eCTD Learnings
Wednesday, September 4, 2019
Ectd Management and beyond original submission
https://www.raps.org/news-and-articles/news-articles/2019/8/ectd-submission-management
Tuesday, March 12, 2019
Part 11- Electronic Records; Electronic Signatures
Part 11- Electronic Records; Electronic
Signatures
For those who have chosen to
maintain the records or submit designated information electronically
The regulations in this part set forth the
criteria under which the agency considers electronic records, electronic
signatures, and handwritten signatures executed to electronic records to be
trustworthy, reliable, and generally equivalent to paper records and
handwritten signatures executed on paper.
This part applies to records in electronic
form that are created, modified, maintained, archived, retrieved, or
transmitted, under any records requirements set forth in agency regulations.
Where electronic signatures and their
associated electronic records meet the requirements of this part, the agency
will consider the electronic signatures to be equivalent to full handwritten
signatures, initials, and other general signings as required by agency
regulations
Electronic records that meet the
requirements of this part may be used in lieu of paper records
Computer systems (including hardware and
software), controls, and attendant documentation maintained under this part
shall be readily available for, and subject to, FDA inspection.
Implementation
For records required to be maintained but
not submitted to the agency, persons may use electronic records in lieu of
paper records or electronic signatures in lieu of traditional signatures, in
whole or in part, provided that the requirements of this part are met.
For records submitted to the agency, persons
may use electronic records in lieu of paper records or electronic signatures in
lieu of traditional signatures, in whole or in part, provided that the requirements of this part are met
ELECTRONIC RECORDS
Electronic record means any combination of text, graphics,
data, audio, pictorial, or other information representation in digital form
that is created, modified, maintained, archived, retrieved, or distributed by a
computer system.
A. Controls for closed systems
Closed
system means an
environment in which system access is controlled by persons who are responsible
for the content of electronic records that are on the system.
Persons who use closed systems to create,
modify, maintain, or transmit electronic records shall employ procedures and
controls designed to ensure the authenticity, integrity, and, when appropriate,
the confidentiality of electronic records, and to ensure that the signer cannot
readily repudiate the signed record as not genuine.
Such procedures and controls shall include
the following:
1. Validation
of systems to ensure accuracy, reliability, consistent intended performance the
ability to discern invalid or altered records.
2. The
ability to generate accurate and complete copies of records in both human
readable and electronic form suitable for inspection, review, and copying by
the agency.
3. Protection
of records to enable their accurate and ready retrieval throughout the records
retention period.
4. Limiting
system access to authorized individuals.
5. Use of
secure, computer-generated, time-stamped audit trails to independently record
the date and time of operator entries and actions that create, modify, or
delete electronic records. Record changes shall not obscure previously recorded
information. Such audit trail documentation shall be retained for a period at
least as long as that required for the subject electronic records and shall be
available for agency review and copying.
6. Use of
operational system checks to enforce permitted sequencing of steps and events,
as appropriate.
7. Use of
authority checks to ensure that only authorized individuals can use the system,
electronically sign a record, access the operation or computer system input or
output device, alter a record, or perform the operation at hand.
8. Use of
device (e.g., terminal) checks to determine, as appropriate, the validity of
the source of data input or operational instruction.
9. Determination
that persons who develop, maintain, or use electronic record/electronic
signature systems have the education, training, and experience to perform their
assigned tasks.
10. The
establishment of, and adherence to, written policies that hold individuals
accountable and responsible for actions initiated under their electronic
signatures, in order to deter record and signature falsification.
11. Use of
appropriate controls over systems documentation including:
·
Adequate controls over the distribution of,
access to, and use of documentation for system operation and maintenance.
·
Revision and change control procedures to
maintain an audit trail that documents time-sequenced development and
modification of systems documentation.
B. Controls for open systems
Open system means
an environment in which system access is not controlled by persons who are
responsible for the content of electronic records that are on the system.
Persons who use open systems to create, modify, maintain, or
transmit electronic records shall employ procedures and controls designed to
ensure the authenticity, integrity, and, as appropriate, the confidentiality of
electronic records from the point of their creation to the point of their
receipt.
Such procedures and controls shall include document
encryption and use of appropriate digital signature standards to ensure, as
necessary under the circumstances, record authenticity, integrity, and
confidentiality.
C.
Signature
manifestations
Signed electronic
records shall contain information associated with the signing that clearly
indicates all of the following:
• The printed name of the signer;
• The date and time when the signature was
executed; and
• The meaning (such as review, approval,
responsibility, or authorship) associated with the signature.
D.
Signature/record linking
Electronic signatures and handwritten
signatures executed to electronic records shall be linked to their respective
electronic records to ensure that the signatures cannot be excised, copied, or
otherwise transferred to falsify an electronic record by ordinary means.
ELECTRONIC SIGNATURES
Electronic
signature means a computer data compilation of any
symbol or series of symbols executed, adopted, or authorized by an individual
to be the legally binding equivalent of the individual's handwritten signature.
Ø Each electronic signature shall
be unique to one individual and shall not be reused by, or reassigned to,
anyone else.
Ø Before an organization
establishes, assigns, certifies, or otherwise sanctions an individual's
electronic signature, or any element of such electronic signature, the
organization shall verify the identity of the individual.
Ø Persons using electronic
signatures shall, prior to or at the time of such use, certify to the agency
that the electronic signatures in their system, used on or after August 20,
1997, are intended to be the legally binding equivalent of traditional
handwritten signatures.
o
The certification shall be submitted
in paper form and signed with a traditional handwritten signature, to the Office of Regional
Operations (HFC-100), 5600 Fishers Lane, Rockville, MD 20857.
o
Persons using electronic signatures shall, upon agency request, provide additional
certification or testimony that a specific electronic signature is the legally binding equivalent
of the signer's handwritten signature.
A.
Electronic signature components and
controls
Ø Electronic signatures that are
not based upon biometrics shall:
o
Employ at least two distinct
identification
components such as an identification code and password.
o
When an individual executes a series
of signings
during a single, continuous period of controlled system access, the first
signing shall be executed using all electronic signature components; subsequent
signings shall be executed using at least one electronic signature component
that is only executable by, and designed to be used only by, the individual.
o
When an individual executes one or more signings
not performed during a single, continuous period of controlled system access, each
signing shall be executed using all of the electronic signature components.
o
Be used only by their genuine owners; and
o
Be administered and executed to ensure that
attempted use of an individual's electronic signature by anyone other than its
genuine owner requires collaboration of two or more individuals.
Ø Electronic signatures based upon
biometrics shall be designed to ensure that they cannot be used by anyone other
than their genuine owners.
B. Controls
for identification codes/passwords
Persons who use electronic signatures based upon use
of identification codes in combination with passwords shall employ controls to
ensure their security and integrity.
Such controls shall include:
Ø
Maintaining
the uniqueness of each combined identification code and password, such that no
two individuals have the same combination of identification code and password.
Ø
Ensuring
that identification code and password issuances are periodically checked,
recalled, or revised (e.g., to cover such events as password aging).
Ø
Following
loss management procedures to electronically deauthorize lost, stolen, missing,
or otherwise potentially compromised tokens, cards, and other devices that bear
or generate identification code or password information, and to issue temporary
or permanent replacements using suitable, rigorous controls.
Ø
Use
of transaction safeguards to prevent unauthorized use of passwords and/or
identification codes, and to detect and report in an immediate and urgent
manner any attempts at their unauthorized use to the system security unit, and,
as appropriate, to organizational management.
Ø
Initial
and periodic testing of devices, such as tokens or cards, that bear or generate
identification code or password information to ensure that they function
properly and have not been altered in an unauthorized manner.
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