FDA's 21 CFR 11 rules
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Transcript of FDA's 21 CFR 11 rules
21 CFR PART 11 REGULATIONS21 CFR PART 11 REGULATIONSRECOMMENDATIONS FOR CHANGESRECOMMENDATIONS FOR CHANGES
FDA PUBLIC MEETING ON PART 11 FDA PUBLIC MEETING ON PART 11 REGULATIONS – JUNE 11, 2004REGULATIONS – JUNE 11, 2004
NATIONAL ELECTRICAL MANUFACTURERS
ASSOCIATION (NEMA)
RICHARD EATON - NEMA
RAVI NABAR, PH.D. – EASTMAN KODAK
National Electrical Manufacturers National Electrical Manufacturers Association (NEMA)Association (NEMA)
- Largest U.S. trade association representing America’s electroindustry
- Diagnostic Imaging and Therapy Systems Division of NEMA represents manufacturers of:X-ray, CT, diagnostic ultrasound, magnetic resonance,
nuclear medicine imaging, radiation therapy and medical imaging informatics equipment
- Member of Part 11 Coalition
OVERVIEWOVERVIEW
- Original intended objectives of Part 11 Regulations
- “The Problem” – Part 11 Duplication of Predicate Rules
- NEMA presentation addresses Question 3 – Part 11 Subpart B Electronic Records
- Proposed Solution
Original intended key objectives of Original intended key objectives of Part 11 RegulationsPart 11 Regulations
- Retention/documentation of records
- Integrity/security of Records
- FDA Access to Records
- Authentication of Electronic Signatures
- Accountability for Maintaining Records System
- Validation
““THE PROBLEM”THE PROBLEM”DUPLICATION – PART 11 AND DUPLICATION – PART 11 AND
PREDICATE RULESPREDICATE RULES
- Part 11 Regulations’ Objectives covered by Predicate Rules
- Part 11 Regulations are too prescriptive- Part 11 Regulations + Predicate Rules –
Duplicative and Confusing- Duplicative Regulations are Contrary to “least
burdensome” principles to minimize excess regulation
PROPOSED SOLUTIONSPROPOSED SOLUTIONS
ALTERNATIVE A:– Withdraw Part 11 Regulations in favor of
Predicate Rules
ALTERNATIVE B:– Change Part 11 Regulations to “Guidance”
document
PREDICATE RULES ADDRESS PREDICATE RULES ADDRESS PART 11 OBJECTIVESPART 11 OBJECTIVES
- Quality System Regulation
- Medical Device Reporting
- Corrections and Removals
- Good Laboratory Practices
QUALITY SYSTEM REGULATION QUALITY SYSTEM REGULATION DUPLICATED BY PART 11 REGS. *DUPLICATED BY PART 11 REGS. *
PART 11 REGS. - 21 CFR 11.10(a) Validation of Systems- 21 CFR 11.10(b) Controls – Closed Systems -Generate copies of records for inspection- 21 CFR 11.10(c) Protection of Records to enable retrieval
LIMIT ACCESS TO AUTHORIZED INDIVIDUALS
OPERATIONAL SYSTEM CHECKS
QSR REGULATION- 21 CFR 820.70 (i) Production/Process Controls- 21 CFR 820.40 – Document Controls- 21 CFR 820.180 – General Requirements
- 21 CFR 820.40, 820.180 * Intent of Predicate Rules is the
same as Part 11 Regulations, but less prescriptive
QUALITY SYSTEM REGULATION QUALITY SYSTEM REGULATION DUPLICATED BY PART 11 REGS. DUPLICATED BY PART 11 REGS.
PART 11 REGS.-21 CFR 11.10(d)Limit Access to authorized
individuals
-21 CFR 11.10(e)Use of computer-generated
audit trails
QSR REGULATION
-21 CFR 820.40
Document Controls
-21 CFR 820.20
Mgmt. Responsibility
-21 CFR 820.40
Document Controls
QUALITY SYSTEM REGULATIONQUALITY SYSTEM REGULATIONCOMPARED WITH PART 11 REGS.COMPARED WITH PART 11 REGS.
Part 11 REGS.
-21 CFR 11.10(f)
Operational checks
-21 CFR 11.10(g)
Authority checks
-21 CFR 11.10(h)
Device checks
QSR REGULATION
-21 CFR 820.70
Prod./Process control
-21 CFR 820.20
Mgmt. responsibility
-21 CFR 820.25
Personnel
QUALITY SYSTEM REGULATIONQUALITY SYSTEM REGULATIONDUPLICATED BY PART 11 REGS.DUPLICATED BY PART 11 REGS.
PART 11 REGS.
-21 CFR 11.10(i)Education - personnel
-21 CFR 11.10(j)Accountability
-21 CFR 11.10(k)Controls – system
documentation
QSR REGULATION
-21 CFR 820.25Personnel
-21 CFR 820.20Mgmt. Responsibility
-21 CFR 820.40Document Controls
MEDICAL DEVICE REPORTING MEDICAL DEVICE REPORTING REGULATION COMPARED WITH REGULATION COMPARED WITH
PART 11 REGULATIONSPART 11 REGULATIONS
PART 11 REGS.
- 21 CFR 11.10(b)
Controls – generate copies of records for inspection
- 21 CFR 11.10(c)
Protection of records to enable retrieval
MDR REGULATION
- 21 CFR 803.1
Maintain Records
MEDICAL DEVICE REPORTING MEDICAL DEVICE REPORTING REGULATION COMPARED WITH REGULATION COMPARED WITH
PART 11 REGULATIONSPART 11 REGULATIONS
PART 11 REGS.
- 21 CFR 11.10(b) Controls
- 21 CFR 11.10(b)
Controls
- 21 CFR 11.10(k)
Controls – System Documentation
MDR REGULATION
- 21 CFR 803.10
Required Reports
- 21 CFR 803.14
Electronic Reporting
- 21 CFR 803.17
Written MDR Procedures
MEDICAL DEVICE REPORTING MEDICAL DEVICE REPORTING REGULATION COMPARED WITH REGULATION COMPARED WITH
PART 11 REGULATIONSPART 11 REGULATIONS
PART 11 REGS.
- 21 CFR 11.10(e)
Audit trails
- 21 CFR 11.10(k)
Controls – system documentation
MDR REGULATION
- 21 CFR 803.18
File/Distributor Reports (MDR events)
CORRECTIONS AND REMOVALS CORRECTIONS AND REMOVALS REGULATION COMPARED WITH REGULATION COMPARED WITH
PART 11 REGULATIONSPART 11 REGULATIONS
PART 11 REGS.
- 21 CFR 11.10(b)
Controls- 21 CFR 11.10 (c)
Protection of Records
CORRECT. AND REMOVALS REG.
- 21 CFR 806.1
Maintain Records
CORRECTIONS AND REMOVALS CORRECTIONS AND REMOVALS REGULATION COMPARED WITH REGULATION COMPARED WITH
PART 11 REGULATIONSPART 11 REGULATIONSPART 11 REGS.
- 21 CFR 11.10(b)
Controls
CORRECT. AND REMOVALS REG.
- 21 CFR 806.10
Corrections and Removals Reports
CORRECTIONS AND REMOVALS CORRECTIONS AND REMOVALS REGULATION COMPARED WITH REGULATION COMPARED WITH
PART 11 REGULATIONSPART 11 REGULATIONS
PART 11 REGS.
- 21 CFR 11.10(b)
Controls
CORRECT. AND REMOVALS REG.
- 21 CFR 806.30
FDA Access to Records
GOOD LABORATORY PRACTICE GOOD LABORATORY PRACTICE REGULATION COMPARED WITH REGULATION COMPARED WITH
PART 11 REGULATIONSPART 11 REGULATIONS
PART 11 REGS.
- 21 CFR 11.10(b)
Records for inspection
- 21 CFR 11.10(i)
Education/training of personnel
GOOD LAB. PRACTICE REG.
- 21 CFR 58.15
Inspection of records
- 21 CFR 58.29
Personnel – education and training
GOOD LABORATORY PRACTICE GOOD LABORATORY PRACTICE REGULATION COMPARED WITH REGULATION COMPARED WITH
PART 11 REGULATIONSPART 11 REGULATIONS
PART 11 REGS.
- 21 CFR 11.10 ( c )
Protection of records
- 21 CFR 11.10 (k)
Appropriate controls over system documentation
GOOD LAB. PRACTICE REG.
- 21 CFR 58.33
Study Director – responsibility for documentation
GOOD LABORATORY PRACTICE GOOD LABORATORY PRACTICE REGULATION COMPARED WITH REGULATION COMPARED WITH
PART 11 REGULATIONSPART 11 REGULATIONSPART 11 REGS.
- 21 CFR 11.10(g) authority system checks- 21 CFR 11.10(k) Appropriate controls over
system documentation - 21 CFR 11.30 Controls over open
systems
GOOD LAB. PRACTICE REG.
- 21 CFR 58.35
Quality Assurance Unit
GOOD LABORATORY PRACTICE GOOD LABORATORY PRACTICE REGULATION COMPARED WITH REGULATION COMPARED WITH
PART 11 REGULATIONSPART 11 REGULATIONS
PART 11 REGS.
- 21 CFR 11.10 ( c )
Controls over system documentation
GOOD LAB. PRACTICE REG.
- 21 CFR 58.81
Written standard operating procedures
GOOD LABORATORY PRACTICE GOOD LABORATORY PRACTICE REGULATION COMPARED WITH REGULATION COMPARED WITH
PART 11 REGULATIONSPART 11 REGULATIONS
PART 11 REGS.
- 21 CFR 11.10(c) Protection of records- 21 CFR 11.10(k) Appropriate controls
over system documentation
GOOD LAB. PRACTICE REG.
- 21 CFR 59.190
Storage and retrieval
of records
GOOD LABORATORY PRACTICE GOOD LABORATORY PRACTICE REGULATION COMPARED WITH REGULATION COMPARED WITH
PART 11 REGULATIONSPART 11 REGULATIONS PART 11 REGS.
- 21 CFR 11.10( c) Protection of records- 21 CFR 11.10(k)
Appropriate controls for system documentation
GOOD LAB. PRACTICE REG.
- 21 CFR 58.195
Retention of records
PREDICATE RULESPREDICATE RULES
- Acceptance by FDA and Industry- Part of Established Product Approval Process- Part of Long-Established Medical Device GMP Practice- Adequately Protects Public Health- Comprehensive – Covers all phases of product design,
development, manufacture and correction and problem reporting
CONCLUSION AND CONCLUSION AND RECOMMENDATIONSRECOMMENDATIONS
- Part 11 Rules are duplicative, burdensome and too prescriptive
- Withdraw Part 11 Regulations in favor of predicate rules
- Convert Part 11 Regulations to a less prescriptive, risk-based guidance document
- NEMA ‘s goal is to work with FDA to achieve a practical regulatory solution which will meet the objectives of both FDA and industry