820.80(c).
For example: Your firm’s Veress Needle Quality Inspection Standard (Doc No.
(b)(4)
, Ver.
(b)(4)
, dated
(b)(4)
) is not adequately established, as the quality control personnel were conducting in-process acceptance activities that did not include connection bond testing, and puncture testing of the subject device. Your firm has not established and maintained in-process acceptance activity procedures to ensure specified requirements for in-process products are met. The quality personnel were conducting acceptance activities based on the Inspection Standard used to conduct in-process acceptance activities for the Veress Needles. However, according to the investigator, your firm’s quality staff conducting the in-process acceptance activities were not familiar with the testing process and stated there were no established in-process acceptance procedures for the connection bond and puncture testing. However, in the Semi-Finished Inspection Record (
(b)(4)
), there is a requirement included to conduct a connection bond test and puncture test, that the quality staff conducting the in-process acceptance activities were not familiar with. The requirement listed in the semi-finished inspection record was not included in the final Veress Needle Quality Inspection Standard.
We have reviewed your firm’s response in the 483 Corrective Action Plan dated October 8, 2021, and have concluded it is not adequate. You plan to modify the Veress Needle Quality Inspection Standard and all other quality inspection standards, train relevant personnel of the quality and production department according to the revised Quality Inspection Standards, and perform retrospective review for all products which had been sold for the U.S market, to analyze if there is any quality issue or adverse event occurred. These actions have not been completed. In addition, your firm has not identified plans to evaluate their document control system, to make changes to ensure the requirements are consistent across documents. To ensure conformance to the standard across all relevant in-process acceptance activities, you should evaluate your document control system as part of your corrective action plan.
7. Failure to adequately establish and maintain procedures to ensure that DHR's for each batch, lot, or unit are maintained to demonstrate that the device is manufactured in accordance with the DMR, and the requirements of this part as required by 21 CFR 820.184
For example: Your firm was not able to provide Device History Records for their manufactured medical devices intended and exported to the US market. Your firm was unfamiliar with FDA regulations and requirements for manufactures to include the DHR requirements and their Device History Record Control Procedures (Doc No.
(b)(4)
, Ver.
(b)(4)
and dated
(b)(4)
).
We have reviewed your firm’s response in the 483 Corrective Action Plan. The adequacy of the response dated October 8, 2021, cannot be determined at this time. You state you intend to modify their DHR control procedures based on the requirements of 21 CFR 820.184 and perform sample inspection of
(b)(4)
batches of the subject device based on the revised procedure, to confirm the integrity and correctness of the DHRs. You also plan to train relevant personnel on design, purchasing, quality, production, warehouse, logistics, PMC, and sales department according to the revised procedures and your firm plans to perform a retrospective review for all products which had been sold for the US market. These actions have not been completed; therefore, the adequacy of these actions cannot be determined until the activities described have been completed and documentation verifying the successful completion of these actions are provided.
8. Failure to maintain device master records (DMRs) as required by 21 CFR 820.181.
For example: Your firm has not maintained their Device Master Records related to the subject device, and the personnel was unfamiliar with documents, processes, and medical devices related to the U.S market. Additionally, the manager of the site was not familiar with the FDA regulatory requirements to include DMRs for medical device manufacturers.
We have reviewed your firm’s response in the 483 Corrective Action Plan. The adequacy of the response dated October 8, 2021, cannot be determined at this time. You plan to output DMRs according to the reorganized Device History File for all products exported and intended for the U.S market, and to retrospectively review for all products which have been sold for the US market, to analyze if there are any quality issues or adverse events that have occurred. These actions have not been completed; therefore, the adequacy of these actions cannot be determined until the activities described have been completed and documentation verifying the successful completion of these actions are provided.
Given the serious nature of the violations of the Act, Veress Pneumoperitoneum Needles manufactured by your firm are subject to refusal of admission under section 801(a) of the Act, 21 U.S.C. § 381(a), in that they appear to be adulterated. As a result, FDA is taking steps to refuse entry of these devices into the United States, known as 'detention without physical examination,' until these violations are corrected. In order to remove the devices from detention, your firm should provide a written response to this Warning Letter as described below and correct the violations described in this letter. We will notify you regarding the adequacy of your firm's response(s) and the need to re-inspect your firm's facility to verify that the appropriate corrections and/or corrective actions have been made.
Other federal agencies may take your compliance with the FD&C Act and its implementing regulations into account when considering the award of federal contracts. Additionally, should FDA determine that you have Quality System regulation violations that are reasonably related to premarket approval applications for Class III devices, such devices will not be approved until the violations have been addressed.
Please notify this office in writing, within fifteen business days from the date you receive this letter, of the specific steps your firm has taken to correct the noted violations, as well as an explanation of how your firm plans to prevent these violations, or similar violations, from occurring again. Include documentation of the corrections and/or corrective actions (which must address systemic problems) 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.
Your firm's response should be comprehensive and address all violations included in this Warning Letter. If you believe that your products are not in violation of the FD&C Act, include your reasoning and any supporting information for our consideration as part of your response. Please provide a translation of documentation not in English to facilitate our review.
Your firm's response should be sent to CDRHWarningLetterResponses@fda.hhs.gov, or if e-mail cannot be used:
Food and Drug Administration - CDRH/ORP/DRP2
CDRH Regulatory Inspections and Audit Team, WO66-1434
10903 New Hampshire Ave.
Silver Spring, MD 20993
Refer to CMS case #424228 when replying
. If you have any questions about the contents of this letter, please contact: OHT Assistant Director, Jason Roberts at jason.roberts@fda.hhs.gov or (240)402-6400
Finally, you should know that this letter is not intended to be an all-inclusive list of the violations at your firm's facility. It is your firm's responsibility to ensure compliance with applicable laws and regulations administered by FDA. The specific violations noted in this letter and in the Inspectional Observations, FDA 483, 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 violations, and take prompt actions to correct the violations and bring the products into compliance.
Sincerely Yours,
/S/
Courtney H. Lias, Ph.D.
Office Director
OHT3: Office of GastroRenal, ObGyn,
General Hospital and Urology Devices
Office of Product Evaluation and Quality
Center for Devices and Radiological Health
CC:
Zeyu Chen
238 Fernwood Ave, Edison, NEW JERSEY 08837
Content current as of:
03/22/2022
Regulated Product(s)
Medical Devices