Why Is An Audit Trail and Its Review Important?
- Part 11 and Annex 11 / Chapter 4 requirements for audit trail
- Regulatory requirements for audit trail review
- Guidance documents for audit trail review
- Do I really need an audit trail?
Audit trail vs. system log
- Audit trail content
- Log files
- What and when should I review?
- Meaningful audit trails for a meaningful review
Case Study / Faciliated Discussion: Which Audit Trail to Review?
Attendees will be presented with an overview of the audit trails within an application and the content of each one . Which audit trails should be reviewed and when?
What are GMP-relevant Data?
Annex 11 requires that audit trails monitor GMP-relevant data – what are GMP-relevant data?
Case Study / Faciliated Discussion: Identifying GMP Relevant Data
Attendees will be presented with a list of records to identify if they are GMP records and how critical they are to help focus the second person review of audit trail data.Examples from production, laboratory and QA examples of GMP relevant data will be provided
Review of Audit Trail Entries
- Guidance for frequent is “frequent review” of audit trails
- Process versus system: avoiding missing data integrity issues when only focussing on a per system review
- What are we looking for in an audit Review?
- Suspected data integrity violation - What do we need to do?
Case Study / Faciliated Discussion: Reviewing Audit Trail Entries
Attendees will be provided with the output of an audit trail to review and see if any potential issues are identified for further Investigation.
Technical Controls to Aid Second Person Review of Audit Trails
- Technical considerations for audit trail review e.g.
- Identifying data that has been changed or modified – how the system can help
- Documenting the audit trail review has occurred
- Review by exception – how technical controls can help
- Have you specified and validated these functions?
Why is Data Integrity Important? – Setting the Scene
- Summary of falsification observed by FDA and EU inspectors 2005 – to date
- FDAISA act 2012 and October 2014 Guidance for Industry and the impact on inspections
- Inspection of computerised systems is changing: from paper to on-line
- MHRA expectation for data governance; data integrity guidance documents 2016
- FDA Level 2 guidance on data integrity: 2010 and 2014 postings
- Impact of WHO guidance for data integrity
Principles of Data Integrity
- The ALCOA+ criteria for data integrity
- Data life cycle in the process workflow – managing controls
- Paper versus hybrid versus electronic systems
- Validation of computerised systems for data integrity controls
- Scope: production information versus laboratory data: why are laboratory data higher risk?
Case Study / Faciliated Discussion on Key Data Integrity Topics
- Recording results on paper
- Configuration of software applications
- Unique user identities for all users
- Unauthorised access
- Appropriate access privileges for each user role
- Is my chromatographic system ready? Role of “test” injections
- Audit trails – options for older systems
- Manual chromatographic integration
- Standalone versus network systems
- Protecting electronic records of standalone systems
Data Integrity – EU GMP Requirements
- EU GMP Chapter 4 – documentation
- EU GMP Annex 11 computerised systems
- Data integrity definitions
- Difference between paper and electronic systems
WHO, MHRA and GAMP Data Integrity Guidances - Key Points
- Data Governance System within the Pharmaceutical Quality System
- Data Life Cycle
- Spectrum of Systems: Paper to Electronic Systems with data integrity audit
- The GAMP Records and Data Integrity Guide
FDA Draft Guidance for Industry ‘Data Integrity and Compliance with cGMP’
- Questions and Answers regarding Data Integrity
Case Study: Analysis of an FDA Warning Letter
- Trainers will analyse one of several FDA warning letters to identify key areas of regulatory concern
Data Integrity Questions as Part of an Inspection / Data Integrity Observations
- Lab System
- QA System
- Manufacturing System
US 21 CFR 211 and EU GMP Chapter 4: Complete data vs raw data vs primary record
- Why complete data and raw data are important for understanding data integrity
- EU GMP Chapter 4 requirements for raw data
- 21 CFR 211 requirements for laboratory records: complete data
- FDA Level 2 guidance: paper versus e-records
- Complete data / raw data / primary record example
Development and Scope of a Data Governance System
- Within a PQS, what is the scope of a data governance system?
- Who are involved?
- What are their roles?
Implementing Data Integrity Training
- Scope of data integrity training
- What cover in the training?
- Checking training effectiveness
- Integrating data integrity training with GMP Training
Role of Management in Data Integrity
- Role of Senior, Production and Department Management in ensuring data integrity within an organisation and its suppliers
- Data governance within a Quality System
- Failures to address poor data integrity practices and no training
Case Study / Faciliated Discussion: Assessing a System for Data Integrity
- Using a checklist based on the data integrity criteria, trainers will assess a system for data integrity
Data Integrity in Paper Documentation
- GMP requirements for good documentation practice
- Application to paper documents
- Common problems from FDA 483 observations and warning letters and how to avoid them
Case Study: Can Spreadsheets meet Data Integrity Requirements?
- Problems with spreadsheets
- Good Practice for using spreadsheets in a regulated environment
- Building data integrity features into a spreadsheet
User Account Management and Application Configuration
- Separation of roles and responsibilities between IT and the business
- Documentation of the configuration of an application e.g. audit trail, user types and access privileges
- User account management: the dos and don’ts
- User identities must be unique
- Regular review of each system users and privileges
Software Suppliers Responsibility for Data Integrity Compliance
- Regulatory requirements for software systems: procedural and technical
- Role of software suppliers
- Regulations push v market needs pull
- Implementing technical requirements for software: architecture, database and application
- Marketing literature versus marketing bullshit
IT Support for Data Integrity
- IT facilities, environmental controls and physical security
- Qualified IT infrastructure and validated IT systems
- Backup and recovery / Change control
- IT support including database administration
- Impact of IT infrastructure on data integrity
Supply Chain Data Integrity – Organisational Interfaces
- Approaches to ensuring data integrity of your suppliers
- Role of technical agreements and Audits