FY2018 FDA Drug Inspection Observations And Trends

A comprehensive GMP intelligence program includes monitoring of health authority enforcement actions, including FDA Form 483s, Establishment Inspection Reports, warning letters, recalls, import alerts, consent decree agreements, and EU reports of GMDP noncompliance.  This article presents the most recent publication of GMP drug inspection data from CDER, which addresses drug inspections conducted in FY2018.

While the properties section of the document indicates it was created in December 2018, it was only published on the FDA website in September 2019.  We examine data from FY2018 and evaluate six years’ worth of trends in GMP inspection enforcement.  The CDER drug inspection observations supplement the information previously published describing CDER Drug GMP warning letters issued in FY2018.

[NOTE: Knowing enforcement trends is an important part of a comprehensive GMP intelligence program, but so should knowing your inspector.  Click here to get an Inspector Snapshot showing an inspector’s inspection history, citation trends, and issuance rates.]

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Notes on the Data

The presentation of data herein differ from data presented on the FDA website, even though it uses the same raw data.  For example, I combine all observation listings that cite 21 CFR 211.192 into a single value, rather than identifying them in five separate line items with the exact same citation text.  I also consolidate the more than fifteen line items for §211.160(b) into a single line item. §211.88 (a) and (b) are consolidated into a single line rather than being divided into more than twenty line items.  Similar consolidation is done for each of the §211 citations identified in Figure 1.  Consolidating the citations leads to slightly different conclusions.  In my opinion, sometimes, slicing the observations so narrowly, as FDA does, dilutes their impact.  

The FDA’s data includes only Form 483s issued through its electronic system; it does not include Form 483s issued to API manufacturers, because §211 is not applied to those manufacturers, or Form 483s issued outside of the electronic system.  Thus, the data does not represent the FDA’s complete collection of inspection observations for the year. In past years, these data have represented approximately one third of all Form 483s issued, so conclusions must be tempered by the relative incompleteness of the data.

Executive Summary:

  • The number of Form 483s included in this analysis remained reasonably consistent over the past five fiscal years, ranging between 645 and 716 inspections (Figure 1, Row 2).
  • The number of observations citing failures in §211.192 (investigation of discrepancies)  was displaced from the top of this list in FY2018 the first time since before FY2013.
  • The two top citations in FY2018, §211.160(b) (Lab controls should include scientifically sound specifications) and §211.22(d) (Quality unit procedures shall be in writing and shall be followed) were previously second and fourth. 
  • Five specific §211 citations decreased markedly between FY2016 and FY2018.

FDA Form 483 Inspection Observations

Figure 1 shows only the 15 most frequent inspection observation citations between FY2013 and FY 2018, while the tabulation on the FDA website shows all citations used in the fiscal year.  The FDA uses the term “frequency” to represent the number of times the agency identified a specific citation in its tabulation.  Figure 1 presents those observations from the highest to lowest number for 2018, modified as described in the Introduction section of this article.  Both Figure 1 and Figure 2 show consistency in the years between FY2013 and FY2017 with respect to the identity of the 15 most frequent inspection observations.  FY2018, however, saw changes in the seven observation citations.

Figure 3 and Figure 4 show only the seven citations with notable differences between FY2016 and FY2018.  Two regulations increased markedly in the frequency they were cited between 2016 and 2018: §211.160(b) (lab controls should include scientifically sound specifications), and  §211.22(d) (Quality Unit procedures shall be in writing and shall be followed).  These have possibly increased in frequency because of the continued FDA focus on OTC manufacturers, including those outside the US.  These firms often have rudimentary Quality Systems and Quality Units that do not exercise their responsibility or authority. Further, these manufacturers frequently fail to ensure that product is tested and meets specifications prior to release.  These two citations have displaced §211.192 (investigation of discrepancies) from the top position where it has held the honor for many years.

Five regulations saw a significant decrease in the frequency they were cited between 2016 and 2018.  This includes:

  • §211.192 (Investigations of discrepancies)
  • §211.42(c) (Facilities shall include defined areas of sufficient size)
  • §211.188 (Master Production and Control Records)
  • §211.113(b) (Control of microbiological contamination)
  • §211.25(a) (Personnel Qualification)

Two of these citations fell precipitously in frequency.  The frequencies of §211.188 and §211.25(a) fell by more than half between FY2017 and FY2018.  It is interesting that the frequency of citation for §211.113(b) has decreased consistently since FY2015, while the FDA continues to identify sterile drug product manufacture as a high-risk operation and many warning letters identify violations by these type of manufacturers. 

Figure 1: Drug GMP Inspections, §211 Citation Frequency

 

Figure 2 - Drug Inspections 21 CFR 211 Citations

 

Figure 3: FDA Drug Regulation Citations in FY2016 through FY2018 Inspections for Selected Areas

 

Figure 4 - Drug Inspections 21 CFR 211 Citations

Conclusions

For those who use inspection observations to monitor and improve their quality systems, the FDA’s annual data provides ample resources against which firms can measure their potential vulnerabilities and gauge the probable focus areas during upcoming GMP inspections. 

The dramatic increase in the number of times that the FDA cited §211.160(b) between 2016 and  2018 should cause smaller firms, and OTC manufacturers particularly, to ensure they establish scientifically sound specifications and ensure products are tested to meet these prior to distribution.  Also, the lack of adequate written procedures and responsibilities for the Quality Unit, §211.22(d), remains a very consistent citation over the five years addressed herein with heightened visibility in FY2018.  Form 483 observations that include text such as “The Quality Unit is inadequate…” often result in additional enforcement action including warning letters.

While §211.192 (investigations of discrepancies) fell to third place this year, and dropped in frequency of citations this year, it nonetheless remains an important observation.  It would not be prudent to think investigations were no longer important.

[NOTE: Does your company consider an FDA investigator’s inspection history a part of its inspection preparation plan?  If not, start here by receiving an Inspector Snapshot including the investigator’s inspection history, citation trends, and issuance rates.]

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