4Proposed Rule - Reporting Information Regarding Falsification of Data 19-Feb-2010; 75 FR 7412Proposes to amend its regulations to require sponsors to report information indicating that any person has, or may have, engaged in the falsification of data in the course of reporting study results, or in the course of proposing, designing, performing, recording, supervising, or reviewing studies that involve human subjects or animal subjects conducted by or on behalf of a sponsor or relied on by a sponsor.A sponsor would be required to report this information to the appropriate FDA center promptly, but no later than 45 calendar days after the sponsor becomes aware of the information.The requirement for a sponsor to report any confirmed or possible information regarding falsification of data would be ongoing and cover the periods before and after study completion, including after the review, approval, or authorization of the affected product or labeling.
5Proposed Rule - Reporting Information Regarding Falsification of Data BackgroundImpetus for the rule was a clinical investigator (CI) that fabricated data in 91 trials conducted for 47 sponsorsSponsors that learned of the falsification retained the CI, but excluded the data from the clinical databaseCurrent regulations only require sponsors to report to FDA the reasons for terminating the involvement of a CI in a trialThe proposed regulation is intended to close “loop-holes” in current regulations and protect the integrity of the preclearance review process and the welfare of human clinical trial subjects
6Proposed Rule - Reporting Information Regarding Falsification of Data “Falsification” means creating, altering, recording, or omitting data in such a way that the data do not represent what actually occurredCreating data that were never obtained (e.g., making up data or results and recording or reporting them; reporting enrollment in a study of a subject who did not exist; forging the signature on an informed consent form)Altering data by replacing original data with something different that does not accurately reflect study conduct or results (e.g., changing a laboratory measurement to a less extreme deviation from normal)Recording or obtaining data from a specimen, sample, or test whose origin is not accurately described or in a way that does not accurately reflect the data (e.g., changing the date of a specimen, sample, or test; adding a substance not called for in the study to a specimen or sample; identifying a specimen, sample, or test as coming from a specific subject when it came from a source other than the subject)Omitting data that were obtained and would be appropriate for recording based on study design and conduct (e.g., not recording exclusionary medical history or prohibited concomitant medications or treatments; omitting data so that a statistical analysis yields a result that would not have been obtained had all data been analyzed)
8Supply Chain Integrity Congressional Hearing 14-Sep-2011Senate Committee on Health, Education, Labor, and PensionsTestimony from:Deborah Autor, J.D., Deputy Commissioner for Global Regulatory Operations and PolicyAllan Coukell, BScPharm, Director of Medical Programs, Pew Health Group, The Pew Charitable TrustsMarcia Crosse, Ph.D., Director, Health Care, United States Government Accountability OfficeMr. Gordon Johnston, Senior Advisor For Regulatory Sciences Generic Pharmaceutical AssociationKendra Martello, J.D., Assistant General Counsel, PhRMAMartin VanTrieste, R.Ph., Senior Vice President of Quality, Amgen
9Supply Chain Integrity Pew Health Group White Paper - After Heparin: Protecting Consumers from the Risks of Substandard and Counterfeit DrugsEnsure meaningful oversight and quality management of globalized pharmaceutical manufacturingRequire 21st-century quality systems to protect drug safety through statute and regulationStrengthen industry oversight of contract manufacturers and suppliersEnhance documentation and transparency of upstream manufacturing supply chains through legal requirementsImprove testing standardsEliminate barriers to FDA oversightIncrease FDA oversight of overseas manufacturingEnsure adequate FDA resourcesImprove the FDA’s infrastructure and tracking systemsStrengthen oversight of drugs and bulk drug substances at importEmpower the FDA with regulatory authorities it needs to fulfill its missionStrengthen the FDA’s enforcement ability through stronger penalties and clearer accountability for industryImprove FDA access to information from other regulatory bodies and industrySecure pharmaceutical distributionImprove drug distribution security through a federal serialization and verification systemStrengthen wholesaler regulation and oversight
10Pharmaceutical Supply Chain Source: Pew Health Group “After Heparin: Protecting Consumers from the Risks of Substandard and Counterfeit Drugs
16Causes for Concern Material suppliers in China GMP facilities in India Heparin adulterated with oversulfated chondroitin sulfate (OSCS) to cut costs resulting in alleged deaths in USMislabeled diethylene glycol as glycerin incorporated into cough syrup resulting in deaths of adults and children in Panama, Haiti and NigeriaMelamine incorporated into infant formula in China resulted in 6 infant deaths and thousands sickenedMelamine incorporated into pet food in US resulting in death or harm to thousands of petsGMP facilities in IndiaSignificant GMP violationsAlleged falsification of stability dataAlleged falsification of batch recordsFDA invoked AIP against one manufacturer
17Supply Chain Integrity Congressional Hearing 14-Sep-2011Senate Committee on Health, Education, Labor, and PensionsGeneral ConsensusIndustry has principal responsibility for supply chain integrity and qualityFDA needs to increase foreign inspections and inspect based on riskFDA needs additional authority to:Refuse admission, destroy product at the border, and require information (burden of proof on FDA)Mandate recalls and detain drugsShare information with other national regulatory agenciesFDA needs to modernize drug registration and listingUnique facility identificationTrack and trace technology
18Warning Letter Examples Yag-Mag Labs Private Limited (PRC) - API manufacturerBatch records were written months after the batches were manufactured and released for shipmentResidues and corrosion on processing equipment, materials and processing equipment exposed to the outside elements without adequate protection; poorly identified and leaking piping; recessed ground-level floor susceptible to flooding and observed with substantial standing water; and inadequate unsanitary restroom facilitiesPerformed manufacturing operations without written procedures for change control, out-of-specification test results, laboratory deviations, investigation of production discrepancies or deviations, consumer complaint handling, or annual product reviewsStarting material (b)(4), internal lot (b)(4) had come from an unknown supplier via a distributor without product label or manufacturer information
19Warning Letter Examples Nanjing Maohai Biotech Co. (PRC) - API manufacturerThe material is released without adequate review of laboratory control records [from contract laboratory]. The results used for release are summary results accepted via text messaging, , or phone. Contract laboratories are an extension of your operations and, as such, your quality unit is responsible for all data acquired at the contract laboratories you choose to use.The quality unit fails to thoroughly investigate and resolve all quality-related complaints.The firm did not evaluate the suppliers of (b)(4), (b)(4) and (b)(4), all used in the manufacturing process of (b)(4). The firm currently accepts certificates of analysis (COA) from unevaluated suppliers in lieu of testing each batch of an incoming component to ensure conformity with the established specifications.
20Warning Letter Examples Pharmaceutical Company Jelfa SA (Poland) - Finished Pharmaceutical ManufacturerThe firm failed to thoroughly investigate the failure of a batch or any of its components to meet its specifications. No investigation of the manufacturing process and facility controls was performed following failed sterility tests.The firm did not establish appropriate written procedures designed to prevent microbiological contamination of drug products. During the aseptic filling of two injection batches on filling line employees were observed following poor aseptic techniques.The quality control unit did not adequately exercise its responsibilities to approve procedures or specifications that may impact the identity, strength, quality, and purity of the drug product. Repeat citations from prior inspections indicated that the quality control unit is not exercising its responsibilities, and may not have the appropriate authority to carry out its responsibilities.“This inspection identified other worrisome deficiencies […] includ[ing], but not limited, to: inadequate vendor qualification of your API suppliers”
21Warning Letter Examples Ningbo Smart Pharmaceutical Co. Ltd. (PRC) - API ManufacturerThe QCU unit failed to ensure that materials were appropriately tested and the results were reported. The QCU approved the release of four batches of material without data to support that the test for organic volatile impurities (OVI) met release specifications. Certificates of Analysis stated that OVI levels conformed to specifications, but the inspection found that no testing was done.The QCU released API lots to the U.S. without assuring that all required tests were performed. The QCU also failed to detect that the COAs stated that OVI results conformed to specifications, although the test was not performed.“It is essential that your firm only report results to customers when you have actually performed the analysis.”
23IT OutsourcingPresentation by Bob Tollefsen, National Expert Investigator – Computerized Systems to SQA 22-Sep-2011Emphasized that FDA’s objective is to ensure the integrity of records that are used to support research and marketing permitsIssues with IT and electronic recordkeeping will be enforced through predicate rulesReviewed several GMP cases where flaws in computerized systems resulted in problems with data integrity and product qualityExpressed concern with outsourcing regulated activities to organizations that traditionally have not operated in a regulated environmentExpressed the expectation for the relationships will be specified in a written agreement and that service providers have a viable quality management system in place.FDA is forming a working group to review FDA’s authority over IT service providers, approaches to monitoring, and topics for guidance (e.g., Cloud Computing)
2421 CFR Part 11 Possible revision ? July 2010 FDA published press release stating intent to increase enforcement profile of part 11GoalsInspections will assess industry understanding and complianceInspections will assess how industry is ensuring the integrity of electronic recordsFDA will assess data integrity and computerized system validation of inspectional observations since 2007Determine next stepsFDA will take appropriate action to enforce part 11 for issues observed during inspections that do not fall under enforcement discretion discussed in Scope and Application Guidance, i.e., required by predicate rulesPart 11 was always intended to be enforced through predicate rule requirements
25Warning Letter Examples Noven Pharmaceuticals, Inc. – Finished Pharmaceutical Manufacturer“Your firm has failed to exercise appropriate controls over computer or related systems to assure that changes in master production and control records, or other records, are instituted only by authorized personnel [21 C.F.R § (b)].For example, your firm has failed to periodically conduct back-up procedures for the (b)(4) Server, Equipment (b)(4) (Building (b)(4), Room (b)(4)) since August [January 2011 inspection] This server was used to store, back-up, and/or archive raw test data from computer systems (Software: (b)(4)) controlling and monitoring (b)(4) High-performance liquid chromatography (HPLC) systems in accordance to SOP, (b)(4), titled, “(b)(4).” During the inspection, the (b)(4) server was observed as being tagged out-of-service since February 2009.In your response, your firm states that you have revised your procedure to include the implementation and installation of qualified (b)(4) backup software on (b)(4) server to allow for remote backup. Your response, however, is inadequate because you fail to adequately address whether you were able to recover the critical data not backed-up between August 2010 and when you first implemented the daily backup process. Your firm has yet to indicate whether HPLC raw data records could be retrieved for the duration of time that the (b)(4) server was not backing-up the HPLC system data.”
26Warning Letter Examples Signal Medical Corporation – Device Manufacturer“Failure to validate computer software for its intended use according to an established protocol, as required by (i). Your firm uses the (b)(4) for in-process and final product testing for the (b)(4) and the (b)(4). Your firm conducted software validation for the (b)(4) and the results are included in the Software Validation Report, dated February 11, The (b)(4). The validation compared the measurement of the (b)(4) with the optical comparator and the air gage for the femoral knee on the (b)(4). However, your firm uses the (b)(4) for conducting a surface a (b)(4) during the (b)(4). The (b)(4) is used for measuring the top profile on the (b)(4) during manufacturing. The software validation of the (b)(4) did not address (b)(4).”
27Warning Letter Examples Noli R. Zosa, M.D. – Clinical InvestigatorYou failed to prepare and maintain adequate and accurate case histories that record all observations and other data pertinent to the investigation on each individual administered the investigational drug [21 CFR (b)].Protocol #433 stated the following:Clinical data will be entered into electronic Case Report Forms (eCRFs). Data on eCRFs must correspond to and be supported by source documentation maintained at the investigational site, unless the site makes direct data entry for which no other original or source documentation is maintained. In such cases, the site should document which eCRFs are subject to direct data entry and should have in place procedures to obtain and retain copies of the information submitted by direct data entry. FDA’s investigation found that there was no source documentation at your site to corroborate data entered into the eCRF for any of the enrolled subjects, nor did we find documentation regarding which eCRFs were subject to direct data entry, or which procedures were in place to obtain and retain copies of information submitted by direct data entry. The following items, for example, were not found in subjects’ files: ophthalmologist assessment reports, visual acuity assessment reports, laboratory reports, subjects’ medical charts, bacterial and viral culture laboratory reports for all culture samples collected, and subject’s worksheets documenting daily administration of study drug. Therefore, we are unable to verify the accuracy of the data submitted to the sponsor.