Some time ago we published a GMP News about the SOPs which are required according to the GMP regulations. This time we will list the records which are demanded by US law. The FDA will demand these records either by paper or by electronic means.
The general requirements for recordkeeping is defined in § 211.180. The records must be retained for at least 1 year after the expiration date of the batch and, for certain over-the-counter (OTC) drugs, 3 years after distribution of the batch (§ 211.180(a)). All records mentioned in 21 CFR 211 must be readily available for authorized inspections during the retention period (§ 211.180(c)), and such records may be retained either as original records or as true copies (§ 211.180(d)). In addition, companies may use electronic records. For this the computer system needs to be validated and the special requirements defined in 21 CFR Part 11 on Electronic Records and Signature need to be met.
The following records need to be kept and archived (the following list is taken from a Federal Register Notice:
Section 211.34-. Records about Consultants must be maintained stating the name, address, and qualifications of any consultants and the type of service they provide.
Section 211.67(c)-Records must be kept of maintenance, cleaning, sanitizing, and inspection as specified in §§ 211.180 and 211.182.
Section 211.68(a)-Records must be maintained of calibration checks, inspections, and computer or related system programs for automatic, mechanical, and electronic equipment.
Section 211.68(b)-All appropriate controls must be exercised over all computers or related systems and control data systems to assure that changes in master production and control records or other records are instituted only by authorized persons.
Section 211.72-Filters for liquid filtration used in the manufacture, processing, or packing of injectable drug products intended for human use must not release fibers into such products.
Section 211.80(d)-Each container or grouping of containers for components or drug product containers or closures must be identified with a distinctive code for each lot in each shipment received. This code must be used in recording the disposition of each lot. Each lot must be appropriately identified as to its status.
Section 211.100(b)-Written production and process control procedures must be followed in the execution of the various production and process control functions and must be documented at the time of performance. Any deviation from the written procedures must be recorded and justified.
Section 211.105(b)-Major equipment must be identified by a distinctive identification number or code that must be recorded in the batch production record to show the specific equipment used in the manufacture of each batch of a drug product. In cases where only one of a particular type of equipment exists in a manufacturing facility, the name of the equipment may be used in lieu of a distinctive identification number or code.
Section 211.122(c)-Records must be maintained for each shipment received of each different labeling and packaging material indicating receipt, examination, or testing.
Section 211.130(e)-Inspection of packaging and labeling facilities must be made immediately before use to assure that all drug products have been removed from previous operations. Inspection must also be made to assure that packaging and labeling materials not suitable for subsequent operations have been removed. Results of inspection must be documented in the batch production records.
Section 211.132(c)-Certain retail packages of OTC drug products must bear a statement that is prominently placed so consumers are alerted to the specific tamper-evident feature of the package. The labeling statement is required to be so placed that it will be unaffected if the tamper-resistant feature of the package is breached or missing. If the tamper-evident feature chosen is one that uses an identifying characteristic, that characteristic is required to be referred to in the labeling statement.
Section 211.132(d)-A request for an exemption from packaging and labeling requirements by a manufacturer or packer is required to be submitted in the form of a citizen petition under 21 CFR 10.30.
Section 211.137-Requirements regarding product expiration dating and compliance with 21 CFR 201.17.
Section 211.160(a)-The establishment of any specifications, standards, sampling plans, test procedures, or other laboratory control mechanisms, including any change in such specifications, standards, sampling plans, test procedures, or other laboratory control mechanisms, must be drafted by the appropriate organizational unit and reviewed and approved by the quality control unit. These requirements must be followed and documented at the time of performance. Any deviation from the written specifications, standards, sampling plans, test procedures, or other laboratory control mechanisms must be recorded and justified.
Section 211.165(e)-The accuracy, sensitivity, specificity, and reproducibility of test methods employed by a firm must be established and documented. Such validation and documentation may be accomplished in accordance with § 211.194(a)(2).
Section 211.166-Stability testing program for drug products.
Section 211.173-Animals used in testing components, in-process materials, or drug products for compliance with established specifications must be maintained and controlled in a manner that assures their suitability for their intended use. They must be identified, and adequate records must be maintained showing the history of their use.
Section 211.180(e)-Written records required by part 211 must be maintained so that data can be used for evaluating, at least annually, the quality standards of each drug product to determine the need for changes in drug product specifications or manufacturing or control procedures. Written procedures must be established and followed for such evaluations and must include provisions for a representative number of batches, whether approved or unapproved or rejected, and a review of complaints, recalls, returned, or salvaged drug products, and investigations conducted under § 211.192 for each drug product.
Section 211.180(f)-Procedures must be established to assure that the responsible officials of the firm, if they are not personally involved in or immediately aware of such actions, are notified in writing of any investigations, conducted under § 211.198, 211.204, or 211.208, any recalls, reports of inspectional observations issued, or any regulatory actions relating to good manufacturing practices brought by FDA.
Section 211.182-Specifies requirements for equipment cleaning records and the use log.
Section 211.184-Specifies requirements for component, drug product container, closure, and labeling records.
Section 211.186-Specifies master production and control records requirements.
Section 211.188-Specifies batch production and control records requirement.
Section 211.192-Specifies the information that must be maintained on the investigation of discrepancies found in the review of all drug product production and control records by the quality control staff.
Section 211.194-Explains and describes laboratory records that must be retained.
Section 211.196-Specifies the information that must be included in records on the distribution of the drug.
Section 211.198-Specifies and describes the handling of all complaint files received by the applicant.
Section 211.204-Specifies that records be maintained of returned and salvaged drug products and describes the procedures involved.