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When an FDA investigator asks for electronic records

  • 1.  When an FDA investigator asks for electronic records

    Posted 19-Mar-2024 18:47

    An FDA investigator wants access to the company’s electronic records. What should the official escort do?



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    Nancy Singer JD, FRAPS, RAC
    President, Compliance-Alliance
    Compliance-Alliance
    Newport Coast CA
    United States
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  • 2.  RE: When an FDA investigator asks for electronic records

    Posted 20-Mar-2024 04:03

    Having been through a FDA audit in December, my advice would be to be as open as possible and helpful as possible.

    You can also ask for advice on how the documents could be made better as well.

    Lucy



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    Lucy Robertshaw
    CEO
    Holo
    Sweden
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  • 3.  RE: When an FDA investigator asks for electronic records

    Posted 20-Mar-2024 17:12

    Lucy,

    I agree with you about trying to be responsive and efficiently provide FDA investigators with documents that they are entitled to see. Unfortnately, I fear that if you ask an FDA investigator how to improve a document, he/she might tell you that FDA investigators do not serve as consultants.

    It sounds like if you were an investigator, you would be pleased to help. Your attitude is great.



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    Nancy Singer JD, FRAPS, RAC
    President, Compliance-Alliance
    Compliance-Alliance
    Newport Coast CA
    United States
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  • 4.  RE: When an FDA investigator asks for electronic records

    Posted 20-Mar-2024 08:52

    Hi Nancy

    This is a rather broad question.   Which records?

    Audit trails on eQMS ERP document systems and lab equipment (e.g., HPLCs, etc.)?

    Training records?

    HR items?- nope; Financial revords, nope.

    Inform legal counsel, closely supervise if legal counsel oks, note exactly which records with what time stamps, etc. He is looking at. Do not let them drive through the system and wander.

    l you can break down which records, it would be more helpful.

    Thanks!



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    Ginger Cantor, MBA, RAC
    Founder/Principal Consultant
    Centaur Consulting LLC
    River Falls, Wisconsin 54022 USA
    715-307-1850
    centaurconsultingllc@gmail.com
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  • 5.  RE: When an FDA investigator asks for electronic records

    Posted 20-Mar-2024 17:05
    Edited by Nancy Singer 21-Mar-2024 16:22

    Ginger,

    Thanks for your question. I was envisioning documents that FDA was legally entitled to get, such as complaint files or CAPA documents. My initial thought was that, in order for FDA not to list this as a partial refusal for inspection, you ask the investigator what specifically she wants. Then when you find out, ask if she would mind allowing you to provide the documents in paper form? If the investigator says no, then my advice would be to provide her with electronic copies.



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    Nancy Singer JD, FRAPS, RAC
    President, Compliance-Alliance
    Compliance-Alliance
    Newport Coast CA
    United States
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  • 6.  RE: When an FDA investigator asks for electronic records

    Posted 20-Mar-2024 12:40

    In my most recent investigation (October 2023), the FDA investigator requested that documents and records he wanted to be reviewed be presented in electronic form. We refused and only gave him paper copies to review. Our procedures require us to stamp the copies as confidential, and while possible we were not prepared to convert request to a pdf that could be marked as so. FDA accepted the paper copies.



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    Bruce Platt
    Director Quality Assurance
    Ocular Therapeutix, Inc.
    Bedford MA
    United States
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  • 7.  RE: When an FDA investigator asks for electronic records

    Posted 20-Mar-2024 17:13

    Bruce,

    Thanks for sharing your experience. It is great to see what investigators in the field are doing these days.



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    Nancy Singer JD, FRAPS, RAC
    President, Compliance-Alliance
    Compliance-Alliance
    Newport Coast CA
    United States
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  • 8.  RE: When an FDA investigator asks for electronic records

    Posted 21-Mar-2024 09:56

    A great deal can be said about what the official escort should do if an FDA investigator (a.k.a., a law enforcement officer) wants access to a regulated firm's electronic records.  In a nutshell, the firm (whether the official escort or anyone else at the firm) needs to assure that the firm's response properly attends to three key areas:

    a)    General observance of what I call "Good Response Practices" (GRP)
    b)    Regulatory compliance regarding electronic records and signatures
    c)    Cybersecurity

    I give some corresponding overviews below.

    Good Response Practices (GRP) is a deep, broad, multifaceted and crucial topic about which much can be said.  Indeed, my firm gives our clients a dedicated training for this when we are helping them get ready for an upcoming inspection. For brevity, I won't detail all the details of GRP here. But in summary, the essence of GRP revolves around 1) assuring that FDA's questions and records-requests are within the limits of the FD&C Act and the U.S. Constitution, along with FDA's own internal operating procedures (such as those prohibiting the FDA investigator from personally accessing electronic records except in certain situations), and 2) assuring that the firm's responses are truthful, accurate, succinct, cooperative, aligned with the firm's legal counsel, and protective of the firm's intellectual property.  Many specific tactics can be elaborated that must be employed to ensure these goals are met. More sophisticated firms often have a corresponding SOP(s) governing these activities, or else have an outside expert assist them during the FDA inspection.

    Regarding regulatory compliance for electronic records and signatures, the firm must be in compliance with FDA's 21 CFR Part 11 (as reinterpreted by FDA's enforcement discretion) for any records requirements set forth in agency regulations and for any electronic records submitted to the agency under requirements of the FD&C Act and PHS Act.  Again, much can be said about this, and my firm gives entire trainings. But in summary, Part 11 is aimed at assuring proper integrity (e.g., trustworthiness, reliability, etc.) around electronic records and signatures so as to assure that the trustworthiness and reliability of the electronic record/signature is the same as a paper version.  Ultimately, the firm must properly navigate the Part 11 fundamentals when fielding FDA requests for electronic records.  And again, much can be said in this area.  For now, I'll just quickly mention my understanding that, for records which are in fact subject to Part 11, it may be deemed by FDA to be an illegal inspection refusal if the firm refuses FDA's electronic access to such electronic records.  Thus, I recommend corresponding caution when refusing to grant FDA electronic access.

    Regarding cybersecurity, the firm should ask the FDA to explain how the agency will protect the firm's electronic records against cybersecurity threats once the electronic records are in FDA's hands.  FDA has internal operating procedures to protect itself and the firm against such threats.  It doesn't hurt to make the FDA investigator refresh everyone about those cybersecurity procedures, as the firm and FDA often work together to achieve the cybersecurity as the electronic records are prepared for transfer.



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    Kevin Randall, ASQ CQA, RAC (U.S., Europe, Canada)
    Principal Consultant
    Ridgway, CO
    United States
    © Copyright by ComplianceAcuity, Inc. All rights reserved.
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  • 9.  RE: When an FDA investigator asks for electronic records

    Posted 21-Mar-2024 16:27
    Edited by Nancy Singer 21-Mar-2024 16:27

    Kevin,

    Thanks for providing a complete reply. I especially appreciate your idea about asking the FDA about cybersecurity threats.



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    Nancy Singer JD, FRAPS, RAC
    President, Compliance-Alliance
    Compliance-Alliance
    Newport Coast CA
    United States
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  • 10.  RE: When an FDA investigator asks for electronic records

    Posted 21-Mar-2024 09:53
    Edited by John Minier 21-Mar-2024 09:54

    We set up a folder in DropBox and invite the investigator to share that folder (only). That way we can review the documents before uploading to make sure it is the current version and record what was shared.

    We have done this for several FDA inspections and also audits. We have never had a complaint. We have also done this in real time while the investigator or auditor is in on-site and they have always been impressed with our cooperation and the speed of our response.


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    John Minier, RAC
    Consultant, Principal
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  • 11.  RE: When an FDA investigator asks for electronic records

    Posted 21-Mar-2024 16:29

    John,

    That is a great idea. Thanks for the suggestion.



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    Nancy Singer JD, FRAPS, RAC
    President, Compliance-Alliance
    Compliance-Alliance
    Newport Coast CA
    United States
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  • 12.  RE: When an FDA investigator asks for electronic records

    Posted 21-Mar-2024 16:56

    For the sake of FDA document security the investigator could not download the documents, but he could read them while off-site. Any documents he wanted to keep, we gave him on his flash drive. Kind of odd since I was downloading them from the DropBox folder to the flash drive. Anyway, it worked for him.



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    John Minier, RAC
    Consultant, Principal
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  • 13.  RE: When an FDA investigator asks for electronic records

    Posted 27-Mar-2024 10:25

    Hi John,

    Some QA colleagues of mine are interested in this topic and I think your response could be workable for our organization. My question regarding the approach you have outlined is whether the secure file sharing service (e.g. Dropbox, or in our case Egnyte) must be Part 11 compliant?

    Thanks,

    Marshall Hoke



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    Marshall Hoke
    Director of Regulatory Affairs
    Lafayette CO
    United States
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