WARNING LETTER
DSAART, LLC. dba Alpha Aesthetics
MARCS-CMS 618157 —
November 24, 2021
Delivery Method:
VIA Electronic Mail
Product:
Medical Devices
Recipient:
Recipient Name
Douglas Steinbrech
Recipient Title
Owner and President
DSAART, LLC. dba Alpha Aesthetics
2950 Arrowhead Dr.
Carson City
,
NV
89706
United States
dss@drsteinbrech.com
Issuing Office:
Center for Devices and Radiological Health
United States
WARNING LETTER
CMS 618157
November 24, 2021
Dear Mr. Steinbrech:
The United States Food and Drug Administration (FDA) conducted an inspection of your medical device operations at 2950 Arrowhead Dr., Carson City, NV 89706 from July 19, 2021 through August 5, 2021. During the inspection, an FDA Investigator determined that your firm is a manufacturer of silicone facial and body contouring implants. 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 your silicone implant 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 firm’s responses dated August 27, 2021 and September 24, 2021 concerning our Investigator’s observations noted on the Form FDA 483, List of Inspectional Observations (FDA 483) that was issued on August 5, 2021. We acknowledge your firm’s response states you have hired a 3rd party consultant to assist with your corrective actions. Additionally, your response includes corrective and preventive action (CAPA) records opened for each observation listed on the FDA 483, Inspectional Observations. We address each response below.
1. Failure to adequately ensure that when the results of a process cannot be fully verified by subsequent inspection and test, the process shall be validated with a high degree of assurance and approved according to established procedure, as required by 21 CFR 820.75(a). For example,
a. Your firm uses a
(b)(4)
,
(b)(4)
designated
(b)(4)
, to sterilize your silicone implant devices. Your firm has not qualified this
(b)(4)
can deliver your
(b)(4)
process with a high degree of assurance.
b. Your firm uses
(b)(4)
to cure your silicone implants as part of your manufacturing process. Your firm has not validated this curing process.
c. Your firm uses
(b)(4)
to seal the packaging for your sterile silicone implants. Your firm has not validated the
(b)(4)
process.
We have reviewed your responses and determined they are inadequate. Your firm’s response dated September 24, 2021 acknowledges your firm has not validated the referenced processes and states your firm is working to identify methods of validation. However, there is insufficient information for us to evaluate the adequacy of these corrective actions as no validation plans have been provided. Further, your response does not address what containment or interim actions your firm intends to take to ensure compliance of products until your firm can complete the required validations.
In regard to your
(b)(4)
, your firm provided “
(b)(4)
”, SOP QA032, Rev. A dated September 8, 2021. However, this procedure does not meet the requirements of 21 CFR 820.75. The provided procedure appears to be an acceptance testing procedure. Your firm’s process validation activities should provide objective evidence your process can consistently produce product or results meeting predetermined acceptance criteria. Our website,
https://www.fda.gov/training-and-continuing-education/cdrh-learn
provides training and references which you may find useful in complying with the process validation and other quality system requirements.
2. Failure to adequately maintain complaint files and establish and maintain procedures for receiving, reviewing, and evaluating complaints by a formally designated unit, as required by 21 CFR 820.198(a). Specifically, your firm has not adequately documented the nature and details of complaints or the dates and results of investigations conducted as required by 21 CFR 820.198(e). Further, your firm has not documented justifications for not conducting investigations for complaints alleging your devices failed to meet specifications as required by 21 CFR 820.198(b). For example,
a. Your firm received complaint 01-014-01 dated January 14, 2021 alleging the physician had trouble implanting the gluteal implant. The complaint record states the device was returned and tested; however, you do not have records of this testing and the results.
b. Your firm received complaint 19-295-01 dated October 22, 2019 identifying the gluteal implant was removed due to the patient suffering from chronic inflammation. The complaint record states the root cause could not be determined; however, it does not document what actions were taken to reach this conclusion.
c. Your firm received complaint 19-324-01 dated November 20, 2019 reporting the gluteal implant was explanted after having broken into three pieces. The complaint record states the doctor refused to provide additional information to complete the complaint record; however, your firm did receive a serial number for the device and did not document any investigation into the event.
d. Your firm received complaint 20-003-01 dated January 3, 2020 which reported the gluteal implant was removed due to swelling. However, the investigation section of the complaint form is blank.
e. Your firm received complaint 20-008-01 dated January 8, 2020 which reported a pectoral implant was removed due to seroma at the implant site. However, the investigation section of the complaint form is blank.
f. Your firm received complaint 20-196-01 dated July 14, 2020 which reported the gluteal implant ruptured and was explanted. The complaint record identifies the patient status after treatment but does not include records the complaint was investigated.
We have reviewed your firm’s response and are unable to determine its adequacy at this time. Your firm’s response includes revisions to your complaint procedure to better define requirements for investigations. Additionally, your response includes documentation showing your firm reevaluated the referenced complaints using your revised complaint form. However, this redocumentation of your complaints does not address the investigation deficiencies identified; the same information originally documented is just redocumented on the new form. Further, your response states your firm will conduct a retrospective review of all complaints received previously, however, this activity has not been completed. It is unclear if your revised complaint procedures effectively ensure your firm will conduct and document thorough complaint investigations moving forward.
3. Failure to establish and maintain adequate procedures for implementing corrective and preventive action, as required by 21 CFR 820.100(a). Specifically, on June 15, 2020, your firm initiated a Corrective and Preventive Action Questionnaire in response to identifying your
(b)(4)
was
(b)(4)
degrees instead of
(b)(4)
degrees as set. Your firm’s questionnaire does not include records indicating if this event occurred in a manner that could affect product. Your record documents your firm conducted a
(b)(4)
; however, your firm did not assess the impact or cause of the process nonconformance.
We have reviewed your responses and determined they are inadequate. Your firm’s response states you have made changes to your CAPA processes including revision to your Corrective and Preventive Action Questionnaire to include changes to scope and risk assessment. However, your corresponding CAPA procedure does not include any revisions to detail how to complete these activities. Additionally, your response does not address any specific review of the CAPA Questionnaire specifically referenced in the observation.
4. Failure to establish and maintain adequate procedures to control product that does not conform to specified requirements, as required by 21 CFR 820.90(a). Specifically, your firm’s Non-Conforming Products and Corrective and Preventive Action (Document Number QA012 Rev. B, Date Effective January 9, 2003) states when nonconforming products are identified, they should be reported to Quality Assurance for disposition. However, the procedure does not describe how this disposition will be documented. Additionally, your firm identified nonconforming products in lots
(b)(4)
(gluteal implant) and
(b)(4)
(pectoral implants) and there is no record of the evaluation and disposition of these nonconforming products.
We have reviewed your responses and determined they are inadequate. Your firm’s response identifies some modifications to your Non-Conforming Products and Corrective and Preventive Action (Document Number QA012 Rev. B, Date Effective January 9, 2003) involving product rework. However, these revised procedures continue to fail to address how the disposition and review of products will be documented. Additionally, your response does not include an evaluation of the two specific examples of nonconforming products listed on the FDA 483.
5. Failure to establish and maintain adequate design validation procedures to ensure that devices conform to defined user needs and intended uses and shall include testing of production units under actual or simulated use conditions, as required by 21 CFR 820.30(g). Specifically, your firm’s Design Control procedure, Document Number QA004 Rev. A, Date effective May 6, 2002 requires design validation to be conducted but does not provide procedures to be followed. Additionally, your firm applies a five-year shelf life to your silicone implants. However, your firm did not adequately validate this shelf life. Your firm provided a memo dated March 17, 2007 identifying products were tested; however, it does not include records identifying the justification for the sample size, test methods used, equipment used, or how many samples were tested after accelerated aging.
We have reviewed your responses and determined they are inadequate. Your firm’s responses state you have revaluated your validation of the 5 year shelf-life and provided the supporting records. However, these records of your validation do not address the deficiencies with the validation identified during the inspection and noted above. Additionally, your provided records only address product sterility testing and do not address if your products continue to meet all appropriate quality specifications over this timeframe.
Our inspection also revealed that your firm’s silicone implant 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 violations include, but are not limited to, the following:
1. Failure to submit a report to FDA no later than 30 calendar days after the day that your firm received or otherwise became aware of information, from any source, that reasonably suggests that a device that your firm markets may have caused or contributed to a death or serious injury, as required by 21 CFR 803.50(a)(1).
For example, the information included for Complaint #19-295-01, #20-003-01 and #20-008-01, reasonably suggests patients sustained an injury or illness (e.g., swelling, chronic inflammation and seromas) after the procedure was conducted using your firm’s Gluteal or Pectoralis Implants. The patient referenced for Complaint #19-295-01 received antibiotics and all patients referenced for each complaint underwent a procedure to explant the device. We believe that device explantation from a patient after sustaining an injury post device implant, represents an event in which your firm’s device may have caused or contributed to patient injury that necessitated medical intervention, such as device explant, to preclude permanent impairment of a body function or permanent damage to a body structure. There is no information included for the complaints that rules out that the device may not have caused or contributed to the referenced serious injuries. Your firm became aware of Complaint 19-295-01 on October 22, 2019; Complaint 20-003-01 on January 3, 2020 and Complaint 20-008-01 on January 8, 2020. Per our records, no serious injury MDR has been received by the FDA for each of the above referenced complaints.
Your firm’s response dated August 27, 2021, is not adequate. The response notes that your firm plans to review its compliance with the 803 requirements,
(b)(4)
employees and submit a report for each MDR reportable event by September 15, 2021. However, your firm did not provide documentation or evidence of the systemic corrective actions, including a retrospective review of its adverse events. In addition, the response did not include evidence that your firm submitted a serious injury report for each of the referenced Complaints.
Your firm’s response dated September 24, 2021, is not adequate. The response notes that your firm continues to
(b)(4)
its MDR reportability process and is in the process of completing enrollment in the electronic MDR submission. However, your firm did not provide documentation or evidence of the systemic corrective actions, including a retrospective review of its adverse events. In addition, the response did not include evidence that your firm submitted a serious injury report for each of the referenced Complaints.
2. Failure to submit a report to FDA no later than 30 calendar days after the day that your firm received or otherwise became aware of information, from any source, that reasonably suggests that a device that your firm markets has malfunctioned and this device or a similar device that it markets would be likely to cause or contribute to a death or serious injury, if the malfunction were to recur, as required by 21 CFR 803.50(a)(2).
For example, the information included for Complaints #19-324-01 and #20-196-01 reasonably suggests that your firm’s device fractured. These fractures were noted after device explant. Per the Preamble, in the
Medical Devices; Medical User Facility and Manufacturer Reporting, Certification and Registration; Final Rule, 60 Fed. Reg. 63585 (Dec. 11, 1995)
, Comment 12, the malfunction of a long-term implantable device is reportable. There is no information included in your firm’s complaints that rules out that the malfunction would not be likely to cause or contribute to a death or serious injury if it were to recur. As such, the referenced complaints meet the definition of an MDR Reportable Event, as defined in 21 CFR 803.3. Your firm became aware of Complaint #19-324-01 on November 20, 2019 and Complaint #20-196-01 on July 12, 2020. Per our records, no malfunction MDR has been received by the FDA for each of the referenced Complaints.
3. Failure to adequately develop, maintain and implement written MDR procedures to establish internal systems that provide for timely transmission of complete medical device reports, as required by 21 CFR 803.17(a)(3). For example, your firm’s MDR procedure titled ”Medical Device Vigilance System and Medical Device Reporting”, SOP QA013, Revision B, dated 5/6/20, does not include a process for submitting MDRs electronically in accordance with 21 CFR 803.20(a)(3).
For information regarding the electronic submission of MDRs, refer to the FDA guidance document
Questions and Answers about eMDR - Electronic Medical Device Reporting
. In addition, see the guidance document
eMDR – Electronic Medical Device Reporting
for details on how to set up an account for submitting these reports.
Your firm should take prompt action to correct the violations addressed in this letter. Failure to promptly correct these violations may result in regulatory action being initiated by the FDA without further notice. These actions include, but are not limited to, seizure, injunction, and civil money penalties. Also, federal agencies may be advised of the issuance of Warning Letters about devices so that they may take this information into account when considering the award of 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 corrected. Also, should FDA determine that your devices do not meet the requirements of the Act, requests for Certificates to Foreign Governments (CFG) may not be granted. If you believe that your products are not in violation of the Act, please respond to FDA with your reasoning and any supporting information for our consideration.
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.
Your response should be sent to: US Food and Drug Administration, Division 3/West, Office of Medical Device and Radiological Health Operations at ORADevices3 FirmResponse@fda.hhs.gov. Please identify your response with FEI 3003897287.
If you have any questions about the contents of this letter, please contact Compliance Officer Jeff R. Wooley at 214-253-5251, or via e-mail at jeffrey.wooley@fda.hhs.gov.
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,
/S/
Shari J. Shambaugh
Program Division Director
Office of Medical Devices and Radiological
Health, Division 3
/S/
Binita S. Ashar, MD, MBA, FACS
Director
OHT 4: Office of Office of Surgery and
Infection Control Devices
Office of Product Evaluation and Quality
Center for Devices and Radiological Health
Content current as of:
12/28/2021
Regulated Product(s)
Medical Devices