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U.S. Department of Health and Human Services

Inspections, Compliance, Enforcement, and Criminal Investigations

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FY 2009 Inspectional Observation Summaries

 

Number of 483s issued from the System* 

Inspections ending between 10/1/2008 12:00:00 AM and 9/30/2009 12:00:00 AM

Center Name 483s issued
Foods 2084
Devices 778
Drugs 594
Bioresearch monitoring 391
Incidental text 329
Biologics 228
Parts 1240 and 1250 205
Veterinary medicine 156
Human tissue for transplantation 109
Special requirements 6
Radiological health 5
Sum Product Area 483s from System* 4885
Actual Total in system 483s** 4367

* This table does not represent the complete set of 483's issued during the fiscal year as some 483's were manually prepared and not available in this format. The sum of 483's for all Product Areas will be greater than the actual Total 483's issued during the fiscal year since a 483 may include citations related to multiple product areas, and counted more than once, under each relevant product center.

** This is the Actual Total number of 483's issued from this system, and that are represented in this spreadsheet.

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Foods

Center Name Cite Id Ref No Frequency Short Description Long Description
Foods 1560 21 CFR 110.35(c) 364 Lack of effective pest exclusion Effective measures are not being taken to [exclude pests from the processing areas] [protect against the contamination of food on the premises by pests].  Specifically, ***
1524 21 CFR 123.11(b) 258 Sanitation monitoring You are not monitoring the sanitation conditions and practices with sufficient frequency to assure conformance with Current Good Manufacturing Practices including [safety of water that comes into contact with food or food contact surfaces, including water used to manufacture ice] [condition and cleanliness of food contact surfaces] [prevention of cross-contamination from insanitary objects] [maintenance of hand washing, hand sanitizing, and toilet facilities] [protection of food, food packaging material, and food contact surfaces from adulteration] [proper labeling, storage and use of toxic chemicals] [control of employee health conditions] [exclusion of pests].  Specifically, ***
1306 21 CFR 110.20(b)(7) 220 Screening Failure to provide adequate screening or other protection against pests.  Specifically, ***
1422 21 CFR 110.20(b)(4) 202 Floors, walls and ceilings The plant is not constructed in such a manner as to allow [floors] [walls] [ceilings] to be [adequately cleaned and kept clean] [kept in good repair]. Specifically, ***
905 21 CFR 123.6(b) 200 HACCP plan implementation You did not implement the [monitoring] [recordkeeping] [verification] procedures listed in your HACCP plan.  Specifically, ***
1553 21 CFR 110.35(a) 199 Buildings/good repair Failure to maintain [buildings] [fixtures] [physical facilities] in repair sufficient to prevent food from becoming adulterated.  Specifically, ***
1552 21 CFR 110.35(a) 191 Buildings/sanitary Failure to maintain buildings, fixtures, or other physical facilities in a sanitary condition.  Specifically, ***
1525 21 CFR 123.11(c) 161 Sanitation Records You are not maintaining sanitation control records that document [monitoring] [corrections of sanitation deficiencies] for [safety of water that comes into contact with food or food contact surfaces, including water used to manufacture ice] [condition and cleanliness of food contact surfaces] [prevention of cross-contamination from insanitary objects] [maintenance of hand washing, hand sanitizing, and toilet facilities] [protection of food, food packaging material, and food contact surfaces from adulteration] [proper labeling, storage and use of toxic chemicals] [control of employee health conditions] [exclusion of pests].  Specifically, ***
1695 21 CFR 110.80(b)(2) 159 Manufacturing conditions Failure to [manufacture] [package] [store] foods under conditions and controls necessary to minimize [the potential for growth of microorganisms] [contamination].  Specifically, ***
1554 21 CFR 110.35(a) 151 Cleaning and sanitizing operations Failure to conduct cleaning and sanitizing operations for utensils and equipment in a manner that protects against contamination of [food] [food-contact surfaces] [food-packaging materials].  Specifically, ***
1287 21 CFR 110.20(a)(1) 149 Harborage areas Failure to [properly store equipment] [remove litter and waste] [cut weeds or grass] that may constitute an attractant, breeding place, or harborage area for pests, within the immediate vicinity of the plant buildings or structures.  Specifically, ***
1427 21 CFR 110.20(b)(5) 143 Safety lighting and glass Failure to provide safety-type [light bulbs] [lighting fixtures] [skylights] [glass] suspended over exposed food.  Specifically, ***
904 21 CFR 123.6(b) 139 No HACCP plan You do not have a written HACCP plan that outlines controls for a food safety hazard that is reasonably likely to occur.  Specifically, ***
1424 21 CFR 110.20(b)(4) 137 Drip and condensate The plant is not constructed in such a manner as to prevent [drip] [condensate] from contaminating [food] [food-contact surfaces] [food-packaging materials]. Specifically, ***
6004 21 CFR 123.6(c)(4) 129 Monitoring - adequacy Your HACCP plan lists monitoring [procedures] [frequencies] that do not ensure compliance with the critical limit.  Specifically***
961 21 CFR 123.6(c)(3) 127 Critical limits Your HACCP plan [does not list a critical limit that ensures control of one or more hazards] [lists a critical limit that does not ensure control of one or more hazards].  Specifically,
960 21 CFR 123.6(c)(2) 124 Critical control points Your HACCP plan does not list one or more critical control points that are necessary for each of the identified food safety hazards.  Specifically, ***
1689 21 CFR 110.80 123 Reasonable precautions All reasonable precautions are not taken to ensure that production procedures do not contribute contamination from any source. Specifically, ***
1556 21 CFR 110.35(b)(2) 122 Storage requirements Failure to properly [identify] [hold] [store] toxic [cleaning compounds] [sanitizing agents] [pesticide chemicals] in a manner that protects against contamination of [food] [food-contact surfaces] [food-packaging materials].  Specifically, ***
1701 21 CFR 110.80(b)(7) 121 Equipment, containers, utensils Failure to [construct] [handle] [maintain] equipment, containers and utensils used to [convey] [hold] [store] food in a manner that protects against contamination.  Specifically, ***
2386 21 CFR 110.80(a)(1) 121 Storage Failure to store raw materials in a manner that [protects against contamination] [minimizes deterioration].  Specifically, ***
1007 21 CFR 110.10(b)(9) 118 Precautions against contamination--micro, foreign substances Failure to take necessary precautions to protect against contamination of [food] [food contact surfaces] [food packaging systems] with [microorganisms] [foreign substances].  Specifically, ***
908 21 CFR 123.6(d) 117 Signed and dated Your HACCP plan was not signed and dated [upon initial acceptance] [upon modification] [at least annually].  Specifically, ***
959 21 CFR 123.6(c)(1) 114 Food safety hazards Your HACCP plan does not list the food safety hazards that are reasonably likely to occur.  Specifically, ***
990 21 CFR 110.10(b)(3) 112 Not washed/sanitized when appropriate Employees did not [wash] [sanitize] hands thoroughly in an adequate hand-washing facility [before starting work] [after each absence from the work station] [at any time their hands may have become soiled or contaminated].  Specifically, ***
1405 21 CFR 110.10(b)(6) 110 Failure to wear Failure to wear [hair nets] [head bands] [caps] [beard covers] [hair restraints] where appropriate.  Specifically, ***
1597 21 CFR 110.37(b)(3) 109 As source of contamination Plumbing constitutes a source of contamination to [food] [water supplies] [equipment] [utensils].  Specifically, ***
2392 21 CFR 110.80(b)(1) 103 Maintenance of equip., utensils, and finished food packaging Failure to maintain [equipment] [utensils] [finished food containers] in an acceptable condition through appropriate cleaning and sanitizing.  Specifically, ***
6008 21 CFR 123.8(a)(3) 102 Verification - record review - frequency You did not review [some of] your [critical control point monitoring][corrective action][calibration][in-process testing][end-product testing] records [within one week][within a reasonable time] after the records were made. Specifically, ***
1562 21 CFR 110.35(d) 99 Failure to clean - general Failure to clean [food-contact surfaces] [utensils] as frequently as necessary to protect against contamination of food.  Specifically, ***
963 21 CFR 123.6(c)(5) 98 Corrective action plan Your HACCP plan includes a corrective action plan that is not in accordance with 21 CFR 123.7(b) to ensure [affected product is not entered into commerce] [the cause of the deviation was corrected].  Specifically***
1581 21 CFR 110.37(e) 95 Running water at suitable temperature Hand-washing facilities lack running water of a suitable temperature.  Specifically, ***
1173 21 CFR 110.40(f) 93 Q.C. instrument accuracy, maintenance Instruments used for [measuring] [regulating] [recording] conditions that control or prevent the growth of undesirable microorganisms are not [accurate] [adequately maintained].  Specifically,***
945 21 CFR 123.12(a)(2) 92 Importer verification You do not have or have not implemented [written verification procedures] [product specifications] [an affirmative step] for ensuring that [fish] [fishery products] you import are processed in compliance with the Seafood HACCP regulation.  Specifically, ***
3661 21 CFR 110.37(e)(5) 87 Signs Lack of posted, readily understandable signs directing employees to wash and sanitize hands as appropriate.  Specifically, ***
1005 21 CFR 110.10(b)(7) 85 Storage of personal items Personal [clothing] [belongings] were stored  in an area where [food is exposed] [equipment or utensils are washed].  Specifically, ***
6020 21 CFR 123.9(a) 83 Records - content Your records do not include the [name and location of the processor or importer] [date and time of the activity the record reflects] [signature or initials of the person performing the operation] [identity of the product and the production code, if any].  Specifically, ***
985 21 CFR 110.10(b)(1) 82 Suitable outer garments Suitable outer garments are not worn  that protect against contamination of [food] [food contact surfaces] [food packaging materials]. Specifically, ***
1125 21 CFR 110.40(a) 77 Materials and workmanship The [design] [materials] [workmanship] of [equipment] [utensils] does not allow proper [cleaning] [maintenance].  Specifically, ***
6001 21 CFR 123.11(b) 76 Sanitation monitoring documentation Your sanitation control records do not accurately document the conditions or practices observed at your firm.  Specifically***
1006 21 CFR 110.10(b)(8) 75 Personal food/drink/tobacco Employees were observed to be [eating food] [chewing gum] [drinking beverages] [using tobacco] in areas where [food is exposed] [equipment or utensils are washed].  Specifically, ***
1066 21 CFR 110.40(b) 72 Seams on food contact surfaces Failure to have smoothly bonded or well maintained seams on food contact surfaces, to minimize accumulation of [food particles] [dirt] [organic matter] and the opportunity for growth of microorganisms.  Specifically, ***
1126 21 CFR 110.40(a) 72 Precluding contaminants The [design] [construction] [use] of equipment and utensils fails to preclude the adulteration of food with [lubricants] [fuel] [metal fragments] [contaminated water] [contaminants].  Specifically, ***
1615 21 CFR 110.93 72 Storage/transportation of finished goods (contamination) Failure to [store] [transport] finished food under conditions that would protect against [physical] [chemical] [microbial] contamination.  Specifically, ***
6021 21 CFR 123.10 72 HACCP training or qualification No one associated with your firm has completed the required HACCP training or is HACCP qualified through job experience.  Specifically, ***
1402 21 CFR 110.10(b)(4) 68 Unsecured jewelry Employees failed to remove unsecured jewelry or other objects which might fall into [food] [equipment] [containers].  Specifically, ***
12720 21 CFR 1.225 67 Not registered Your food facility is not registered as required.  Specifically, ***
1292 21 CFR 110.20(b)(1) 63 Sufficient space Failure to provide sufficient space for [placement of equipment] [storage of materials] as necessary for the maintenance of sanitary operations and the production of safe food.  Specifically, ***
3658 21 CFR 110.37(e)(2) 63 Hand cleaning and sanitizing preparations Lack of effective hand [cleaning] [sanitizing] preparations.  Specifically, ***
3659 21 CFR 110.37(e)(3) 63 Hand drying Lack of a sanitary towel service or suitable hand drying devices.  Specifically, ***
933 21 CFR 123.8(a)(2)(ii) 61 Calibration - adequacy Your process monitoring equipment is not calibrated to ensure that it reads accurately.  Specifically, ***
3652 21 CFR 110.37(e)(1) 61 Suitable locations Failure to provide [hand washing] [hand sanitizing] facilities at each location in the plant where needed.  Specifically, ***
1429 21 CFR 110.20(b)(6) 54 Fans/air blowing equipment Failure to [locate] [operate] fans and other air-blowing equipment in a manner that minimizes the potential for contaminating [food] [food-contact surfaces] [food-packaging materials].  Specifically, ***
901 21 CFR 123.6(a) 53 Hazard analysis You did not conduct, or have conducted for you, a hazard analysis to determine whether there are food safety hazards that are reasonably likely to occur for each kind of fish and fishery product you process. Specifically, ***
9931 21 CFR 120.6(b) 53 Sanitation monitoring You are not monitoring the sanitation conditions and practices with sufficient frequency to assure conformance with current good manufacturing practice including [safety of water that comes into contact with food or food contact surfaces, including water used to manufacture ice] [condition and cleanliness of food contact surfaces] [prevention of cross-contamination from insanitary objects] [maintenance of hand washing, hand sanitizing, and toilet facilities] [protection of food, food packaging material, and food contact surfaces from adulteration] [proper labeling, storage and use of toxic chemicals] [control of employee health conditions] [exclusion of pests]. Specifically, *** 
1172 21 CFR 110.40(e) 52 Lack of thermometer Lack of an accurate indicating thermometer, temperature measuring device, or temperature recording device in each freezer and cold storage compartment used to store food capable of supporting the growth of microorganisms.  Specifically, ***
1293 21 CFR 110.20(b)(2) 51 Contamination with microorganisms, chemicals, filth, etc. Proper precautions to protect [food] [food-contact surfaces] [food-packaging materials] from contamination with [microorganisms] [chemicals] [filth] [extraneous material] cannot be taken because of deficiencies in plant [size] [construction] [design].  Specifically, ***
1426 21 CFR 110.20(b)(5) 51 Adequate lighting Failure to provide adequate lighting in [hand-washing areas] [dressing and locker rooms] [toilet rooms] [areas where food is examined, stored, or processed] [areas where equipment and utensils are cleaned].  Specifically, ***
1599 21 CFR 110.37(b)(5) 51 Backflow prevention Lack of backflow protection from piping systems that discharge [waste water] [sewage].  Specifically, ***
1406 21 CFR 110.10(b)(6) 50 Effective use of hair restraint Failure to wear [hair nets] [head bands] [caps] [beard covers] [appropriate hair restraints] in an effective manner.  Specifically, ***
1702 21 CFR 110.80(b)(8) 50 Metal / extraneous materials Failure to take effective measures to protect against the inclusion of [metal] [extraneous material] in food.  Specifically, ***
1696 21 CFR 110.80(b)(3) 48 Holding foods - refrigerate/freeze/heat Failure to hold foods which can support the rapid growth of undesirable microorganisms at a temperature that prevents the food from becoming adulterated.  Specifically, ***
6005 21 CFR 123.6(c)(6) 45 Verification procedures - adequacy Your HACCP plan lists verification [procedures] [frequencies] that have not been developed in accordance with 21 CFR 123.8(a) to ensure that your HACCP plan is adequate to control food safety hazards, and is being effectively implemented.  Specifically, ***
1571 21 CFR 110.35(d)(5) 44 Shown to be effective The [facility] [procedure] [machine] used for [cleaning] [sanitizing] of [equipment] [utensils] has not been shown to provide adequate [cleaning] [sanitizing treatment].  Specifically, ***
1067 21 CFR 110.40(c) 43 Non food-contact equipment in processing area Non food-contact equipment in [manufacturing] [food handling] areas is not constructed so that it can be kept in a clean condition.  Specifically, ***
1565 21 CFR 110.35(d)(3) 42 Non-food-contact surfaces (S) Failure to clean non-food-contact surfaces of equipment as frequently as necessary to protect against contamination.  Specifically, ***
1578 21 CFR 110.37(f) 42 Odor, attractant for pests, harborage The [conveyance] [storage] [disposal] of [rubbish] [offal] does not minimize the [development of odor] [potential for waste becoming an attractant and harborage or breeding place for pests].  Specifically, ***
1598 21 CFR 110.37(b)(4) 42 Drainage Plumbing is not [of adequate size and design] [adequately installed and maintained] to provide adequate floor drainage.  Specifically, ***
3647 21 CFR 110.10(c) 42 Training of handlers and supervisors Appropriate training in food handling techniques and food protection principles has not been provided to [food handlers] [supervisors].  Specifically, ***
6015 21 CFR 123.6(c)(6) 41 Verification procedures - none/frequency  Your HACCP plan does not list verification [procedures] [frequencies] that have been developed to ensure that the HACCP plan is adequate to control food safety hazards, and is being effectively implemented.  Specifically, ***
1698 21 CFR 110.80(b)(5) 40 Work-in-progress Failure to handle work-in-progress in a manner that protects against contamination.  Specifically, ***
6019 21 CFR 123.8(a)(2) 40 Ongoing verification - complaints, calibration records Your verification procedures do not include, at a minimum, ongoing verification activities including [review of consumer complaints] [calibration of process monitoring instruments] [review of monitoring, corrective action, and calibration records].  Specifically, ***
1602 21 CFR 110.37(a) 39 Suitable temp. and pressure Failure to provide running water [at a suitable temperature] [under suitable pressure] for [processing of food] [cleaning of equipment, utensils and food-packaging materials] [employee sanitary facilities].  Specifically, ***
3643 21 CFR 110.10(b)(5) 38 Glove condition Gloves used in food handling are not maintained in an intact, clean, and sanitary condition.  Specifically, ***
3656 21 CFR 110.37(d)(3) 38 Self-closing doors Toilet facilities lack self-closing doors.  Specifically, ***
4470 21 CFR 108.25(c)(2) 37 Process filing Failure to provide the FDA, before packing any new product, information on the scheduled processes for each acidified food in each container size. Specifically, ***
931 21 CFR 123.8(d) 36 Verification - recordkeeping You do not maintain records of [calibration of process-monitoring instruments] [periodic end-product or in-process testing].  Specifically, ***
1561 21 CFR 110.35(c) 36 Insecticides/rodenticides Use of [insecticides] [rodenticides] without observing necessary precautions and restrictions to protect against contamination of [food] [food-contact surfaces] [food-packaging materials].  Specifically, ***
1709 21 CFR 110.80(b)(13) 36 Filling, assembling, packing controls Failure to perform [filling] [assembling] [packaging] in a manner that protects food from becoming contaminated.  Specifically, ***
913 21 CFR 123.8(a)(1) 34 Reassessment of HACCP plan Your verification procedures do not include, at a minimum, reassessment of the HACCP plan [at least annually] [whenever modifications to the process are made].  Specifically, ***
2388 21 CFR 110.80(a)(5) 33 Holding in bulk or suitable containers Failure to hold [raw materials] [rework materials] [ingredients] in bulk or in suitable containers so as to protect against contamination.  Specifically, ***
3655 21 CFR 110.37(d)(2) 33 Good repair Failure to keep toilet facilities in good repair.  Specifically, ***
1289 21 CFR 110.20(a)(3) 32 Drainage Lack of adequate drainage of areas which may contribute to contamination of food by [seepage] [foot-borne filth] [providing a breeding place for pests]. Specifically, ***
3654 21 CFR 110.37(d)(1) 31 Maintained Failure to maintain toilet facilities in a sanitary condition.  Specifically, ***
6018 21 CFR 123.7(a) 31 Corrective action per predetermined plan You did not take corrective action that ensured [affected product was not entered into commerce] [the cause of the deviation was corrected].  Specifically,***
9930 21 CFR 120.6(c) 31 SSOP records You do not [always] maintain sanitation standard operating procedure records that document [the monitoring of conditions and practices during processing] [corrections to conditions and practices that were not met].  Specifically, ***
906 21 CFR 123.6(b) 30 HACCP plan location Your HACCP plan is not specific to [the location where the fish are processed] [the kind of fish or fishery product processed].  Specifically, ***
1570 21 CFR 110.35(d)(5) 30 Safe and adequate for use Sanitizing agents are [inadequate] [unsafe] under conditions of use.  Specifically, ***
6007 21 CFR 123.9(a) 29 Records entries - timing Processing or other information was not [always] entered on your records at the time it was observed.  Specifically, ***
1128 21 CFR 110.40(a) 28 Installation and maintenance of equipment (S) Failure to [install] [maintain] equipment so as to facilitate cleaning of [the equipment] [all adjacent spaces].  Specifically, ***
3080 21 CFR 114.83 28 Scheduled process establishment A scheduled process was not established by a qualified person who has expert knowledge acquired through appropriate training and experience in acidification and processing of acidified foods.  Specifically, ***
1403 21 CFR 110.10(b)(4) 26 Hand jewelry - remove/cover Failure to [remove] [adequately cover] hand jewelry which cannot be adequately sanitized during periods where food is being manipulated by hand.  Specifically, ***
1184 21 CFR 110.35(e) 25 Storage of cleaned portable equipment (S) Failure to store cleaned and sanitized portable equipment in a [location] [manner] which protects food-contact surfaces from contamination.  Specifically, ***
3086 21 CFR 114.100(b) 25 Maintenance of processing and production records Failure to maintain [processing] [production] records showing adherence to the scheduled processes, including records of [pH measurement] [critical factors] intended to ensure a safe product.  Specifically, ***
1596 21 CFR 110.37(b)(2) 24 Convey sewage Plumbing is not [of adequate size and design] [adequately installed and maintained] to properly convey sewage and liquid disposable waste from the plant.  Specifically, ***
1763 21 CFR 110.35(b)(1) 24 Safe and adequate for use Use of cleaning compounds and sanitizing agents which are not [free from undesirable microorganisms] [safe and adequate under the conditions of use].  Specifically, ***
6006 21 CFR 123.6(c)(7) 24 Records values/observations Your monitoring records do not contain the actual values and observations obtained during monitoring.  Specifically, ***
9941 21 CFR 120.8(a) 23 No HACCP plan You do not have a written HACCP plan that outlines controls for one or more food safety hazards that are reasonably likely to occur.  Specifically, ***
12742 21 CFR 120.8(a) 23 HACCP plan not implemented You did not [fully] implement the [monitoring] [validation] [verification] [recordkeeping] procedures listed in your HACCP plan.  Specifically, ***
2361 21 CFR 110.80 22 Testing Failure to perform [chemical] [microbial] [extraneous material] testing where necessary to identify [sanitation failures] [possible food contamination]. Specifically, ***
3078 21 CFR 114.80(b) 22 Code - required elements Each container is not marked with an identifying code specifying the [establishment where the product was packed] [product contained therein] [year] [date] [packing period]. Specifically, ***
6010 21 CFR 123.8(a)(3)(i) 22 Monitoring record review adequacy Your review of critical control point monitoring records does not [ensure that the records are complete] [verify that they document values that are within critical limits].  Specifically, ***
9935 21 CFR 120.7(a) 22 No hazard analysis You did not develop, or have developed for you, a written hazard analysis to determine whether there are food hazards that are reasonably likely to occur for [each type of]  juice you produce.  Specifically, ***.  Specifically, ***
932 21 CFR 123.7(d) 21 Corrective action documentation You do not have records that document corrective actions that were taken.  Specifically, ***
1697 21 CFR 110.80(b)(4) 21 Preventive control measures Failure to use adequate [sterilization] [irradiation] [pasteurization] [freezing] [refrigeration] [pH control] [water activity control] to destroy or prevent the growth of undesirable microorganisms in food.  Specifically, ***
3660 21 CFR 110.37(e)(4) 19 Devices and fixtures Devices and fixtures are not designed and constructed to protect against recontamination of clean, sanitized hands.  Specifically, ***
9947 21 CFR 120.11(b) 19 HACCP plan - not validated You did not validate that your HACCP plan is adequate to control food hazards [at least once within 12 months after implementation] [at least annually] [when a change in the process occurred that could have affected the hazard analysis or altered the HACCP plan in any way].  Specifically, ***
2394 21 CFR 110.80(b)(6) 18 Contamination by raw materials, refuse, other ingredients Failure to take effective measures to protect finished food from contamination by [raw materials] [refuse] [other ingredients] .  Specifically, ***
3085 21 CFR 114.100(a) 18 Raw materials, packaging, finished product Records are not maintained of the examination of [raw materials] [packaging materials] [finished products] [supplier's guarantees or certificates] to verify compliance with FDA regulations and guidelines or action levels.  Specifically, ***
3657 21 CFR 110.37(d)(4) 18 Doors opening into processing areas Toilet doors open into areas where food is exposed to airborne contamination, and there are no alternative means taken to prevent such contamination.  Specifically, ***
6016 21 CFR 123.6(c)(7) 18 Records system Your HACCP plan does not provide for a recordkeeping system that documents the monitoring of the critical control points.  Specifically, ***
9932 21 CFR 120.6(a) 18 Sanitation SSOP - none or not implemented You do not [always] have or have not implemented a sanitation standard operating procedure that addresses sanitation conditions and practices before, during and after processing.  Specifically, ***
2385 21 CFR 110.80(a)(1) 17 Inspection, segregation, handling of raw materials Failure to [inspect] [segregate] [handle] raw materials to ascertain that they are clean and suitable for processing into food.  Specifically, ***
3071 21 CFR 114.80(a)(1) 17 Scheduled process Acidified food is not manufactured in accordance with the scheduled process.  Specifically, ***
6014 21 CFR 123.6(c)(2) 17 Monitoring - none Your HACCP plan does not list the [procedures for monitoring] [frequency of monitoring] at each critical control point to ensure compliance with the critical limit.  Specifically,
9919 21 CFR 120.10(a) 17 Corrective action - predetermined plan inadequate You did not take corrective action that ensured [affected product was not entered into commerce] [the cause of the deviation was corrected]. Specifically, ***
12745 21 CFR 120.8(b)(1) 17 HACCP plan - food hazards not listed Your HACCP plan does not list all food hazards that are reasonably likely to occur.  Specifically, ***
1129 21 CFR 110.40(a) 16 Food-contact - corrosion resistant Lack of corrosion-resistant food contact surfaces.  Specifically, ***
9958 21 CFR 120.12(c) 16 Records - signed/dated Your [written hazard analysis] [written HACCP plan], required by the juice HACCP regulation, [was] [were] not signed and dated [upon initial acceptance] [upon modification] [upon verification] [upon validation] [by the most responsible individual onsite at the processing facility or by a higher level official].  Specifically, ***
3073 21 CFR 114.80(a)(2) 15 pH testing Failure to exercise sufficient control including [frequent testing] [recording of results] so that the finished equilibrium pH values are not higher than 4.6.  Specifically, ***
3662 21 CFR 110.37(e)(6) 15 Refuse receptacles Refuse receptacles for hand washing facilities are not [constructed] [maintained] to protect against contamination of food.  Specifically, ***
9955 21 CFR 120.11(a)(1) 15 Verification activities - minimum Your verification activities do not include, at a minimum, [review of consumer complaints to determine whether they relate to the performance of the HACCP plan] [calibration of process monitoring instruments] [end-product or in-product testing] [review of critical control point monitoring, corrective action, and calibration records] to ensure that your HACCP system is being properly implemented.  Specifically, ***
12747 21 CFR 120.8(b)(3) 15 HACCP plan - critical limits not listed or not adequate Your HACCP plan [does not list one or more of the critical limits that must be met at each critical control point] [lists a critical limit that does not prevent, eliminate, or reduce to an acceptable level the occurrence of an identified food hazard].  Specifically, ***
986 21 CFR 110.10(b)(2) 14 Personal cleanliness Employees in contact with [food] [food-contact surfaces] [food-packaging materials] were not maintaining adequate personal cleanliness.  Specifically, ***
1425 21 CFR 110.20(b)(4) 14 Spacing of equipment Aisles or working spaces between equipment and walls are [obstructed] [of inadequate width].  Specifically, ***
1428 21 CFR 110.20(b)(6) 14 Adequate ventilation Failure to provide [adequate ventilation] [control equipment] to minimize odors and vapors in areas where they may contaminate food.  Specifically, ***
2393 21 CFR 110.80(b)(1) 14 Teardown equipment/thorough cleaning Failure to take apart equipment as necessary to ensure thorough cleaning.  Specifically, ***
3712 21 CFR 110.93 14 Storage/transportation of finished goods (deterioration) Failure to [store] [transport] finished food under conditions that would protect against deterioration of the food and its container.  Specifically, ***
918 21 CFR 123.8(a) 13 Verification - reviewers qualifications The [reassessment of your HACCP plan] [monitoring, corrective action, or verification record review] was not done by an individual who had successfully completed training in the application of HACCP principles to fish and fishery product processing, or was otherwise qualified through job experience to perform these functions.  Specifically, ***
1711 21 CFR 110.80(b)(15) 13 Proper pH controls Failure to adequately [monitor pH] [maintain a pH of 4.6 or below] for foods that rely principally on the control of pH to prevent the growth of undesirable microorganisms.  Specifically, ***
1766 21 CFR 110.35(b)(1) 13 Unacceptable toxic compounds Storage or use of toxic materials which are not required to maintain clean and sanitary conditions, are unnecessary for use in laboratory testing procedures, are unnecessary for plant and equipment maintenance, and are unnecessary for use in plant operations.  Specifically, ***
9939 21 CFR 120.7(c) 13 All hazards not considered In evaluating what food hazards are reasonably likely to occur, [you] [the person who performed the evaluation for you] did not consider [microbiological contamination] [parasites] [chemical contamination] [unlawful pesticide residues] [decomposition] [natural toxins] [use of unapproved color or food additives] [presence of undeclared ingredients that may be allergens] [physical hazards].  Specifically, ***
9954 21 CFR 120.11(a)(1)(iv) 13 Verification - CCP, CA record review You did not review [all of] your [critical control point monitoring] [corrective action] records within one week (7 days) of the day the records are made.  Specifically, ***
950 21 CFR 123.12(d) 12 Determination of compliance You have not provided evidence that the [fish] [fishery products] you import have been processed under conditions that comply with the Seafood HACCP regulation.  Specifically, ***
1130 21 CFR 110.40(a) 12 Food-contact - withstand food & cleaning cmpds. Food contact surfaces are not designed to [withstand the environment of their intended use] [withstand the action of food] [withstand cleaning compounds and sanitizing agents].  Specifically, ***
2384 21 CFR 110.80(a)(7) 12 Receipt/storage - liquid and dry raw materials Failure to receive and store [liquid] [dry] raw materials in bulk form in a manner which protects against contamination.  Specifically, ***
3062 21 CFR 114.10 12 Personnel Operators of processing and packaging systems are not under the operating supervision of a person who has attended and satisfactorily completed a school approved by the Commissioner.  Specifically, ***
9928 21 CFR 120.12(b) 12 Records - general - include name, date, time Your required records do not [always] include [the name of the processor] [the name of the importer] [the location of the processor] [the location of the importer] [the date and time of the activity] [the signature or initials of the person performing the operation or creating the record] [the identity of the product] [the production code].  Specifically, ***
9936 21 CFR 120.7(a) 12 Hazard analysis - written - elements Your written hazard analysis does not consist of [an identification of food hazards] [an evaluation of each food hazard identified to determine if it must be addressed in the HACCP plan] [an identification of the control measures that can be applied] [a review of your current process to determine whether modifications are necessary] [an identification of critical control points].  Specifically, ***
12734 21 CFR 120.12(a) 12 Records required - not maintained You do not maintain [complete] records documenting [the implementation of your sanitation standard operating procedure] [your written HACCP plan] [your written hazard analysis] [monitoring of critical control points and their critical limits] [corrective actions taken in response to a deviation] [the verification of your HACCP system] [the validation of your HACCP plan] [the validation of your hazard analysis].  Specifically, ***
12746 21 CFR 120.8(b)(2) 12 HACCP plan - critical control points not listed Your HACCP plan does not list the critical control points for each of the identified food hazards.  Specifically, ***
1090 21 CFR 110.40(d) 11 Holding, conveying, mfg systems - design & construction Lack of appropriate [design] [construction] to enable [holding] [conveying] [manufacturing] systems to be maintained in an appropriate sanitary condition.  Specifically, ***
1132 21 CFR 110.40(a) 11 Food-contact - unlawful indirect additives Failure to maintain food contact surfaces to protect food from contamination by any source, including unlawful indirect food additives.  Specifically, ***
1566 21 CFR 110.35(d)(4) 11 Single-service articles Failure to [store] [handle] [dispense] [use] [dispose of] single-service articles in a manner that protects against the contamination of food and food-contact surfaces.  Specifically, ***
1577 21 CFR 110.37(f) 11 Contamination of food, contact surfaces, water supplies, etc The [conveyance] [storage] [disposal] of [rubbish] [offal] does not protect against contamination of [food] [food-contact surfaces] [water supplies] [ground surfaces].  Specifically, ***
4479 21 CFR 108.25(e) 11 Recall procedures Failure to prepare and maintain in files current procedures for [recalling products that may be injurious to health] [identifying, collecting, warehousing and controlling products] [determining the effectiveness of recalls] [notifying FDA] [implementing recall programs]. Specifically, ***
6009 21 CFR 123.8(a)(3)(iii) 11 Verification - record review - calibration You did not review [some of] your calibration records within a reasonable time after the records were made.  Specifically, ***
6022 21 CFR 123.12(c) 11 Lack of records You do not have records to document the performance and results of the affirmative steps taken to demonstrate that [fish] [fishery products] imported into the United States were processed in accordance with the seafood HACCP regulation.  Specifically, ***
2427 21 CFR 110.80(b)(9) 10 Proper disposal of adulterated product Failure to dispose of adulterated [food] [raw materials] in a manner which protects against the contamination of other food.  Specifically, ***
3067 21 CFR 114.80(a) 10 Quality control procedures Appropriate quality control procedures are not employed to ensure that finished foods do not present a health hazard.  Specifically, "***
3088 21 CFR 114.100(b) 10 Processing and production - required information The [processing] [production] records do not contain sufficient additional information such as [product code] [date] [container size] [product] to permit a public health hazard evaluation of the processes applied to each [lot] [batch] [portion] of production.  Specifically, ***
6017 21 CFR 123.7(c) 10 Corrective action per regulation You did not take corrective action that ensured [the affected product was segregated] [a review of the affected product was done to determine its acceptability] [affected product was not entered into commerce] [the cause of the deviation was corrected] [the HACCP plan was reassessed in a timely manner to determine if modifications were needed to reduce the risk of reoccurrence of the deviation and modified as necessary].  Specifically, ***
9943 21 CFR 120.8(a) 10 HACCP plan - location and type of juice Your HACCP plan is not specific to [each location where juice is processed] [each type of juice processed].  Specifically, ***
12743 21 CFR 120.8(b)(4) 10 HACCP plan - monitoring procedures not adequate Your HACCP plan lists monitoring [procedures] [frequencies of performing procedures] that do not ensure compliance with the critical limits.  Specifically, ***
12749 21 CFR 120.8(b)(6) 10 HACCP plan - verify procedures / frequency - none listed Your HACCP plan does not list the verification [procedures] [frequencies] that have been developed to ensure that the HACCP plan is being implemented.  Specifically, ***
12755 21 CFR 120.11(a)(1)(iv)  10 Records - not signed and dated by qualified individual Your review of [critical control point monitoring records] [corrective action records] [calibration records] [periodic end-product or in-process testing records] are not [performed] [signed] [dated] by an individual who is trained in the application of HACCP principles to juice processing or otherwise qualified through job experience. Specifically, ***
15302 21 CFR 120.11(a)(2) 10 Calibration, testing - no records You do not maintain records of [calibration of process-monitoring instruments] [periodic end-product or in-process testing].  Specifically, ***
975 21 CFR 123.9(b)(1) 9 Record retention Your [monitoring] [corrective action] [verification] records are not maintained at your facility for at least the required time period.  Specifically, ***
1529 21 CFR 113.89 9 Process deviation log/file Process deviations were not recorded in a separate file or log that details both the deviations and the actions taken.  Specifically, ***
1568 21 CFR 110.35(d)(2) 9 Before use and after interruption Failure to clean and sanitize food-contact surfaces in wet-processing [before use] [after any interruption during which they may have been contaminated], to preclude contamination with microorganisms.  Specifically, ***
1601 21 CFR 110.37(a) 9 Safe and adequate sanitary quality Failure to use water which is [safe] [of adequate sanitary quality] in food and on food-contact surfaces.  Specifically, ***
1688 21 CFR 110.80 9 Supervisory competence The function of supervising overall sanitation of the plant has not been designated to  the supervision of  one or more competent individuals assigned responsibility for this function.  Specifically, ***
3089 21 CFR 114.100(c) 9 Process deviations- identification and records Departures from a scheduled process having a possible bearing on public health or the safety of a food are not [noted] [identified] [recorded] [made the subject of a separate file (or log identifying the appropriate data) delineating them].  Specifically, ***
3645 21 CFR 110.10(d) 9 Supervision Responsibility for assuring compliance with current good manufacturing practices relating to personnel  has not been assigned to competent supervisory personnel.  Specifically, ***
3651 21 CFR 110.37(b)(5) 9 Cross contamination Systems that discharge waste water or sewage are cross-connected to systems that carry water for food or food manufacturing.  Specifically, ***
4419 21 CFR 110.10(c) 9 Level of competency (S) Personnel responsible for identifying [sanitation failures] [food contamination] lack a background of education and experience to provide a needed level of competency.  Specifically, ***
4421 21 CFR 110.20(a) 9 Maintenance of grounds Maintenance of the grounds is inadequate to protect against contamination of food.  Specifically, *** 
9926 21 CFR 120.14(a) 9 Importer - written procedures You do not have written procedures that describe [product specifications] [affirmative steps] to ensure that juice you receive for import into the United States was processed in accordance with the juice HACCP regulation.  Specifically, ***
929 21 CFR 123.8(b) 8 Verification - corrective action You did not take immediate corrective action to ensure that [no affected product entered into commerce] [the cause of the deviation was corrected] [the HACCP plan was reassessed] when your verification procedure revealed the need to take a corrective action.  Specifically, ***
1641 21 CFR 113.100(b) 8 Review not done/timely A review of processing and production records by a qualified representative of plant management was not done [within one working day after the completion of  the process] [before shipment or release for distribution] to determine [completeness of the records] [whether product was processed as specified by the scheduled process].  Specifically, ***
2274 21 CFR 129.80(g)(1) 8 Bacteriological You do not take and analyze samples of bottled drinking water for bacteriological testing at least once a week [for each type of bottled drinking water produced during a day's production run].  Specifically, ***
2275 21 CFR 129.80(g)(2) 8 Chemical, physical, radiological You do not take and analyze samples of bottled drinking water for [chemical] [physical] [radiological] testing at least annually [for each type of bottled drinking water produced during a day's production run].  Specifically, ***
3075 21 CFR 114.80(a)(4) 8 Container testing Failure to [test] [examine] containers often enough to ensure that containers suitably protect the food from leakage and contamination.  Specifically, ***
4464 21 CFR 108.25(c)(1) 8 Registration Failure to register with the FDA information including the name, principal place of business and the location of the processing establishment within 10 days after engaging in the manufacture, processing and packaging of acidified foods. Specifically, ***
9961 21 CFR 120.24(a) 8 Process controls - HACCP plan - 5 log reduction Your HACCP plan does not include control measures that will consistently produce a 5 log reduction in the most resistant microorganism of public health significance that is likely to occur in the juice, for a period at least as long as the shelf life of the product.  Specifically, ***
9986 21 CFR 120.24(c) 8 Process controls - not exempt, single facility You do not conduct the 5-log reduction process and perform final packaging of your juice within a single production facility operating under current good manufacturing practices. Specifically, ***
12744 21 CFR 120.8(b)(4) 8 HACCP plan - monitoring procedures - none listed Your HACCP plan does not list the [procedures for monitoring] [frequency of monitoring] at each critical control point to ensure compliance with the critical limits.  Specifically, ***
12750 21 CFR 120.8(b)(6) 8 HACCP plan - valid procedures / frequency - none listed Your HACCP plan does not list the validation [procedures] [frequencies] that have been developed to ensure that the HACCP plan is adequate to control food hazards that are reasonably likely to occur.  Specifically, ***
1290 21 CFR 110.20(a)(4) 7 Waste disposal Failure to properly maintain operating systems for waste treatment and disposal so that they do not constitute a source of contamination in areas where food is exposed.  Specifically, ***
1330 21 CFR 113.100(a) 7 Processing entry missing information Forms used to record processing or production information lack the [product] [code number] [date] [retort or processing system number] [container size] [approximate number of containers per coding interval] [initial temperature] [actual processing time] [mercury-in-glass thermometer readings] [recording thermometer readings] [appropriate processing data].  Specifically, ***
1500 21 CFR 113.89 7 Evaluation by process authority Failure to have a deviation from the scheduled process evaluated for public health significance by a competent processing authority.  Specifically, ***
1600 21 CFR 110.37(a) 7 General inadequacy Failure to use a water supply that is [sufficient for the operations] [derived from an adequate source].  Specifically, ***
2391 21 CFR 110.80(a)(6) 7 Thawed appropriately Failure to thaw frozen raw materials in a manner that prevents them and other ingredients from becoming adulterated.  Specifically, ***
3082 21 CFR 114.89 7 Process deviation Failure to fully reprocess, thermally process as a low-acid food under 21 CFR 113, or set aside for further evaluation as to any potential public health significance, a portion of food which [deviated from a scheduled process] [had an equilibrium pH of the finished product higher than 4.6].  Specifically, ***
3090 21 CFR 114.100(d) 7 Product distribution Records identifying initial distribution of finished product are not maintained.  Specifically, ***
3653 21 CFR 110.37(d) 7 Readily accessible Failure to provide employees with [readily accessible] [adequate] toilet facilities.  Specifically, ***
3663 21 CFR 110.40(e) 7 Lack of automatic control / alarm (S) Lack of [an automatic control for regulating  temperature] [an automatic temperature alarm system] for each freezer and cold storage compartment used to store food capable of supporting the growth of microorganisms.  Specifically, ***
1665 21 CFR 110.80(a)(2) 6 Pasteurization or other adequate treatment [Raw materials] [Ingredients] which contain levels of microorganisms that may produce food poisoning or other disease are not pasteurized or otherwise adequately treated.  Specifically, ***
1669 21 CFR 110.80(a)(3) 6 Aflatoxin and other natural toxins There is no assurance that [raw materials] [ingredients] which are susceptible to contamination with aflatoxin or other natural toxins comply with current FDA standards before being incorporated into food.  Specifically, ***
1812 21 CFR 129.80(c) 6 Testing of cleaning/sanitizing solutions You do not [sample] [test] cleaning and sanitizing solutions [as often as necessary] to assure adequate performance.  Specifically, ***
3072 21 CFR 114.80(a)(1) 6 Thermal processing Acidified foods are not thermally processed to an extent that is sufficient to destroy the vegetative cells of microorganisms of public health significance and those of nonhealth significance capable of growing in the food.  Specifically, ***
3708 21 CFR 110.80(a)(1) 6 Water quality -- wash, rinse, convey food Water [used] [re-used] to [wash] [rinse] [convey] food is not [safe] [of adequate sanitary quality].  Specifically, ***
3877 21 CFR 113.60(c) 6 Coding - required elements The required container identification fails to include the [establishment where packed] [product] [year packed] [day packed]  [period during which packed].  Specifically, ***
4295 21 CFR 110.40(a) 6 Food contact - non-toxic materials Food-contact surfaces are not made of non-toxic materials.  Specifically, ***
4515 21 CFR 108.35(c)(2) 6 Process filing Failure to provide FDA, before packing any new product, information as to the scheduled process for each low-acid canned food in each container.  Specifically, ***
6002 21 CFR 123.11(b) 6 Sanitation corrections You did not correct sanitation deficiencies in a timely manner.  Specifically,***
12721 21 CFR 1.234 6 Registration not updated You did not submit an update to your facility's registration within 60 calendar days of [a change] [changes] to the registration information previously submitted.  Specifically, ***
1093 21 CFR 110.40(g) 5 Compressed air/gases Failure to ensure that compressed air or other gases [mechanically introduced into food] [used to clean food-contact surfaces or equipment] have been treated in such a way that foods are not contaminated with unlawful indirect food additives.  Specifically, ***
1176 21 CFR 110.40(f) 5 Insufficient number of Q.C. instruments An inadequate number of instruments used for [measuring] [regulating] [recording] conditions that control or prevent the growth of undesirable microorganisms.  Specifically,***
1196 21 CFR 110.10(a) 5 Employees with illness,  lesions, contamination source Employees  who appear to have an [illness] [open lesion] [abnormal source of microbial contamination] are not excluded from operations where there is a reasonable possibility of [food] [food contact surfaces] [food packaging materials] becoming contaminated.  Specifically, ***
1288 21 CFR 110.20(a)(2) 5 Roads/yards/parking lots Failure to properly maintain [roads] [yards] [parking lots] so that they do not constitute a source of contamination in areas where food is exposed. Specifically, ***
1351 21 CFR 129.35(a)(3)(i) 5 Sampling of product & ops water You do not take and analyze samples of [product] [operations] source water [as often as necessary] [at least once every year for chemical contamination] [at least once every four years for radiological contaminants].  Specifically, ***
1639 21 CFR 113.100(b) 5 Entries not timely Entries on [processing records] [production records] were not made at the time the specific retort or processing system condition or operation occurred.  Specifically, ***
1706 21 CFR 110.80(b)(10) 5 Mechanical manufacturing control Failure to perform mechanical manufacturing steps so as to protect food against contamination.  Specifically, ***
1761 21 CFR 129.80(a) 5 Record keeping requirements You do not maintain records at the plant pertaining to physical inspection of equipment used for treatment of product water, including the [type and date] [conditions found] [performance and effectiveness of equipment].  Specifically, ***
2301 21 CFR 129.80(f) 5 Bacteriological contamination of containers and closures (S) You do not  take a bacteriological swab and/or rinse count at least every three months from at least four containers and closures selected just prior to filling and sealing.  Specifically, ***
2387 21 CFR 110.80(a)(1) 5 Washing and cleaning Failure to adequately [wash] [clean] raw materials as necessary to remove soil or other contamination.  Specifically, ***
2389 21 CFR 110.80(a)(5) 5 Identify rework Failure to identify material scheduled for rework as such. Specifically, ***
2396 21 CFR 110.80(b)(6) 5 Conveyor transportation Failure to take effective measures to protect food transported by conveyor from contamination.  Specifically, ***
3083 21 CFR 114.89 5 Process deviation evaluation Process deviations are not evaluated by a competent processing authority in accordance with procedures recognized by competent processing authorities as being adequate to detect any potential hazard to public health.  Specifically, ***
3648 21 CFR 110.20(a)(4) 5 Neighboring grounds Failure to take adequate care to exclude contamination of food from adverse conditions on bordering grounds not under your control.  Specifically, ***
4062 21 CFR 113.100(a) 5 Critical factors - entry missing information Forms used to record critical factors lack [closing machine vacuum in vacuum-packed products] [maximum fill-in weight] [drained weight] [critical factors specified in the scheduled process].  Specifically, ***
4296 21 CFR 110.80(a)(5) 5 Temperature and humidity Failure to hold [raw materials] [rework materials] [ingredients] at proper temperature and humidity to prevent the food from becoming adulterated.  Specifically, ***
4511 21 CFR 108.25(f) 5 Approved school Failure to have personnel involved in [acidification] [pH control] [heat treatment] [critical factors] under the operating supervision of a person who has attended and satisfactorily completed a school approved by the Commissioner. Specifically, ***
4523 21 CFR 108.35(f) 5 Recall procedures Failure to prepare and maintain in files current procedures for [recalling products which may be injurious to health] [identifying, collecting, warehousing and controlling products] [determining effectiveness of recalls] [notifying FDA] [implementing recall programs]. Specifically, ***
9953 21 CFR 120.11(a)(1)(iv)(A) 5 CCP record review adequacy Your review of critical control point monitoring records does not [ensure that the records are complete] [verify that they document values that are within critical limits].  Specifically, ***
12732 21 CFR 120.10(a) 5 Corrective action - predetermined plan Your HACCP plan includes a corrective action plan.  There was a deviation from a critical limit and you did not take corrective action that ensured [product that was injurious to health or otherwise adulterated did not enter commerce] [the cause of the deviation was corrected].  Specifically, ***
1188 21 CFR 110.37(c) 4 Sewage disposal Failure to dispose of sewage into an adequate sewerage system or by other adequate means.  Specifically, ***
1255 21 CFR 129.20(a) 4 Bottling room separation The bottling room is not [adequately] separated from other plant operations or storage areas, so as to protect against contamination.  Specifically, ***
1471 21 CFR 113.83 4 Scheduled processes not established Scheduled processes for low-acid foods have not been established by qualified persons having expert knowledge of thermal processing.  Specifically, ***
1472 21 CFR 113.83 4 Critical factors not stated Critical factors that may affect the scheduled process are not specified in the scheduled  process.  Specifically, ***
1534 21 CFR 113.100(b) 4 Entries not done Required entries on [processing records] [production records] were not made by the retort or processing system operator or other designated person for specific retort operations or conditions specified in the scheduled process.  Specifically, ***
1642 21 CFR 113.100(b) 4 Review not signed/dated Failure of the reviewer to [sign or initial] [date] the [processing records] [production records] [recording temperature chart(s)] after the completion of the processing of a low-acid food product.  Specifically, ***
1734 21 CFR 113.40(a)(2) 4 Corresponding with MIG Failure to properly adjust the temperature-recording device.  The temperature recorded on the temperature-recording device chart [was higher than] [did not agree with] the mercury-in-glass thermometer during processing.  Specifically, ***
3644 21 CFR 110.10(b)(5) 4 Impermeable (S) Gloves used for food handling are not impermeable.  Specifically,  ***
4181 21 CFR 113.89 4 Process deviation identification Failure to identify, from processor check or otherwise, deviations from the scheduled process or critical factors which are out of control.  Specifically, ***
4529 21 CFR 108.35(c)(2)(ii) 4 Process change reporting to CFSAN For an intentional change in a previously filed scheduled process, failure to submit to CFSAN, within 30 days after first use, [a complete description of the modifications made and utilized] [a copy of the file record showing prior substantiation by a qualified scientific authority as to the safety of the changed process].  Specifically, ***
6012 21 CFR 123.8(a)(3)(iii) 4 Calibration record review adequacy Your review of [calibration] [in-process testing][end-product testing] records does not ensure [that the records are complete] [that the activities occurred in accordance with your written procedures] [occurred within a reasonable time after the records were made]. Specifically, *** 
12748 21 CFR 120.8(b)(5) 4 HACCP plan - corrective action plan not included Your HACCP plan includes a corrective action plan that is not in accordance with 21 CFR 120.10(a) to ensure [affected product is not entered into commerce] [the cause of the deviation was corrected]. Specifically,***
12751 21 CFR 120.8(b)(7) 4 HACCP plan - recordkeeping system Your HACCP plan does not provide for a recordkeeping system that documents the monitoring of critical control points.  Specifically, ***
15723 21 CFR 111.365(i) 4 Metal, foreign material  You did not use effective measures to protect against the inclusion of metal or other foreign material in [components] [dietary supplements].  Specifically, ***
15736 21 CFR 111.353   4 Manufacturing operations - written procedures  You  did not [establish] [follow] written procedures for manufacturing operations.  Specifically, ***
938 21 CFR 123.9(c) 3 Official review You did not make available for official review and copying at reasonable times [all records] [all plans and procedures] required by the regulations.  Specifically, ***
1060 21 CFR 123.11(a) 3 SSOP(S) You [do not have] [have not implemented] a written sanitation standard operating procedure (SSOP).  Specifically, ***
1316 21 CFR 113.87(c) 3 Initial temperature The initial temperature of the contents of a container to be processed was [not determined] [not recorded] with sufficient frequency to ensure the temperature was not lower than the minimum initial temperature stated in the scheduled process.  Specifically, ***
1329 21 CFR 113.100(a) 3 Processing entries not done/not timely Required information was not entered on designated forms at the time the observation was made by the retort or processing system operator or designated person.  Specifically, ***
1353 21 CFR 129.35(a)(3)(i) 3 Sampling for micro contaminants The [product] [operations] source water that is obtained from other than a public water system is not sampled and analyzed for microbiological contaminants at least once each week.  Specifically, ***
1423 21 CFR 129.37(d) 3 Containers kept sanitary You do not [fill] [cap] [close] [seal] [package] containers in a sanitary manner so as to preclude contamination of the bottled drinking water.  Specifically, ***
1453 21 CFR 129.40(a)(1) 3 Suitability - equipment and utensils Not all plant equipment and utensils are suitable for their intended use.  Specifically, ***
1487 21 CFR 113.87(b) 3 Visual indicators not used Heat-sensitive indicators or other means are not used to visually show that a thermal process has been applied to containers in a retort basket, truck, car, or crate used to hold containers in a retort.  Specifically, ***
1559 21 CFR 110.35(c) 3 Guard/guide dogs The [guard dog] [guard dogs] [guide dog] [guide dogs] in the plant are likely to result in the contamination of [food] [food-contact surfaces] [food-packaging materials]. Specifically, ***
1643 21 CFR 113.100(c) 3 Incomplete information Written records of all container closure examinations did not specify [product code] [date of container closure inspection] [time of container closure inspection] [measurements obtained] [corrective actions taken].  Specifically, ***
1645 21 CFR 113.100(c) 3 Records review infrequent / not done Written records of all container closure examinations are [not reviewed by management] [not reviewed by management with sufficient frequency] to ensure that the containers are hermetically sealed.  Specifically, ***
1649 21 CFR 113.40(a)(1) 3 Scale and range The mercury-in-glass thermometer [had divisions not readable to 1 degree F] [had a temperature range that exceeded 17 degrees per inch of graduated scale].  Specifically, ***
1651 21 CFR 113.40(a)(1) 3 Thermometer calibration Mercury-in-glass thermometers were not tested against a known accurate standard thermometer [upon installation] [yearly] to ensure accuracy.  Specifically, ***
1670 21 CFR 110.80(a)(4) 3 Safety assurance - pests/extraneous materials There is no assurance that [raw materials] [ingredients] [rework materials] which are susceptible to contamination with [pests] [undesirable microorganisms] [extraneous materials] comply with current FDA standards and defect action levels.  Specifically, ***
1708 21 CFR 110.80(b)(12) 3 Batters, breading, gravies, sauces, etc. Failure to treat and maintain [batters] [breading] [sauces] [gravies] [dressings and similar preparations] in a manner that protects against [contamination] [growth of microorganisms].  Specifically, ***
1757 21 CFR 113.40(a)(8) 3 Observable Failure to install bleeders so that the operator can observe that they are functioning properly.  Specifically, ***
2271 21 CFR 129.80(e) 3 Package identification You do not identify each unit package from a [batch] [segment of a continuous production run] of bottled drinking water with a production code which identifies [the particular batch] [the segment of production run] [the day produced].  Specifically, ***
2362 21 CFR 110.80 3 Reject and rework Food which has become contaminated to the extent of being adulterated within the meaning of the Act is not rejected or if permissible, treated or processed to eliminate the contamination..  Specifically, ***
2887 21 CFR 113.40(j) 3 Conform to requirements The system, equipment, and procedures used for thermal processing of foods in hermetically sealed containers [did not conform to the applicable requirements of 21 CFR 113.40] [did not conform to methods and controls specified in the scheduled process] [were not operated and administered in a manner that ensures commercial sterility is achieved].  Specifically, ***
3077 21 CFR 114.80(b) 3 Visible code Each container is not marked with an identifying code permanently visible to the naked eye.  Specifically, ***
3650 21 CFR 110.35(d)(1) 3 Wet cleaning Failure to sanitize and thoroughly dry, prior to use,  food-contact surfaces which have been wet cleaned.  Specifically, ***
3709 21 CFR 110.80(a)(1) 3 Inspection of containers and carriers upon receipt Failure to inspect [containers] [carriers] of raw materials upon receipt to ensure that their condition does not contribute to the contamination or deterioration of food.  Specifically, ***
3800 21 CFR 113.40(a)(1) 3 Date last tested for accuracy (S) Failure to provide a tag, seal, or other means of identity, including the date of last calibration of the mercury-in-glass thermometer.  Specifically, ***
3864 21 CFR 113.60(a)(1) 3 Recording of teardown examinations Failure to record teardown examinations of double seam cans [at intervals of sufficient frequency] [on enough containers from each seaming station] to ensure maintenance of seam integrity.  Specifically, ***
3872 21 CFR 113.60(a)(3) 3 Closures other than double seams and glass Failure to [have a qualified person] perform appropriate detailed inspections and tests [at intervals of sufficient frequency] to ensure proper closing machine performance and consistently reliable hermetic seal production.  Specifically, ***
4512 21 CFR 108.25(g) 3 Record retention Failure to prepare, review and retain at [the processing plant] [a reasonably accessible location] for three years all records [of processing] [of deviations in processing] [specified in 21 CFR 114]. Specifically, ***
4514 21 CFR 108.35(c)(1) 3 Registration Failure to register with the FDA information including the name, principal place of business and the location of the processing establishment within 10 days after engaging in the manufacture, processing and packaging of low-acid canned foods. Specifically, ***
4520 21 CFR 108.35(c)(3)(ii) 3 Process information availability Failure to provide FDA, when requested in writing, with information concerning processes and procedures deemed necessary to determine the adequacy of the process. Specifically, ***
9917 21 CFR 120.10(c) 3 Corrective action documentation You do not have records that [fully] document corrective actions that were taken.  Specifically, ***
9929 21 CFR 120.12(b)(4) 3 Records - information not entered when observed Processing and other information is not [always] entered on your records at the time it is observed.  Specifically, ***
9946 21 CFR 120.11(b) 3 Validation - reviewer's qualifications Your [validation of the HACCP plan] [validation of the hazard analysis] was not done by an individual who had successfully completed training in the application of HACCP principles to juice processing or otherwise qualified through job experience to perform these function.  Specifically, ***
12733 21 CFR 120.11(a)(1)(iv)(C) 3 Calibration, testing - record review timeliness You did not review [all of] your [calibration] [periodic end-product testing] [in-process testing] records within a reasonable time after the records were made.  Specifically, ***
15447 21 CFR 111.15(c)(3) 3 Cleaning compounds and toxic materials - holding You did not [identify] [hold] cleaning compounds, sanitizing agents, pesticides, pesticide chemicals, or other toxic materials in a manner that protects against contamination of components, dietary supplements, or contact surfaces.  Specifically, ***
15458 21 CFR 111.20(d)(1)(i) 3 Floors, walls, ceilings Your [floors] [walls] [ceilings] were not designed and constructed so they can be adequately cleaned and kept clean and in good repair.  Specifically, ***
15478 21 CFR 111.20(f) 3 Physical plant - bulbs, fixtures, skylights You did not use safety-type [light bulbs] [fixtures] [skylights] [glass] over exposed components or dietary supplements.  Specifically, ***
15508 21 CFR 111.27(a)(5)(ii) 3 Refrigerator, freezer - alarm Your freezer, refrigerator, or other cold storage compartments that you use to hold components or dietary supplements does not have either an automated device for regulating temperature or an automated alarm system to indicate a significant temperature change.  Specifically, ***
15737 21 CFR 111.210(h)(5) 3 Corrective action plans The written instructions in your  master manufacturing did not include instructions for corrective action plans to use when specifications are not met.  Specifically, ***
15748 21 CFR 111.210(f) 3 Master manufacturing record theoretical yield,expected yield Your master manufacturing record did not include a statement of [the theoretical yield for each point, step, or stage of the manufacturing process to ensure quality control] [the expected yield of the finished dietary supplement.]  Specifically, ***
15763 21 CFR 111.205(a)  3 Master manufacturing record - unique formulation  You did not [prepare] [follow] a written master manufacturing record for each unique formulation of a dietary supplement that you manufactured.  Specifically, ***
15830 21 CFR 111.70(b)(2) 3 Specifications-component purity, strength, composition  You did not establish component specifications for [purity] [strength] [composition].  Specifically, ***
16014 21 CFR 111.140(b)(1)   3 QC ops; written procedures; material review, disposition You did not make and keep [written procedures for the responsibilities of the quality control operations for conducting a material review and making a disposition decision] [written procedures for approving or rejecting any reprocessing].  Specifically, ***
977 21 CFR 123.9(b)(3) 2 Records stored at another location You did not immediately return your records for official review upon demand.  Specifically, ***
1045 21 CFR 113.10 2 Supervisors Supervisors have not satisfactorily completed training in a school approved by the Commissioner for areas under their responsibility.   Specifically, ***
1082 21 CFR 113.60(a) 2 Jams Failure to conduct visual closure inspections following a jam in a closure machine [after closing machine adjustment] [after startup of a machine] [following a prolonged shutdown].  Specifically ***
1317 21 CFR 113.87(d) 2 Timing devices Failure to provide accurate timing devices to ensure that the processing and venting times specified in the scheduled process are achieved.  Specifically, ***
1334 21 CFR 113.100(a)(4) 2 Aseptic processing Forms used in recording specific processing and production information for aseptic processing and packaging systems lack [the product temperature in the holding tube outlet] [the product temperature in the final heater outlet] [differential pressure] [product flow rate] [sterilization media flow rate] [sterilization media temperature] [retention time of containers and closures] [sterilization cycle times] [sterilization cycle temperatures].  Specifically, ***
1379 21 CFR 129.35(a)(4)(iv) 2 Compliance with standards Finished bottled water does not comply with bottled water quality standards.  Specifically, ***
1473 21 CFR 113.83 2 Scientific methods not performed No acceptable scientific methods of establishing heat sterilization processes or procedures recognized by competent processing authorities were used in the determination of the scheduled process.  Specifically, ***NOTE: CFSAN CONCURRENCE REQUIRED.
1483 21 CFR 113.87(a) 2 Operating processes not posted Operating processes for each product and container size were not [posted in a conspicuous place near the processing equipment] [readily available to the retort or processing system operator] [readily available to FDA investigators].  Specifically, ***
1486 21 CFR 113.87(b) 2 System not established A system of traffic control to prevent unretorted product from bypassing the retort system has not been established.  Specifically, ***
1499 21 CFR 113.89 2 No corrective action taken No corrective action was taken, e.g. fully reprocessing or setting the lot aside for evaluation, when a deviation from the scheduled process was found.  Specifically, ***
1595 21 CFR 110.37(b)(1) 2 Sufficient quantities of water Plumbing is not [of adequate size and design] [adequately installed and maintained] to carry sufficient quantities of water to required locations throughout the plant.  Specifically, ***
1653 21 CFR 113.40(a)(1) 2 Unreadable MIG thermometer Mercury-in-glass thermometers were not installed where they can be accurately and easily read.  Specifically, ***
1691 21 CFR 113.40(a)(4) 2 Steam controller Failure to equip retorts with automatic steam controllers to maintain retort temperatures.  Specifically, ***
1731 21 CFR 113.40(a)(2) 2 Presence and accuracy Each retort did not have an accurate temperature-recording device.    Specifically, ***
1756 21 CFR 113.40(a)(8) 2 Condensate bleeder - bottom vented retort Failure to install a bleeder to remove condensate in the bottom of a retort with top mounted steam inlets and bottom venting.  Specifically, ***
1806 21 CFR 129.80(b)(1) 2 Records of mechanical washers You do not keep records of [inspection and conditions found] [physical maintenance] [performance] for mechanical washers.  Specifically, ***
1853 21 CFR 113.40(a)(9) 2 Suitable material Crates, trays, gondolas, etc., for holding containers are not made of strap iron, adequately perforated sheet metal, or other suitable material.   Specifically, ***
2065 21 CFR 123.28(c) 2 Shellstock records You do not maintain records that document the [date of harvest] [location of harvest by State and site] [quantity and type of shellfish received] [date of receipt] [name of the harvester OR registration number of the harvester vessel OR the identification number of the harvester issued by the shellfish control authority].  Specifically, ***
2067 21 CFR 123.28(d) 2 Records - shucked shellfish You do not maintain records of shucked molluscan shellfish that document the [date of receipt] [quantity and type of shellfish] [name and certification number of the packer or repacker of the product].  Specifically, ***
2272 21 CFR 129.80(e) 2 Plant records You do not record and maintain information as to the [kind of product] [volume produced] [date produced] [lot code used] [distribution of finished product to wholesale and retail outlets].  Specifically, ***
2329 21 CFR 113.40(c)(5) 2 Size, fully open Bleeders are [smaller than 1/8-inch] [not wide open during the entire process] [not open during come-up-time].  Specifically, ***
2840 21 CFR 113.40(g)(1)(i)(a) 2 Calibration Thermometers and temperature indicating devices were not tested against a known accurate standard thermometer [upon installation] [at least once a year] [as frequently as necessary].  Specifically, ***
3074 21 CFR 114.80(a)(2) 2 Using pH meter Failure to [use a potentiometer to measure pH] [relate in-process measurements by titration or colorimetry to the finished equilibrium pH] when the finished equilibrium pH is above 4.0. Specifically, ***
3093 21 CFR 114.89 2 Process deviation evaluation - record  Failure to record the [procedures used in the evaluation of process deviations] [results of process deviation evaluations].  Specifically, ***
3771 21 CFR 113.40(a)(7) 2 Location of steam spreader perforations (S) Perforations in the steam spreader along the bottom of the retort  are not located along the top 90 degrees of the steam spreader.  Specifically, ***
3775 21 CFR 113.40(a)(9) 2 Size of perforations in sheet metal bottoms and dividers (S) Perforated sheet metal used as [the bottom] [dividers] in retort crates or baskets fails to have perforations approximately equivalent to 1-inch holes on 2-inch centers.  Specifically, ***
3866 21 CFR 113.60(a)(1)(i)(a) 2 Required can seam measurements (micrometer) Records of the results of micrometer measurements of double seam cans fail to include [cover hook] [body hook] [width] [tightness] [thickness].  Specifically, ***
3876 21 CFR 113.60(c) 2 Coding - failure to mark Failure to mark each hermetically sealed container of low-acid processed food with an identifying code that is permanently visible to the naked eye.  Specifically, ***
3886 21 CFR 113.87(e) 2 Clock time agreement with time of day (S) Failure of the clock times indicated on recording-temperature charts to reasonably correspond to the time of day on the written processing records.  Specifically, ***
4179 21 CFR 113.83 2 Records of process establishment Failure to maintain complete records covering all aspects of the establishment of the [process] [associated incubation tests] by the person or organization making the determination.  Specifically, ***
4420 21 CFR 110.110(c) 2 Defects not reduced to lowest level Quality control operations were not used at all times to reduce natural or unavoidable defects to the lowest level currently feasible
4423 21 CFR 110.80(b) 2 Water for blanching operations Water used for blanched food which is washed prior to filling, is not safe and of adequate sanitary quality.  Specifically, ***
4475 21 CFR 108.25(c)(3)(i) 2 Process adherence Failure to process each food in conformity with at least the scheduled process filed with FDA. Specifically, ***
4524 21 CFR 108.35(g) 2 Approved school Failure to have personnel involved in [retorts] [thermal processing systems] [aseptic processing and packaging systems] [thermal processing systems] [container closure inspections] under the operating supervision of a person who has attended and satisfactorily completed a school approved by the Commissioner. Specifically, ***
4530 21 CFR 114.100(c) 2 Process deviations - product disposition Failure to record the disposition of product involved in a departure from a scheduled process.  Specifically, ***
9933 21 CFR 120.6(b) 2 GMP correction - timely  You do not [always] correct deficiencies from good manufacturing practice in a timely manner.  Specifically, ***
9938 21 CFR 120.7(d) 2 Hazard analysis - evaluation of effect on safety (S) You did not evaluate [product ingredients] [processing procedures] [packaging] [storage] [intended use] [facility and equipment function and design] [plant sanitation, including employee hygiene] to determine the potential effect on the safety of the finished food for the intended consumer.  Specifically, ***
9959 21 CFR 120.12(d)(1) 2 Record retention - general You do not retain [all of] the required records at your facility for the required time period.  Specifically, ***
9962 21 CFR 120.24(b) 2 Process controls - direct treatment  - not exempt Your treatments intended to achieve a 5-log reduction in the most resistant microorganism of public health significance are not applied directly to the juice, and the exemption for surface treatment of fruit does not apply.  Specifically, ***
9981 21 CFR 120.12(b)(4) 2 Records - actual values Your records do not [always] contain the actual values and observations obtained during monitoring.  Specifically, ***
12701 21 CFR 129.35(a)(4)(iii) 2 Testing for disinfectants & DBPs Your [product] [operations] source water from a non-public source has been treated with a chlorine-based disinfectant or ozone, but has not been tested for residual disinfectants and disinfection by-products that are likely to result from such treatment.  Specifically, ***
12704 21 CFR 129.80(a) 2 Analytical frequency You do not analyze product water samples as often as necessary to assure uniformity and effectiveness of the treatment processes performed by the plant.  Specifically, ***
12707 21 CFR 129.80(g)(3) 2 Records of analyses For analyses of bottled water, you do not maintain records of [date of sampling] [type of product] [production code] [results].  Specifically, ***
12709 21 CFR 129.80(c) 2 Records of cleaning/sanitizing solutions You do not maintain records of [sampling] [testing] of cleaning and sanitizing solutions.  Specifically, ***
12725 21 CFR 129.80(b)(1) 2 Inspection of mechanical washers You do not inspect mechanical washers [as often as necessary] to assure adequate performance.  Specifically, ***
12736 21 CFR 120.12(e) 2 Records - review and copying You did not make all required records available for review and copying at reasonable times.  Specifically, ***
12754 21 CFR 120.11(a)(1)(iv)(C) 2 Calibration, testing - record review adequacy Your review of [calibration of process monitoring instruments] [periodic end-product testing] [periodic in-process testing] records does not ensure that [the records are complete] [the activities occurred in accordance with your written procedures].  Specifically, ***
15305 21 CFR 120.14(a)(2) 2 Importer - implementation of affirmative steps You have not implemented affirmative steps to ensure juice you receive for import into the United States was processed in accordance with the juice HACCP regulation. Specifically, *** 
15434 21 CFR 111.15(d)(2) 2 Pest control measures You did not take effective measures [to exclude pests from the physical plant] [to protect against contamination of components, dietary supplements, and contact surfaces on the premises by pests].  Specifically, ***
15454 21 CFR 111.16 2 Written procedures - pest control You did not [establish] [follow] written procedures for pest control.  Specifically, ***
15494 21 CFR 111.25(c) 2 Procedures - equipment - cleaning, sanitizing You  did not [establish] [follow] written procedures for maintaining, cleaning, and sanitizing,  equipment, utensils, and any other contact surfaces that are used to manufacture, package, label, or hold components or dietary supplements.  Specifically, ***
15542 21 CFR 111.260(b)  2 Batch record - date, time; maintenance Your batch production records did not include the identity of equipment and processing lines used in producing the batch.  Specifically, ***
15543 21 CFR 111.260(c)  2 Batch record - date, time; maintenance Your batch production records did not include the date and time of the maintenance, cleaning, and sanitizing of the equipment and processing lines used in producing the batch, or a cross-reference to records, such as individual equipment logs, where this information is retained.  Specifically, ***
15545 21 CFR 111.260(e) 2 Batch record - component; identity, weight Your batch production records did not include the [identity] [weight or measure] of each component used.  Specifically, ***
15560 21 CFR 111.260(k)(2) 2 Batch record - label Your batch production records did not include an actual or representative label, or a cross-reference to the physical location of the actual or representative label specified in the master manufacturing record.  Specifically, ***
15578 21 CFR 111.155(c) 2 Components - quarantine You did not quarantine components before you used them in the manufacture of a dietary supplement.  Specifically, ***
15610 21 CFR 111.165(d)(1)  2 Product received - identify You did not identify each unique lot within each unique shipment of received product in a manner that allows you to trace the lot to [the supplier] [the date received] [the name of the received product] [the status of the received product] [the product that you packaged or labeled and distributed as a dietary supplement].  Specifically, ***
15675 21 CFR 111.315(b) 2 Sampling plans; establish, follow You did not [establish] [follow] sampling plans for obtaining representative samples.  Specifically, ***
15747 21 CFR 111.210(g)  2 Packaging description, representative label  Your master manufacturing record did not include a [description of the packaging] [a representative label, or a cross-reference to the physical location of the actual or representative label].  Specifically, 
15754 21 CFR 111.210(a) 2 Master manufacturing record - dietary ingredients  Your master manufacturing record did not include the [name] [strength] [concentration] [weight] [measure] of each dietary ingredient for each batch size.  Specifically, ***
15797 21 CFR 111.553 2 Written procedures - product complaint  You did not [establish] [follow] written procedures for the requirements to review and investigate a product complaint.  Specifically, ***
15860 21 CFR 111.75(a)(2) 2 Component - confirm identity; specifications met  You did not confirm the identity of components.  Specifically, ***
15861 21 CFR 111.75(a)(2)(ii)(A)   2 Component - qualify supplier  You did not qualify a supplier of a component by establishing the reliability of the supplier's certificate of analysis through confirmation of the results of their tests or examinations.  Specifically, ***
15891 21 CFR 111.80(a) 2 Components packaging, labels received You did not collect representative samples of each unique lot of [components] [packaging] [labels] that you received from a supplier to determine whether the [components] [packaging] [labels] meet[s] established specifications.  Specifically, ***
899 21 CFR 123.16 1 Process controls Your HACCP Plan for [smoked] [smoke flavored] fishery product does not include controls for Clostridium botulinum. Specifically, ***
972 21 CFR 123.8(a)(1) 1 Modification HACCP plan You did not immediately modify your HACCP plan after a reassessment revealed the plan to no longer be adequate.  Specifically, ***
1245 21 CFR 113.81(a) 1 Raw ingredients There was no means to assure that raw materials and ingredients susceptible to microbiological contamination were suitable for use in processing low-acid food.  Specifically, ***
1260 21 CFR 129.20(a) 1 Conveyor openings minimal Conveyor openings in the bottling room exceed the size required to permit passage of containers. Specifically, ***
1273 21 CFR 129.20(b) 1 Non-sealed system You do not conduct processing operations in a sealed system under pressure, and you do not provide [adequate] protection against contamination of the water and the system.  Specifically, ***
1276 21 CFR 129.20(c) 1 Adequate ventilation The ventilation in the [processing room] [bottling room] [container washing and sanitizing area] is not adequate to minimize condensation.  Specifically, ***
1300 21 CFR 113.81(c) 1 Fill The filling of containers is not controlled to ensure that the filling requirements specified in the scheduled process are met.  Specifically, ***
1304 21 CFR 129.35(a)(1) 1 Product water quality The product water supply source is not [properly located, protected and operated] [easily accessible] [adequate] [of a safe, sanitary quality] [in conformance at all times with the applicable laws and regulations].  Specifically, ***
1320 21 CFR 113.87(g) 1 Bleeder mufflers Failure to keep on file evidence that mufflers on [bleeders] [the vent system] are operating in a manner that does not impede the removal of air .  Specifically, ***
1324 21 CFR 113.100(d) 1 Distribution record Distribution records are not maintained to identify the initial distribution of the finished product.  Specifically, ***
1325 21 CFR 113.100(e) 1 Record retention Copies of processing, production, and other required records for each lot of a low-acid food processed were not retained at the processing plant [for a one year period following manufacture] [or other reasonably accessible location for a total of a three-year record-retention period].  Specifically, ***
1331 21 CFR 113.100(a)(1) 1 Still retorts Forms used in recording specific processing and production information for still retorts lack [the time that steam was turned on] [the time that the retort reached processing temperature] [the time that steam was shut off] [venting time] [venting temperature].  Specifically, ***
1394 21 CFR 129.37(a) 1 Sanitization practices You do not adequately [clean] [sanitize] the product water-contact surfaces of all [multiservice containers] [utensils] [pipes] [equipment] used in the [transportation] [processing] [handling] [storage] of product water.  Specifically, ***
1401 21 CFR 129.37(a) 1 Inspection for sanitary condition You do not inspect all product water-contact surfaces as often as necessary [to maintain the sanitary condition of such surfaces] [to assure such surfaces are kept free of scale, evidence of oxidation, and other residue].  Specifically, ***
1417 21 CFR 129.37(c) 1 Exam, handling of single service containers et. al. Single service [containers] [caps] [seals] are not [examined] [washed, rinsed and sanitized when necessary] [handled in a sanitary manner] prior to use.  Specifically, ***
1474 21 CFR 113.83 1 Calculations not performed Calculations used to determine heat sterilization processes were not performed according to procedures recognized by competent processing authorities.  Specifically, ***
1484 21 CFR 113.87(a) 1 Vent not posted Retort venting procedures for each product and container size were not [posted in a conspicuous place near the processing equipment] [readily available to the retort or processing system operator] [readily available to FDA investigators].  Specifically, ***
1485 21 CFR 113.87(a) 1 Scheduled processes not available Scheduled processes were not readily available to the [retort or processing system supervisor] [FDA Investigator].  Specifically, ***
1532 21 CFR 113.100(a)(7) 1 Other systems Forms used in recording specific processing and production information for other systems lack critical factors specified in the formulation of the product or in the scheduled process.  Specifically, ***
1533 21 CFR 113.100(b) 1 RTC identification Recording thermometer charts were not identified by [date] [retort number] [data to correlate with written records of lots processed].  Specifically ***
1563 21 CFR 110.35(d)(1) 1 Low-moisture food requirements Food contact surfaces used for [manufacturing] [holding] low-moisture food were [wet] [insanitary] at time of use.  Specifically, ***
1569 21 CFR 110.35(d)(2) 1 Continuous operations Failure to clean and sanitize utensils and food-contact surfaces of equipment in continuous wet-processing operations as necessary.  Specifically, ***
1640 21 CFR 113.100(b) 1 Entries not signed The retort or processing system operator or other designated person did not initial or sign each record form.   Specifically, ***
1644 21 CFR 113.100(c) 1 Not signed or initialed Written records of container closure examinations were not signed or initialed by the container closure inspector.  Specifically, ***
1658 21 CFR 113.40(a)(1) 1 Thermometer bleeder location The external well or pipe was not located so as to provide for a constant flow of steam past the length of the thermometer bulb during the entire processing period.  Specifically, ***
1660 21 CFR 113.40(a)(1) 1 MIG thermometer not used as reference The mercury-in-glass thermometer was not the reference thermometer for indicating processing temperatures.   Specifically, ***
1716 21 CFR 113.40(a)(11) 1 Water valves, leakage Failure to supply a suitable water valve used for water cooling to prevent leakage of water into the retort during processing.  Specifically, ***
1732 21 CFR 113.40(a)(2) 1 Range Graduations on the temperature-recording device exceeded 2 degrees F within a range of 10 degrees F of the processing temperature.  Specifically, ***
1733 21 CFR 113.40(a)(2) 1 Scale The working scale of the temperature-recording device chart was more than 55 degrees F per inch, within a range of 20 degrees F of the processing temperature.  Specifically, ***
1735 21 CFR 113.40(a)(2) 1 Unauthorized adjustment There was no means to prevent unauthorized changes in adjustment to the temperature-recording device.  Specifically, ***
1800 21 CFR 129.80(b)(1) 1 Washing/rinsing/sanitizing You do not [wash] [rinse] [sanitize] primary service containers by mechanical washers or any other method giving adequate sanitary results.  Specifically, ***
1865 21 CFR 113.40(a)(12) 1 Short vent Timing of a process began before the retort [was properly vented] [processing temperature was reached]. Specifically, ***
1944 21 CFR 129.80(d) 1 Sanitizing operations inadequate Sanitizing operations are not adequate to effect sanitation of the intended product water-contact surfaces and critical areas.  They do not meet the minimum times and intensities required by the regulations.  Specifically, ***
1962 21 CFR 129.80(h) 1 Two year requirement You did not retain at the plant required records for at least 2 years.  Specifically, ***
2056 21 CFR 123.28(a) 1 HACCP plan Your HACCP plan for raw molluscan shellfish does not include controls to ensure the molluscan shellfish are harvested from an approved source.  Specifically, ***
2058 21 CFR 123.28(c) 1 Tag requirements - shellstock The tags attached to each container of shellstock you receive do not [always] bear [the place and date the shellfish were harvested] [the type and quantity of shellfish] [an identification of the harvester].  Specifically, ***
2146 21 CFR 113.40(b)(1) 1 Unreadable MIG thermometer Mercury-in-glass thermometers were not installed where they can be accurately and easily read.  Specifically, ***
2154 21 CFR 113.40(b)(2) 1 Unauthorized adjustment There was no means to prevent unauthorized changes in adjustment to the temperature-recording device.  Specifically, ***
2159 21 CFR 113.40(b)(5) 1 Uniform distribution Steam is not distributed [in the bottom of the retort] [in a manner adequate to provide uniform heat distribution throughout the retort].  Specifically, ***
2165 21 CFR 113.40(b)(7) 1 Container positioning The positioning of containers in a retort is not in accordance with the scheduled process.  Specifically, ***
2285 21 CFR 129.80(f) 1 Reject / reprocess You did not reject or reprocess containers that were not [sound] [properly capped or sealed] [properly coded and labeled].  Specifically, ***
2298 21 CFR 129.80(f) 1 Inspection of containers and closures You do not [sample] [inspect] all containers and closures to ascertain they are free from contamination.  Specifically, ***
2309 21 CFR 113.40(c)(1) 1 Unreadable thermometer Mercury-in-glass thermometers were not installed where they can be accurately and easily read.  Specifically, ***
2321 21 CFR 113.40(c)(2) 1 Unauthorized adjustment There was no means of preventing unauthorized changes in adjustment to the temperature-recording device.  Specifically, ***
2428 21 CFR 110.80(b)(9) 1 Proper reconditioning Failure to use a proven effective method of reconditioning adulterated food.  Specifically, ***
2538 21 CFR 113.40(f)(2) 1 Unauthorized adjustment There was no means of preventing unauthorized changes in adjustment to the temperature-recording device.  Specifically, ***
2547 21 CFR 113.40(f)(7) 1 Size, location, operation Bleeders are [smaller than 1/4-inch] [not located at the top of the steam chamber(s) opposite the point of steam entry] [not wide open during the entire process] [not emitting steam continuously during the entire process] [not open and emitting steam during the come-up-time].  Specifically, ***
2837 21 CFR 113.40(g)(4) 1 Critical factors Critical factors were not [measured] [recorded on the processing record] at intervals of sufficient frequency to ensure that the factors are within the limits specified in the scheduled process.  Specifically, ***
2839 21 CFR 113.40(g)(1)(i)(a) 1 Scale and range The mercury-in-glass thermometer [lacked divisions readable to 1 degree F] [had a temperature range that exceeded 17 degrees per inch of graduated scale].  Specifically, ***
2844 21 CFR 113.40(g)(1)(i)(b) 1 Presence and accuracy Each product sterilizer was not equipped with an accurate temperature-recording device.  Specifically, ***
2846 21 CFR 113.40(g)(1)(i)(b) 1 Range Graduations on the temperature-recording device exceeded 2 degrees F within a range of 10 degrees F of the processing temperature.  Specifically, ***
2849 21 CFR 113.40(g)(1)(i)(b) 1 Unauthorized adjustment There is no means of preventing unauthorized changes in adjustment to the temperature-recording device.  Specifically, ***
2888 21 CFR 113.40(j) 1 Critical factors Critical factors are not [measured] [recorded] at intervals of sufficient frequency to ensure that the factors are within limits specified in the scheduled process.  Specifically, ***
2894 21 CFR 113.40(g)(2)(i)(b) 1 Unauthorized adjustments There was no means of preventing unauthorized speed changes to the rate of the container sterilizing cycle.  Specifically, ***
3068 21 CFR 114.80(a)(1) 1 pH control Acidified foods are not manufactured, processed and packaged to [achieve within the time designated in the scheduled process] [maintain]  a pH value of 4.6 or lower in all finished foods.  Specifically,  ***
3091 21 CFR 114.100(e) 1 Retention Required records are not maintained at the processing plant or other reasonably accessible location for a period of three years from the date of manufacture. Specifically, ***
3714 21 CFR 110.110(d) 1 Blending A food containing defects above the current defect action level (DAL) is mixed with a food that has defects below the DAL.  Specifically, ***
3781 21 CFR 113.40(b)(7) 1 Size of perforations in sheet metal bottoms and dividers (S) Perforated sheet metal used as [the bottom] [dividers] in retort crates or baskets does not have perforations approximately equivalent to 1-inch holes on 2-inch centers.  Specifically, ***
3820 21 CFR 113.40(g)(1)(i)(a) 1 Records of calibration (S) Failure to maintain records of accuracy checks of thermometers and temperature-indicating devices specifying [date] [standard used] [method used] [person performing the test].  Specifically, ***
3822 21 CFR 113.40(a)(1) 1 Records of calibration (S) Failure to maintain records of accuracy checks of temperature-indicating devices specifying [date] [standard used] [method used] [person performing the test].  Specifically, ***
3857 21 CFR 113.60(a) 1 Record of visual closure examination Failure to record observations of visual closure examinations performed by a qualified person during production.  Specifically, ***
3860 21 CFR 113.60(a) 1 Pertinent observations Failure to record all pertinent visual closure observations.  Specifically, ***
3865 21 CFR 113.60(a)(1) 1 Corrective actions following teardown examinations Failure to note corrective actions taken following teardown examination of double seam cans.  Specifically, ***
3868 21 CFR 113.60(a)(1)(ii) 1 Method of taking seam measurements (seam scope) Failure to measure can double seam characteristics using a seam [projector] [scope] at two different locations, excluding the side seam.  Specifically, ***
3870 21 CFR 113.60(a)(2) 1 Glass containers, capper efficiency check Failure to measure the cold water vacuum of the glass container capper before actual filling operations.  Specifically, ***
3873 21 CFR 113.60(a)(3) 1 Records of closure examinations other than cans or glass Failure to maintain records of the results of inspections and tests performed on closing machines.  Specifically, ***
3874 21 CFR 113.60(b) 1 Cooling water - failure to chlorinate, etc. Failure to chlorinate or otherwise sanitize container cooling water as necessary for cooling canals and recirculated water supplies.  Specifically, ***
3875 21 CFR 113.60(b) 1 Cooling water - residual sanitizer (S) No measurable residual of the cooling water sanitizer at the water discharge point of the container cooler.  Specifically, ***
3892 21 CFR 113.60(a) 1 Regular observations for gross closure defects Failure to make regular observations for gross closure defects during production runs.  Specifically ***
4069 21 CFR 113.40(b)(13) 1 Retort configuration Failure to have data on file which demonstrates that the heat distribution is adequate for retort installations which deviate from the diagrams in 21 CFR 113.40(b)(13).  Specifically, ***
4476 21 CFR 108.25(c)(3)(ii) 1 Process information availability Failure to provide the FDA, after written request, any process and procedure information deemed necessary to determine the adequacy of the process. Specifically, ***
4517 21 CFR 108.35(c)(2)(ii) 1 Process change substantiation Failure to obtain substantiation by a qualified scientific authority as to the adequacy of any intentional change in a previously filed scheduled process, where the change is basic to the adequacy of that scheduled process.  Specifically, ***
4518 21 CFR 108.35(c)(2)(ii) 1 Process change - increase Failure to file with FDA changes in previously filed scheduled processes, where processing parameters were higher or longer, when the processes became regularly scheduled.  Specifically, ***
4519 21 CFR 108.35(c)(3)(i) 1 Process adherence Failure to process each low-acid canned food in conformity with at least the scheduled process. Specifically, ***
4521 21 CFR 108.35(d) 1 Notify FDA - spoilage Failure to notify FDA about [spoilage] [process deviations] of potential public health significance when all or part of a lot was distributed. Specifically, ***
4522 21 CFR 108.35(e) 1 Notify FDA - contamination Failure to notify FDA about any instance of microbiological contamination, which may have caused  a lot to be injurious to health, when all or part of the lot was distributed. Specifically, ***
4528 21 CFR 108.35(c)(2)(ii) 1 Process change recording For an intentional change in a previously filed scheduled process, substantiation was not [promptly recorded] [verified in writing by the authority] [placed in your files for review by FDA].  Specifically, ***
6011 21 CFR 123.8(a)(3)(ii) 1 Corrective action record review adequacy Your review of corrective action records does not [ensure that the records are complete] [verify that the appropriate corrective actions have been taken].  Specifically, ***
9792 21 CFR 106.30(b)(3) 1 Stability analysis Failure to conduct stability analysis on representative samples of finished product batches.  Specifically, ***
9806 21 CFR 106.100(k) 1 Complaint procedures Failure to [maintain] [follow] procedures describing how all written and oral complaints regarding infant formula will be handled.  Specifically, ***
9809 21 CFR 106.100(k)(2) 1 Complaints - investigation Failure to conduct an investigation when a complaint regarding infant formula shows a hazard to health possibly exists.  Specifically, ***
9921 21 CFR 120.10(b) 1 Corrective action - no predetermined plan Your HACCP plan does not include a corrective action plan.  There was a deviation from a critical limit and you did not take corrective action that ensured [affected product was segregated and held] [a review of the affected product by someone who is adequately trained or experienced was done to determine its acceptability] [product that was injurious to health or otherwise adulterated was not entered into commerce] [the cause of the deviation was corrected] [the HACCP plan was verified by someone meeting the training requirements of the regulation to determine if modifications were needed to reduce the risk of recurrence of the deviation and to modify the HACCP plan as necessary].  Specifically, ***
9964 21 CFR 120.25 1 Finished product not analyzed for E.coli You do not [always] analyze your finished juice product for biotype I Escherichia coli.   Specifically, ***
9972 21 CFR 120.25(c) 1 Process verification - analytical method You do not [always] analyze each juice subsample for the presence of Escherichia coli by the official method or another method that is at least equivalent.  Specifically, ***
12703 21 CFR 129.80(a) 1 Product samples You do not take product water samples after processing and prior to bottling.  Specifically, ***
12708 21 CFR 129.80(f) 1 Conformance with govt. standards (S) The [procedures] [apparatus] for bacteriological tests are not in conformance with government-recognized standards.  Specifically, ***
12715 21 CFR 129.80(f) 1 Testing by competent lab Bacteriological tests are not performed by either qualified plant personnel or a competent commercial laboratory.  Specifically, ***
12717 21 CFR 129.80(h) 1 Certificates You did not retain at the plant current certificates or notifications of approval issued by the government agency or agencies approving the source and supply of product water and operations water.  Specifically, ***
12738 21 CFR 120.14(a)(2)(ii) 1 Importer - affirmative steps The affirmative steps in your written procedures will not ensure that the juice products being offered for entry are processed under controls that meet the requirements of the juice HACCP regulation.  Specifically, ***
15001 21 CFR 113.60(a) 1 Corrective actions When a teardown examination revealed gross closure defects, [adequate] corrective action was not taken.  Specifically, ***
15351 FDCA 761(b)(1) 1 No AE report made (dietary supplement) No report was made of a serious adverse event associated with a dietary supplement marketed in the United States.  Specifically, ***
15358 FDCA 761(c)(1) 1 Timing of AE report submission (dietary supplement) An adverse event report for a dietary supplement was not submitted to the Secretary of HHS within 15 business days of receipt of the report,. Specifically, ***
15395 21 CFR 111.10(b)(5) 1 Gloves Your personnel used gloves that were not [intact] [clean] [in a sanitary condition] [made of impermeable material].  Specifically, ***
15402 21 CFR 111.12 1 Personnel - quality control personnel - qualified The personnel you identified to perform quality control operations [are not qualified to do so] [do not have the education, training or experience to perform the assigned functions].  Specifically, ***
15403 21 CFR 111.12(b) 1 Personnel - quality control operations; responsibilities The personnel you identified to perform quality control operations do not have distinct and separate responsibilities related to performing such operations from those responsibilities that the personnel otherwise have when not performing such operations.  Specifically, ***
15404 21 CFR 111.12(c) 1 Personnel - education, training, experience Personnel engaged in [manufacturing] [packaging] [labeling] [holding] dietary supplements do not have the education, training, or experience to perform the person's assigned functions.  Specifically, ***
15410 21 CFR 111.14(b)(2) 1 Personnel - records - training You did not make and keep documentation of training.  Specifically, ***
15423 21 CFR 111.15(j) 1 Trash disposal You did not convey, store, and dispose of trash to [minimize development of odors] [minimize potential for the trash to attract, harbor, or become a breeding place for pests] [protect against contamination of components, dietary supplements, contact surfaces, water supplies, and grounds surrounding your physical plant] [control hazardous waste to prevent contamination of components, dietary supplements, and contact surfaces].  Specifically, ***
15425 21 CFR 111.15(i) 1 Hand-washing facilities Your hand-washing facilities [are not adequate] [are not convenient] [do not furnish running water at a suitable temperature].  Specifically, *** 
15439 21 CFR 111.15(a)(3) 1 Grounds - drainage areas You did not adequately drain areas that may contribute to contamination by seepage, filth or other extraneous materials or may provide a breeding place for pests.  Specifically, ***
15443 21 CFR 111.15(b)(2) 1 Physical plant - repair You did not maintain your physical plant in repair sufficient to prevent components, dietary supplements, or contact surfaces from becoming contaminated.  Specifically, ***
15450 21 CFR 111.15(f)(3) 1 Plumbing - source of contamination The plumbing in your physical plant was not adequate to avoid being a source of contamination to components, dietary supplements, water supplies, or any contact surface or creating an unsanitary condition.  Specifically, ***
15456 21 CFR 111.20(b) 1 Physical plant - space; equipment, materials Your physical plant did not have adequate space for the orderly placement of equipment and holding of materials as necessary [for maintenance, cleaning, and sanitizing operations] [to prevent contamination and mix-ups of components and dietary supplements].  Specifically, ***
15467 21 CFR 111.20(c)(1) 1 Physical plant - receiving, holding, identifying You [did not have] [did not use] separate or defined areas of adequate size or other control systems to prevent contamination or mix-ups of components and dietary supplements during receiving, identifying, holding, and withholding from use components, dietary supplements, packaging, and labels. Specifically, ***
15475 21 CFR 111.20(e)(1) 1 Adequate light - processing, holding Your physical plant did not provide adequate light in areas where components or dietary supplements are [examined] [processed] [held].  Specifically, ***
15491 21 CFR 111.25 1 Equipment - procedures You did not [establish] [follow] written procedures for fulfilling the requirements for equipment and utensils.  Specifically, ***
15492 21 CFR 111.25(a) 1 Procedures - calibrating instruments You did not [establish] [follow] written procedures for calibrating instruments and controls that you use in manufacturing or testing a component or dietary supplement.  Specifically, ***
15498 21 CFR 111.27(d) 1 Equipment - maintain, clean, sanitize You did not [maintain] [clean] [sanitize] equipment and utensils used to manufacture, package, label, or hold components or dietary supplements.  Specifically, ***
15505 21 CFR 111.27(a)(3)(v) 1 Equipment - protect from contamination Your equipment or utensils are not maintained to protect components and dietary supplements from being contaminated.  Specifically, ***
15506 21 CFR 111.27(a)(4) 1 Equipment - bonded seams You used equipment or utensils that do not have seams that are smoothly bonded or maintained to minimize accumulation of extraneous materials or contaminants.  Specifically, ***
15526 21 CFR 111.30(c) 1 Equipment - automated - calibrate, inspect You did not routinely [calibrate] [inspect] [check] the automated, mechanical, or electronic equipment to ensure proper performance.  Specifically, ***
15534 21 CFR 111.255(c)   1 Batch record - each step You did not perform each step in the production of a batch, according to the master production record.  Specifically, ***
15546 21 CFR 111.260(f)  1 Batch record - yield Your batch production records did not include [a statement of the actual yield] [a statement of the percentage of theoretical yield] at appropriate phases of processing.  Specifically, ***
15556 21 CFR 111.260(j)(2)(iv) 1 Batch record - initials; verifying component  Your batch production records did not include initials of the person responsible for verifying the addition of components to the batch.  Specifically, ***
15567 21 CFR 111.260(l)(4) 1 Batch record - approved, released, rejected   Your batch production records did not include documentation that quality control personnel approved and released, or rejected, the packaged and labeled dietary supplement.  Specifically, ***
15583 21 CFR 111.155(d)(1) 1 Components - identify lot received You did not identify each unique lot within each unique shipment of components that you received in a manner that allows you to trace the lot to [the supplier] [the date received] [the name of the component] [the status of the component] [the dietary supplement that you manufactured and distributed].  Specifically,  ***
15586 21 CFR 111.155(e) 1 Components - contamination, deterioration, mixups You did not hold components under conditions that will [protect against contamination] [protect against deterioration] [avoid mix-ups].  Specifically, ***
15598 21 CFR 111.160(d)(1) 1 Packaging - identify  You did not identify each unique lot within each unique shipment of packaging in a manner that allows you to trace the lot to [the supplier] [the date received] [the name of the packaging] [the status of the packaging] [the dietary supplement that you distributed].  Specifically, ***
15605 21 CFR 111.165? 1 Product received - quarantine  You did not quarantine received product.  Specifically, ***
15624 21 CFR 111.180(b)(3) 1 Documentation - components  You did not make and keep documentation that the requirements that apply to production and process control for components of dietary supplements were met.  Specifically, ***
15641 21 CFR 111.453  1 Written procedures - holding  You did not [establish] [follow written] procedures for holding and distributing operations.  Specifically, ***
15646 21 CFR 111.460(a)  1 Hold, identify - in-process material  You did not identify and hold in-process material under conditions that protect against mix-up, contamination, or deterioration.  Specifically, ***
15649 21 CFR 111.465(a)(1) 1 Hold - reserve samples; ordinary storage  You did not hold reserve samples [under conditions consistent with product labels] [under ordinary storage conditions].  Specifically,  ***
15665 21 CFR 111.303 1 Written procedures - tests, examinations; specifications met You did not [establish] [follow] written procedures for the tests and examinations conducted to determine whether specifications are met.  Specifically, ***
15677 21 CFR 111.315(b)(1) 1 Sampling plans; components You did not [establish] [follow] sampling plans for obtaining representative samples of components.  Specifically, ***
15698 21 CFR 111.320(a) 1 Examination, testing; appropriate You did not verify that the laboratory examination and testing methodologies are appropriate for their intended use.  Specifically, ***
15712 21 CFR 111.325(b)(2)(ii) 1 Records - document; results  The documentation for laboratory tests and examinations did not include the results of the testing and examination.  Specifically, ***
15715 21 CFR 111.375(b) 1 Records - manufacturing operations; written procedures  You did not make and keep records of the written procedures for manufacturing operations.  Specifically, ***
15732 21 CFR 111.365(a) 1 Conditions, controls -protect; microorganisms, contamination You did not perform manufacturing operations under conditions and controls that protect against [the potential for growth of microorganisms] [the potential for contamination].  Specifically, ***
15739 21 CFR 111.210(h)(3)(ii)(B) 1 Components; add, verify The specific actions in your written instructions in your master manufacturing record for a manual operation did not include one person to add and another person to verify the addition of the components.  Specifically, ***
15740 21 CFR 111.210(h)(3)(ii)(A)   1 Instructions; components; weight, measure The specific actions in your written instructions in your master manufacturing record for a manual operation did not include one person weighing or measuring and another person verifying the weight or measure of components.  Specifically, ***
15741 21 CFR 111.210(h)(3)(i) 1 Components, verify weight,  measure The written instructions in your master manufacturing record did not include instructions to verify the weight or measure and addition of components.  Specifically,  ***
15742 21 CFR 111.210(h)(3) 1 Specific actions; packaged, labeled The written instructions in your master manufacturing record did not include specific actions to perform and verify points, steps, or stages in the manufacturing process where control is necessary to ensure that the dietary supplement is packaged and labeled as specified in the master manufacturing record.  Specifically, ***
15751 21 CFR 111.210(d) 1 Master manufacturing record - Supplemental Facts  Your master manufacturing record did not include the [identity] [weight or measure] of each dietary ingredient that will be declared on the Supplement Facts label.  Specifically, ***
15801 21 CFR 111.560(b) 1 Quality control, review, approve; investigate, followup Your quality control personnel did not [review and approve decisions about whether to investigate a product complaint] [review and approve the findings and follow-up action of an investigation].  Specifically, ***
15815 21 CFR 111.570(b)(2)(ii)(D) 1 Record - product complaint; nature, how used  The written record of a product complaint did not include the nature of the complaint.   Specifically, ***
15843 21 CFR 111.70(g) 1 Specifications - finished packaging, labeling  You did not establish specifications [for the packaging and labeling of the finished dietary supplement] [to ensure that you used the specified packaging] [to ensure that you applied the specified label].  Specifically, ***
15858 21 CFR 111.75(a)(1)(i) 1 Component -  verify identity, dietary ingredient  You did not conduct at least one appropriate test or examination to verify the identity of a dietary ingredient, prior to its use.  Specifically, ***
15862 21 CFR 111.75(a)(2) 1 Appropriate tests, examinations; certificate of analysis You did not conduct appropriate tests or examinations or rely on a certificate of analysis to determine whether components met established specifications.  Specifically, ***
15897 21 CFR 111.83(a) 1 Reserve sample - collect, hold  You did not collect and hold reserve samples of packaged and labeled dietary supplements that you distributed.  Specifically, ***
15902 21 CFR 111.83(b)(4) 1 Reserve sample - twice the quantity  Your reserve sample did not consist of at least twice the quantity necessary for all tests or examinations to determine whether or not the dietary supplement meets product specifications.  Specifically, ***
15922 21 CFR 111.95(b)(3)   1 Documentation - ensure specifications met   You did not make and keep documentation for why meeting in-process specifications, in combination with meeting component specifications, helps ensure that the dietary supplement meets the specifications for [identity][ purity][ strength][ composition][ limits on contamination that may adulterate or may lead to adulteration of the finished batch of the dietary supplement].  Specifically, ***
15923 21 CFR 111.95(b)(4) 1 Documentation - specifications met; test, examinations  You did not make and keep documentation for why the results of tests or examinations you selected for the product specifications ensure that the dietary supplement meets all product specifications.  Specifically, ***
15927 21 CFR 111.103 1 Written procedures - quality control operations You did not [establish] [follow] written procedures for quality control operations.  Specifically, ***
15929 21 CFR 111.103 1 Written procedures - quality control operations, reprocessin You did not [establish] [follow] written procedures for quality control operations for approving or rejecting reprocessing.  Specifically, ***
15933 21 CFR 111.105(b)   1 Quality control - supplier qualification Your quality control personnel did not review and approve the documentation setting forth the basis for qualification of suppliers.  Specifically, ***
15938 21 CFR 111.105(f)   1 Quality control - representative samples Your quality control personnel did not ensure that required representative samples are collected.  Specifically, ***
15943 21 CFR 111.105(i)   1 QC required operations components packaging labels Your quality control personnel did not perform required operations for [components] [packaging] [labels] before use in the manufacture of a dietary supplement. Specifically,  ***
15944 21 CFR 111.105(i)   1 QC - required operations master manufacturing/batch records  Your quality control personnel did not perform required operations for the [master manufacturing record] [batch record] [manufacturing operations]. Specifically, ***
15967 21 CFR 111.117(b)   1 Quality control operations - calibration records Your quality control operations did not include periodically reviewing all records for calibration of instruments and controls.  Specifically, ***
15980 21 CFR 111.123(a)(4) 1 QC operations - material review, disposition decision Your quality control operations for [the master manufacturing record] [the batch production record] [manufacturing operations] did not include conducting a required material review and making a required disposition decision.  Specifically, ***
15983 21 CFR 111.123(a)(7)   1 Quality control operations - finished batch, specifications Your quality control operations did not include determining whether each finished batch conforms to established product specifications.  Specifically, ***
16042 21 CFR 111.503 1 Written procedures - returned dietary supplement  You did not [establish] [follow] written procedures for when a returned dietary supplement is received.  Specifically, ***
16057 21 CFR 111.535(b)(1) 1 Records - returned dietary supplement: written procedures  You did not make and keep records of written procedures for fulfilling requirements for returned dietary supplements.  Specifically, ***
16060 21 CFR 111.535(b)(4) 1 Returned dietary supplement: reevaluation, determination You did not make and keep records [of documentation of the reevaluation by quality control personnel of a dietary supplement that was reprocessed] [of the determination by quality control personnel of whether the reprocessed dietary supplement met established product specifications].  Specifically, ***

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Devices

Center Name Cite Id Ref No Frequency Short Description Long Description
Devices 4189 21 CFR 820.198(a) 124 General Complaint handling procedures for [receiving] [reviewing] [evaluating] complaints have not been [established] [defined] [documented] [completed] [implemented].  Specifically, ***
3130 21 CFR 820.100(a) 97 Procedures - general Procedures for corrective and preventive action have not been [adequately] established. Specifically, ***
630 21 CFR 803.17 89 Lack of Written MDR Procedures Written MDR procedures have not been [developed] [maintained] [implemented].  Specifically, ***
3696 21 CFR 820.100(b) 83 Lack of documentation of CAPA activities Corrective and preventive action activities and/or results have not been [adequately] documented.  Specifically, ***  
546 21 CFR 820.75(a) 77 General A process whose results cannot be fully verified by subsequent inspection and test has not been [adequately] validated according to established procedures.  Specifically, ***
3415 21 CFR 820.22 61 Quality audits conducted Quality [audits][reaudits] have not been performed.  Specifically, *** 
486 21 CFR 820.50(a) 57 Evaluation of suppliers, contractors and consultants Requirements that must be met by [suppliers] [contractors] [consultants] have not been [adequately] established.   Specifically, ***
3172 21 CFR 820.198(c) 54 Investigation of device failures Complaints involving the possible failure of [a device] [labeling] [packaging] to meet any of its specifications were not [reviewed] [evaluated] [investigated] where necessary. Specifically, *** 
479 21 CFR 820.50 53 Purchasing control procedures Procedures to ensure that all purchased or otherwise received product and services conform to specified requirements have not been [adequately] established.  Specifically, ***
2371 21 CFR 820.30(a) 50 Design control procedures Procedures for design control have not been established.  Specifically,*** 
3103 21 CFR 820.30(i) 50 Design changes - procedures prior to implementation Procedures for design change have not been [adequately] established.  Specifically,***
2327 21 CFR 820.22 49 Quality audit procedures Procedures for quality audits have not been [adequately] established. Specifically, *** 
447 21 CFR 820.40 45 Document control procedures Document control procedures have not been [established] [maintained].  Specifically,*** 
3291 21 CFR 820.100(b) 44 Procedures The procedures addressing documentation of corrective and preventive action activities were not [established] [defined] [documented] [complete] [implemented].  Specifically, ***
3690 21 CFR 820.100(a)(3) 44 Identification of actions needed Not all of the actions needed to correct and prevent the recurrence of nonconforming product and other quality problems have been identified.  Specifically, ***
3160 21 CFR 820.184 41 Establishing device history record procedures Procedures for device history records have not been [adequately] established.  Specifically,*** 
3666 21 CFR 820.20(c) 40 Management review procedures Procedures for management review have not been [adequately] established.  Specifically,*** 
3125 21 CFR 820.80(d) 39 Procedures, finished devices Procedures for finished device acceptance have not been [adequately] established. Specifically, *** 
732 21 CFR 803.50(a)(2) 37 Report of Malfunction An MDR report was not submitted within 30 days of receiving or otherwise becoming aware of information that reasonably suggests that a marketed device has malfunctioned and would be likely to cause or contribute to a death or serious injury if the malfunction were to recur.  Specifically, ***
3120 21 CFR 820.80(a) 37 General Procedures for acceptance activities have not been [adequately] established.  Specifically,***
3692 21 CFR 820.100(a)(4) 37 CAPA verification/validation of corrective/preventive action Corrective and preventive actions have not been verified or validated to ensure that the action is effective and does not adversely affect the finished device.  Specifically, ***
4058 21 CFR 820.20 37 Management responsibility Management with executive responsibility has not ensured that an adequate and effective quality system has been fully implemented and maintained at all levels of the organization.  Specifically, ***
3233 21 CFR 820.72(a) 36 Calibration, inspection, equipment control procedures Procedures to ensure equipment is routinely [calibrated] [inspected] [checked] [maintained] have not been [adequately] established.  Specifically, ***
2974 21 CFR 812.110(b) 35 Investigator non-compliance with agreement/plan/regulations An investigation was not conducted in accordance with [the signed agreement] [the investigational plan] [applicable FDA regulations] [conditions of approval imposed by an IRB] [conditions of approval imposed by FDA].  Specifically, ***
3282 21 CFR 820.90(a) 35 Nonconforming product control procedures Procedures have not been [adequately] established to control product that does not conform to specified requirements.  Specifically, *** 
3371 21 CFR 820.198(a)(3) 35 Processing MDRs {see also 803, 804} Complaint handling procedures have not been [established] [defined] [documented] [completed] [implemented] to ensure that all complaints are evaluated to determine whether the complaint should be filed as a Medical Device Report.  Specifically, ***
731 21 CFR 803.50(a)(1) 34 Report of Death or Serious Injury An MDR report was not submitted within 30 days of receiving or otherwise becoming aware of information that reasonably suggests that a marketed device may have caused or contributed to a death or serious injury.  Specifically, ***
3121 21 CFR 820.80(b) 33 Receiving acceptance procedures Procedures for acceptance of incoming product have not been [adequately] established. Specifically, ***
3369 21 CFR 820.198(a)(1) 33 Uniform and timely processing Complaint handling procedures have not been [established] [defined] [documented] [completed] [implemented] to ensure that all complaints are processed in a uniform and timely manner.  Specifically, ***
3104 21 CFR 820.30(j) 32 Design history file The design history file [was not established] [does not demonstrate that the design was developed following the approved design plan] [does not demonstrate that the design was developed following the requirements of 21 CFR 820].  
3118 21 CFR 820.75(a) 32 Documentation - general Process validation [activities] [results] have not been  [documented] [approved] [adequately documented] [adequately approved].  Specifically, ***
3837 21 CFR 820.25(b) 32 Training documentation Personnel training is not documented. Specifically, ***
538 21 CFR 820.70(a) 31 Process control procedures Process control procedures that describe any process controls necessary to ensure conformance to specifications were not [established] [defined] [documented] [implemented].  Specifically, ***
2351 21 CFR 820.25(b) 31 Training Employees have not been adequately trained.  Specifically, ***
2968 21 CFR 812.100 31 Investigator non-compliance with agreement/plan/regulations An investigation was not conducted according to the [signed agreement] [investigational plan] [applicable FDA regulations].  Specifically, ***
3155 21 CFR 820.181(a) 30 DMR device specifications The device master record does not include or refer to the location of  device software specifications.  Specifically, ***
541 21 CFR 820.70(c) 29 Environmental control Procedures to control environmental conditions have not been [adequately] established.  Specifically, ***
2302 21 CFR 820.20(e) 28 Quality System Procedures Quality system procedures and instructions have not been established.  Specifically,*** 
3164 21 CFR 820.184(d) 28 Acceptance records The device history record does not include [complete] acceptance records that demonstrate the device is manufactured in accordance with the device master record.  Specifically, ***
3380 21 CFR 820.198(e)(6) 28 Results of investigation Records of complaint investigations do not include the [dates] [results] of the investigation.  Specifically, ***
2350 21 CFR 820.25(b) 26 Training Procedures Procedures for training and identifying training needs have not been [adequately] established. Specifically, *** 
3669 21 CFR 820.20(c) 26 Management reviews at defined intervals Management with executive responsibility has not reviewed the suitability and effectiveness of the quality system [at defined intervals] [with sufficient frequency].  Specifically, *** 
3678 21 CFR 820.30(g) 25 Risk analysis Risk analysis [was not performed] [is inadequate] [is incomplete].  Specifically, *** 
3159 21 CFR 820.184 24 DHR content - general The device history record does not demonstrate that the device was manufactured in accordance with [the device master record] [21 CFR 820].
3167 21 CFR 820.198(a) 24 Complete files maintained Complete complaint files are not maintained.  Specifically, ***
2650 21 CFR 820.30(f) 23 Design verification Procedures for design verification have not been [adequately] established.  Specifically,*** 
3127 21 CFR 820.80(e) 22 Documentation Acceptance activities were not [documented] [maintained as part of the device history record] [adequately documented] [adequately maintained as part of the device history record].  Specifically, ***
3301 21 CFR 820.100(a)(2) 22 Investigation procedures The corrective and preventive action procedures addressing the investigation of the cause of nonconformities relating to product, processes, and the quality system were not [established] [defined] [documented] [complete] [implemented].  Specifically, ***
3687 21 CFR 820.100(a)(1) 22 Analysis of data sources Appropriate sources of quality data are not adequately analyzed to identify existing and potential causes of nonconforming product and other quality problems.  Specifically, ***
3688 21 CFR 820.100(a)(1) 22 Analysis of data/reports from data sources Not all [data] [reports] from quality data sources are analyzed to identify existing and potential causes of nonconforming product and other quality problems.  Specifically, ***
3689 21 CFR 820.100(a)(2) 22 Investigation Certain indicators of nonconformities are not investigated to determine the cause of the nonconformity.  Specifically, ***
3117 21 CFR 820.70(i) 21 Software validation for automated processes Software used as part of [production] [the quality system] has not been [adequately] validated for its intended use according to an established protocol.  Specifically, ***
3199 21 CFR 820.40(a) 21 Document review, approval documentation The documentation of approval of documents does not include [the document approval date] [the signature of the approving official].  Specifically, ***
3283 21 CFR 820.90(a) 21 Specific non-conforming product procedures Procedures for addressing the [identification] [documentation] [evaluation] [segregation] [disposition] [investigation] of nonconforming product were not [defined] [documented] [complete].  Specifically, ***
3288 21 CFR 820.90(b)(1) 21 Documentation of disposition, justification, signature There is [no] [incomplete] documentation of the [disposition of nonconforming product] [justification for use of nonconforming product] [the signature of the individual authorizing the use of nonconforming product].  Specifically, ***
3427 21 CFR 820.50(a)(2) 21 Supplier oversight The type and extent of control to be exercised over [the product] [services] [suppliers] [contractors] [consultants] was not clearly defined. Specifically, ***
3101 21 CFR 820.30(g) 20 Design validation procedures Procedures for design validation have not been [adequately] established.  Specifically,*** 
3132 21 CFR 820.120 20 Labeling procedures - general Procedures to control labeling activities have not been [adequately] established. Specifically, *** 
3201 21 CFR 820.40(a) 20 Not approved or obsolete document retrieval Documents that were [not approved] [obsolete] were observed at a location where they [could be] [are being] used. Specifically, ***
3268 21 CFR 820.80(b) 20 Incoming inspection, testing, verification Incoming product was not adequately inspected or tested to verify conformance to specifications.  Specifically, ***
3299 21 CFR 820.100(a)(1) 19 Procedure for analysis of data sources The corrective and preventive procedures addressing the analysis of sources of quality data to identify existing and potential causes of nonconforming product or other quality problems were not [established] [defined] [documented] [complete] [implemented].  Specifically, ***
3416 21 CFR 820.70(a)(1) 19 Process control instructions Process controls are not conducted in accordance with documented instructions and standard operating procedures.  Specifically, ***
14505 21 CFR 812.140(a)(3) 19 Investigator's subject records inadequate Records of each subject's [case history] [exposure to the investigational device] are not all [accurate] [complete] [current].  Specifically, ***
3332 21 CFR 820.184(e) 18 ID label, labeling The device history record does not include the primary identification label and labeling for each device.  Specifically, ***
3425 21 CFR 820.50(a)(1) 18 Evaluation and selection Potential [suppliers] [contractors] [consultants] were not [evaluated] [selected] based on their ability to meet specified requirements.  Specifically, *** 
537 21 CFR 820.70(a) 16 Production processes Production processes were not [developed] [conducted] [controlled] [monitored] to ensure that a device conforms to its specifications.  Specifically, *** 
2293 21 CFR 820.20(d) 16 Quality plan A quality plan has not been [adequately] established.  Specifically, ***
3102 21 CFR 820.30(h) 16 Design transfer Procedures for design transfer have not been [adequately] established.  Specifically,***
3284 21 CFR 820.90(a) 16 Nonconforming product evaluation/investigation The [evaluation] [investigation] of nonconforming product has not been documented.  Specifically, ***
3426 21 CFR 820.50(a)(1) 16 Documenting evaluation The evaluation of potential [suppliers] [contractors] [consultants] was not documented.  Specifically, *** 
3665 21 CFR 820.20(b)(3) 16 Management representative No management representative had been appointed to ensure that quality system requirements are met, and to report to management on the performance of the quality system.  Specifically, ***
3680 21 CFR 820.70(a) 16 Process control procedure content Process control procedures that describe any process controls necessary to ensure conformance to specifications have not been [adequately] established.   Specifically, *** 
3119 21 CFR 820.75(b) 15 Monitoring and control of validated processes Procedures for monitoring and control of process parameters for a validated process have not been [adequately] established. Specifically, ***
3141 21 CFR 820.150(a) 15 Storage procedures to prevent mix-ups Procedures for controlling the storage of product in storage areas and stock rooms were not [established] [defined] [documented] [complete] [implemented] to prevent mix-ups, damage, other adverse effects.  Specifically, ***
3192 21 CFR 820.30(g) 15 Design validation - user needs and intended uses Design validation did not ensure the device conforms to defined user needs and intended uses.  Specifically, ***
3302 21 CFR 820.100(a)(3) 15 Identifying corrective & preventive actions The procedures addressing identification of corrective and preventive actions were not [established] [defined] [documented] [complete] [implemented].  Specifically, ***
3417 21 CFR 820.70(a)(2) 15 Production monitoring and control During production, [process parameters] [component and device characteristics] are not [fully] monitored and controlled.  Specifically, ***
4059 21 CFR 820.22 15 Quality audits - effectiveness of quality system Quality audits were not performed [at defined intervals] [at sufficient frequency] to determine whether the quality system activities and results comply with quality system procedures.  Specifically, *** 
2928 21 CFR 812.40 14 Sponsors' general responsibilities For an investigational study, [qualified investigators were not selected] [investigators were not provided with the information they need to conduct an investigation properly] [proper monitoring was not ensured] [IRB review and approval were not ensured] [an IDE application was not submitted to FDA for a significant risk study] [reviewing IRBs were not promptly informed of significant new information about an investigation] [FDA was not promptly informed of significant new information about an investigation].  Specifically, ***
3428 21 CFR 820.50(a)(3) 14 Acceptable supplier records Records of acceptable [suppliers] [contractors] [consultants] were not maintained.  Specifically, ***
3433 21 CFR 820.75(c) 14 Process changes - review, evaluation and revalidation A validated process was not [reviewed and evaluated] [revalidated] when changes or process deviations occurred. Specifically, ***
2269 21 CFR 820.20(a) 13 Quality policy established The [quality policy] [quality objectives] [was] [were] not established by management with executive responsibility.  Specifically, *** 
3123 21 CFR 820.80(c) 13 Procedures Procedures for the [acceptance] [control] of in-process product have not been [adequately] established. Specifically, *** 
3235 21 CFR 820.72(a) 13 Equipment control activity documentation Equipment [calibrations] [inspections] [checks][maintenance activities] have not been documented.  Specifically, ***
3285 21 CFR 820.90(b)(2) 13 Product rework procedures Procedures for rework of nonconforming product have not been [adequately] established.  Specifically, *** 
4070 21 CFR 820.30(g) 13 Design validation documentation, DHF {see also 820.30(j)} The results of design validation, including [identification of the design] [method(s)] [the date] [the individual(s) performing validation], were not [adequately] documented in the design history file.  Specifically, *** 
3156 21 CFR 820.181(b) 12 DMR production process specifications The device master record does not include or refer to the location of [all] production and process specifications.  Specifically, ***
3206 21 CFR 820.50(b) 12 Purchasing records, specification Purchasing data that clearly describe or reference specified requirements for purchased or otherwise received product and services have not been [approved] [established] [adequately approved] [adequately established].  Specifically, *** 
3250 21 CFR 820.72(b)(2) 12 Calibration documentation There is [no] [incomplete] documentation of [the equipment identification] [calibration dates] [the individual performing each calibration] [the next calibration date] for [inspection] [measurement] [test] equipment.  Specifically, ***
3263 21 CFR 820.250(b) 12 Establishment, appropriateness Sampling plans are not [written][based on valid statistical rationale].  Specifically, *** 
2648 21 CFR 820.30(f) 11 Design verification procedures Procedures for verifying that design output meets design input were not [established] [defined] [documented] [complete] [implemented].  Specifically, ***
2970 21 CFR 812.100 11 Investigator lack of informed consent Informed consent was not obtained in accordance with the regulations regarding the protection of human subjects. Specifically, ***
3286 21 CFR 820.90(b)(1) 11 Procedures for product review, disposition Procedures that define the responsibility for review and the authority for the disposition of nonconforming product have not been [adequately] established.  Specifically, ***
3304 21 CFR 820.100(a)(5) 11 Changes to correct/prevent quality problems Changes in methods and procedures needed to correct and prevent identified quality problems are not [implemented] [recorded] [effective].  Specifically, ***
4057 21 CFR 820.20(a) 11 Management responsibility Management with executive responsibility has not ensured that the quality policy is understood, implemented and maintained at all levels of the organization.  Specifically, *** 
4191 21 CFR 806.10(a)(1) 11 Report of risk to health A correction or removal, conducted to reduce a risk to health posed by a device, was not reported in writing to FDA.  Specifically, ***
2328 21 CFR 820.22 10 Quality audits, auditor independence Individuals who conduct quality audits have direct responsibility for the matters being audited. Specifically, *** 
2429 21 CFR 820.30(b) 10 Establish the design and development plan A design and development plan has not been [established] [defined] [documented] [implemented].  Specifically, ***
2628 21 CFR 820.30(e) 10 Design review procedures - personnel Procedures were not [established] [defined] [documented] [complete] [implemented] for ensuring that participants at each design review include [representatives of all functions concerned with the design stage being reviewed] [an individual who does not have direct responsibility for the design stage being reviewed] [any specialists needed].  Specifically, ***
2981 21 CFR 812.140(a)(2)(i) 10 Investigator device accountability inadequate Records of [receipt] [use] [disposal] of a device that relate to the [type and quantity] [dates of receipt] [batch number or code mark] of the device are not all [accurate] [complete] [current].  Specifically, ***
3227 21 CFR 820.70(g)(1) 10 Activity documentation Maintenance activities, including the [date] [individuals performing those activities], have not been documented.  Specifically, ***
3231 21 CFR 820.70(i) 10 Documentation of software validation Software validation activities and results for computers or automated data processing systems used as part of [production] [the quality system] have not been [adequately] documented.   Specifically, *** 
3345 21 CFR 820.200(a) 10 Procedures established Procedures or instructions for [performing servicing activities] [verifying that servicing meets specified requirements] have not been [adequately] established. Specifically, ***
3677 21 CFR 820.30(g) 10 Design validation of device software Validation of device software [was not performed] [is inadequate] [is incomplete].  Specifically, *** 
3686 21 CFR 820.90(b)(2) 10 Product rework documentation, DHR {see also 820.184} Rework and reevaluation activities have not been [fully] documented in the device history record.  Specifically, ***
502 21 CFR 820.60 9 Identification Procedures for identifying product during all stages of receipt, production, distribution, and installation have not been [adequately] established.  Specifically, *** 
539 21 CFR 820.70(b) 9 Production and process change procedures Procedures for changes to a [specification] [method] [process] [procedure] have not been [adequately] established.  Specifically, *** 
2557 21 CFR 820.30(c) 9 Design input documentation Design input requirements were not [adequately] documented.   Specifically, ***
2985 21 CFR 812.140(a)(3)(ii) 9 Investigator records of relevant observations inadequate Records for each subject concerning [previous medical history] [condition upon entering the investigation] [condition during the course of the investigation] [all diagnostic test results] are not all [accurate] [complete] [current].  Specifically, ***
3144 21 CFR 820.160(a) 9 Control/distribution procedures Procedures for the control and distribution of finished devices have not been [established] [defined] [documented] [complete] [implemented] to ensure that only devices approved for release are distributed.  Specifically, ***
3157 21 CFR 820.181(c) 9 DMR QA  procedures and specifications The device master record does not include or refer to the location of [all] quality assurance procedures and specifications.  Specifically, ***
3171 21 CFR 820.198(b) 9 Rationale documented for no investigation Records for complaints where no investigation was made do not include required information.  Specifically *** 
3207 21 CFR 820.50(b) 9 Supplier notification of changes There is no agreement with [suppliers] [contractors] [consultants] to notify you of changes in the product or service.  Specifically, ***
3232 21 CFR 820.72(a) 9 Equipment suitability & capability Certain [inspection] [measuring] [test] equipment is not [suitable for its intended purposes] [capable of producing valid results].  Specifically, ***
3303 21 CFR 820.100(a)(4) 9 Verify, validate change {see also 820.100(a)} The procedures addressing verification or validation of corrective and preventive actions were not [established] [defined] [documented] [complete] [implemented].  Specifically, ***
3378 21 CFR 820.198(e)(4) 9 Complainant data Records of complaint investigations do not include the [name] [address] [phone number] of the complainant.  Specifically, ***
3128 21 CFR 820.90(a) 8 Nonconforming product control Products that do not conform to specifications are not adequately controlled. Specifically, ***
3170 21 CFR 820.198(b) 8 Review and evaluation for investigation Not all complaints have been [adequately] reviewed and evaluated to determine whether an investigation is necessary. Specifically, ***
3193 21 CFR 820.30(g) 8 Design validation - production units in use conditions The design was not validated under actual or simulated use conditions.  Specifically, *** 
3270 21 CFR 820.80(c) 8 Documentation In-process inspections, tests, or other verification activities and approvals were not documented. Specifically, ***
3379 21 CFR 820.198(e)(5) 8 Nature and details of complaint Records of complaint investigations do not include the nature and details of the complaint.  Specifically, ***
3664 21 CFR 820.20(b)(2) 8 Training Personnel are not adequately trained to perform [management activities] [work] [assessment activities] [audits]. Specifically, ***
3681 21 CFR 820.70(b) 8 Verification or validation of changes Changes to a [specification] [method] [process] [procedure] were not verified or validated.  Specifically, ***
3693 21 CFR 820.100(a)(5) 8 Implementing changes Corrective and preventive action procedures addressing implementation and recording of changes in methods and procedures to correct and prevent identified quality problems were not [established] [defined] [documented] [complete] [implemented].  Specifically, ***
4212 21 CFR 806.20(b)(4) 8 Justification for not reporting A  justification for not reporting the correction or removal action to FDA that included [conclusions] [follow-ups] [reviews] by a designated person was not included in the record.  Specifically,***
632 21 CFR 803.17(a)(2) 7 Lack of System for Determining MDR Events The written MDR procedure does not include an internal system which provides for a standardized review process/procedure for determining when an event meets the criteria for reporting.  Specifically, ***
2556 21 CFR 820.30(c) 7 Incomplete, ambiguous, conflicting design requirements Design input requirements that are [incomplete] [ambiguous] [conflicting] were not addressed.  Specifically, ***
3108 21 CFR 820.70(e) 7 Contamination control procedures Procedures to prevent contamination of equipment or product by substances that may have an adverse effect on product quality have not been [adequately] established.   Specifically, *** 
3204 21 CFR 820.40(b) 7 Change records, content Records of changes did not include [a description of the change] [identification of the affected documents] [the signature of the approving official(s)] [the approval date] [when the change became effective].  Specifically, ***
3262 21 CFR 820.250(a) 7 Establish procedures for identifying statistical techniques Procedures for identifying valid statistical techniques required for establishing, controlling, and verifying the acceptability of process capability and product characteristics have not been [adequately] established.  Specifically,*** 
3269 21 CFR 820.80(b) 7 Incoming acceptance records, documentation Acceptance or rejection of incoming product was not documented. Specifically, ***
3300 21 CFR 820.100(a)(1) 7 Statistical methodology Corrective and preventive action procedures addressing the use of appropriate statistical methodology to identify existing and potential causes of nonconforming product or other quality problems were not [established] [defined] [documented] [complete] [implemented].  Specifically, ***
3434 21 CFR 820.75(c) 7 Documentation - review in response to changes or deviations There is no documentation of the [review and evaluation of a process] [revalidation of a process] performed in response to changes or process deviations.  Specifically, ***
3673 21 CFR 820.30(c) 7 Design input approval documentation The approval of design input requirements [(including the date and signature of the individual approving the requirements)] was not documented.  Specifically, ***
3676 21 CFR 820.30(f) 7 Design verification documentation, DHF {see also 820.30(j)} The design verification results, including [identification of the design] [method(s)] [the date] [the individual(s) performing the verification], were not [adequately] documented in the design history file.  Specifically, *** 
6802 21 CFR 807.21(a) 7 Annual registration Your annual registration [is not current] [was not updated within 30 days of receipt of form FDA 2891a from FDA].   Specifically, ***
14508 21 CFR 812.140(a)(4) 7 Investigator record of protocol deviations inadequate Records showing [dates] [reasons for] each deviation from the protocol are not all [accurate] [complete] [current].  Specifically,***
454 21 CFR 820.40(a) 6 Document review, approval by designated individual Documents were  [not reviewed] [not approved] by designated individual(s) prior to issuance .  Specifically, ***
540 21 CFR 820.70(b) 6 Production and process changes - failure to follow procedure Established procedures were not followed [completely] in making changes to [specifications] [methods] [processes] [procedures].  Specifically, ***
631 21 CFR 803.17(a)(1) 6 Lack of System for Event Evaluations The written MDR Procedure does not include an internal system which provides for the timely and effective [identification] [communication] [evaluation] of events that may be subject to medical device reporting requirements.  Specifically, ***
2649 21 CFR 820.30(f) 6 Design verification acceptance criteria Acceptance criteria were not [established] [defined] [documented] [complete] [implemented] prior to the performance of verification activities.  Specifically, ***
2980 21 CFR 812.140(a)(1) 6 Investigator correspondence records inadequate Records relating to correspondence with [another investigator] [an IRB] [the sponsor] [a monitor] [FDA], including required reports, are not all [accurate] [complete] [current].  Specifically, ***
2984 21 CFR 812.140(a)(3)(i) 6 Investigator records of informed consent inadequate Records documenting that informed consent was obtained for each subject prior to participation in the study are not all [accurate] [complete] [current].  Specifically, ***
3139 21 CFR 820.140 6 Lack of or inadequate procedures for handling Procedures for product handling have not been [adequately] established.  Specifically,***
3190 21 CFR 820.30(g) 6 Design validation acceptance criteria Acceptance criteria were not established prior to the performance of validation activities.  Specifically, ***
3313 21 CFR 820.120(d) 6 Records, DHR {see also 820.184(e)} Labels and labeling used for each finished product, lot, or batch, were not sufficiently documented in the DHR.  Specifically, ***
3333 21 CFR 820.184(f) 6 Device identification, control numbers The device history record does not include [certain] [any] device identifications and control numbers used.  Specifically, ***
3398 21 CFR 820.80(d)(3) 6 No release signature Finished devices were released for distribution without signature of the individual designated to authorize such release.  Specifically, ***
3684 21 CFR 820.75(a) 6 Documentation - specific items Documentation of process validation activities and results does not include [the date and signature of the individuals approving the validation] [the major equipment validated].  Specifically, ***
6803 21 CFR 807.20(a) 6 Devices not listed Devices for which listing is required have not been listed.  Specifically, ***
14507 21 CFR 812.140(a)(3)(ii) 6 Investigator adverse effect records inadequate Records for each subject concerning [anticipated] [unanticipated] adverse device effects are not all [accurate] [complete] [current].  Specifically, ***
542 21 CFR 820.70(c) 5 Environmental control system periodic inspections Environmental control systems have not been inspected periodically to verify that the system, including necessary equipment, is adequate and functioning properly.  Specifically, ***
2276 21 CFR 820.20(b)(1) 5 Responsibility, authority and independence Employees who manage, perform, and assess work affecting quality have not been [assigned the appropriate responsibility and authority] [provided the independence and authority] to accomplish their work. Specifically, ****
2279 21 CFR 820.20(b)(2) 5 Resources Adequate resources have not been provided for performing [management activities] [work] [assessment activities] [audits].  Specifically, ***
2339 21 CFR 820.22 5 Quality audit documentation The dates of quality [audits][reaudits] have not been documented.  Specifically, *** 
2430 21 CFR 820.30(b) 5 Adequacy of design and development plan Design plans that describe or reference the design and development activities and define responsibility for implementation have not been [adequately] established.  Specifically, ***
2604 21 CFR 820.30(e) 5 Design review procedures - general Procedures for design review have not been [adequately] established.  Specifically,*** 
3065 21 CFR 812.140(a)(5) 5 Additional investigator records FDA requires Records that FDA requires by [regulation] [specific requirement] to be maintained for [a category of investigations] [a particular investigation] are not all [accurate] [complete] [current].  Specifically, ***
3151 21 CFR 820.180 5 Legibility Required records are not legible. Specifically, ***
3226 21 CFR 820.70(g)(1) 5 Schedule Schedules for the adjustment, cleaning, and other maintenance of equipment have not been [adequately] established.  Specifically, *** 
3377 21 CFR 820.198(e)(3) 5 Device identification and control number Records of complaint investigations do not include device identifications and control numbers used.  Specifically, ***
3381 21 CFR 820.198(e)(7) 5 Corrective action taken Records of complaint investigations do not include any corrective action taken.  Specifically, ***
3432 21 CFR 820.75(b)(2) 5 Documentation of validated process performance There is [no] [inadequate] documentation of [monitoring and control methods and data] [the date performed] [the individual performing the process] [the major equipment used] for a validated process. Specifically, ***
3675 21 CFR 820.30(f) 5 Design verification - unresolved discrepancies Unresolved discrepancies were noted at the completion of the design verification.  Specifically, ***
3683 21 CFR 820.70(g) 5 Installation, placement qualification The [appropriate design, construction, placement, and installation of manufacturing equipment have not been ensured] [equipment used in the manufacturing process does not meet specified requirements]. Specifically, *** 
3691 21 CFR 820.100(a)(4) 5 Verification vs validation There is no corrective and preventive action procedure to determine when verification can be conducted in lieu of validation.  Specifically, ***
4071 21 CFR 820.30(i) 5 Design changes - validation vs. verification Procedures were not [established] [defined] [documented] [completed] to address when verification of design changes is sufficient in lieu of validation prior to their implementation.  Specifically, ***
4193 21 CFR 806.10(b) 5 Time to report - 10 days A report of the required information regarding device correction and removal actions was not sent to FDA within 10 days of initiating the correction or removal.  Specifically, ***
6800 21 CFR 807.20 5 Establishment not registered An establishment for which registration is required has not been registered.  Specifically, ***
419 21 CFR 820.20(b) 4 Establish organizational structure The organizational structure has not been [adequately] established and maintained to ensure that devices are [designed] [produced] in accordance with 21 CFR 820.  Specifically, *** 
633 21 CFR 803.17(a)(3) 4 Lack of  System for Timely Submission of Reports The written MDR procedure does not include an internal system which provides for timely transmission of complete medical device reports to [FDA] [manufacturers].  Specifically, ***
733 21 CFR 803.50(b)(1) 4 Reporting Information Reasonably Known An MDR report submitted to FDA did not include all information that was reasonably known to the manufacturer.  Specifically, ***
2403 21 CFR 820.25(a) 4 Sufficient personnel Insufficient personnel to assure that all procedures are appropriately carried out as required by the quality system.  Specifically, ***
2601 21 CFR 820.30(d) 4 Essential design outputs Design outputs that are essential for the proper functioning of the device were not [completely] identified.  Specifically, ***
2602 21 CFR 820.30(d) 4 Design output approval Design output was not [reviewed] [approved] before release.  Specifically, *** 
2627 21 CFR 820.30(e) 4 Design reviews performed following schedule Design reviews were not performed at appropriate times, following the review schedule.  Specifically, ***
2949 21 CFR 812.46(a) 4 Sponsor securing investigator compliance An investigator was not complying with the [signed agreement] [investigational plan] [requirements of the regulations] [conditions of approval imposed by the IRB or FDA] and [compliance of the investigator was not promptly secured] [shipments of the investigational device to the investigator were not discontinued] [the investigator's participation in the investigation was not terminated].  Specifically, ***
3021 21 CFR 812.150(a)(1) 4 Investigator report of unanticipated adverse effects A complete and accurate report of an unanticipated adverse device effect was not prepared and submitted [within 10 working days after first learning of the effect] to [the sponsor] [the reviewing IRB].  Specifically, ***
3025 21 CFR 812.150(a)(3) 4 No investigator progress reports Progress reports on the investigation were not submitted [at the required intervals] [at least yearly] to the [sponsor] [monitor] [reviewing IRB]. Specifically, ***
3162 21 CFR 820.184(b) 4 Quantity manufactured The device history record does not include the quantity of devices manufactured.  Specifically, ***
3271 21 CFR 820.80(d) 4 Quarantine of finished devices Finished devices were not adequately controlled until acceptance tests were completed, results approved, and devices released.  Specifically, ***
3316 21 CFR 820.160(a) 4 Expired or deteriorated devices Procedures have not been [established] [defined] [documented] [complete] [implemented] to ensure that expired or deteriorated devices are not distributed.  Specifically, ***
3328 21 CFR 820.180(b) 4 Retention period Required records are not retained for [the design and expected life of the device] [at least 2 years from the date of release of the device for commercial distribution].  Specifically, ***
3382 21 CFR 820.198(e)(8) 4 Reply to complainant Records of complaint investigations do not include any reply to the complainant.  Specifically, ***
3667 21 CFR 820.20(c) 4 Management review accomplishment Management reviews do not ensure that the quality system satisfies [the requirements of part 820] [your quality policy and objectives]. Specifically, ***
3670 21 CFR 820.20(c) 4 Management review participants Documentation does not show that management with executive responsibility participated in  management reviews. Specifically, ***
3671 21 CFR 820.25(a) 4 Personnel education, background, training & experience Personnel do not have the necessary [education] [background] [training] [experience] to perform their jobs. Specifically, *** 
4168 21 CFR 820.100(a)(7) 4 Management review of CAPA Information on identified quality problems and corrective actions has not been [submitted for review by] [reviewed by] management.  Specifically, ***
4192 21 CFR 806.10(a)(2) 4 Report of violation of the Act (see 803.52(e)(9)) A violation of the FD&C Act involving a device which might present a risk to health was not reported to FDA.  Specifically, ***
642 21 CFR 803.18(b)(1)(i) 3 Adverse events--all info not in file MDR event files do not contain or reference all adverse event information in the possession of the reporting entity, including documentation of the deliberations and decision making process used to determine if an event was or was not reportable.  Specifically, ***
2470 21 CFR 820.30(c) 3 Design input procedures - appropriateness Procedures to ensure that a device's design input requirements are appropriate and address its intended use, including user/patient needs, were not [established] [defined] [documented] [complete] [implemented].  Specifically, ***
2481 21 CFR 820.30(c) 3 Design input procedures - addressing conflicting requirement Procedures for addressing incomplete, ambiguous, or conflicting design input requirements were not [established] [defined] [documented] [complete] [implemented].  Specifically, ***
2598 21 CFR 820.30(d) 3 Design output procedures Procedures for defining and documenting design output in terms that allow an adequate evaluation of conformance to design input requirements were not [established] [defined] [documented] [complete] [implemented].  Specifically, ***
2630 21 CFR 820.30(e) 3 Design review documentation, DHF {see also 820.30(j)} The design review results, including [identification of the design] [the date] [the individual(s) performing the review], were not documented in the design history file.  Specifically, *** 
2994 21 CFR 812.140(b)(3) 3 Sponsor records of investigator agreements inadequate Signed investigator agreements that include the required financial disclosure information are not all [accurate] [complete] [current]. Specifically, ***
3111 21 CFR 820.70(f) 3 Buildings Buildings [are not of suitable design] [do not contain sufficient space] to [perform necessary operations] [prevent mix-ups] [assure orderly handling of product].  Specifically, *** 
3142 21 CFR 820.150(a) 3 Storage procedures to avoid release of unsuitable product Procedures for controlling the storage of product in storage areas and stock rooms are not adequate to ensure that no obsolete, rejected, or deteriorated product is distributed.  Specifically, ***
3147 21 CFR 820.170(a) 3 Installation instructions, test procedures [Installation instructions] [inspection instructions] [test procedures] have not been [adequately] established.  Specifically,***
3149 21 CFR 820.180 3 Availability Required records [are not maintained at a location that is reasonably accessible to responsible officials of the manufacturer and to employees of the FDA] [were not made readily available for review and copying by the FDA] [are not legible] [are not stored to minimize deterioration and prevent loss] [are not backed up when stored in automated data processing systems].  Specifically, *** 
3168 21 CFR 820.198(a) 3 Designated unit Complaint files are not [adequately] maintained.  Specifically *** 
3173 21 CFR 820.198(d) 3 Evaluation, timeliness, identification Complaints representing events that are MDR reportable were not [promptly reviewed, evaluated, and investigated by a designated individual] [maintained in a separate portion of the complaint files] [clearly identified]. Specifically, ***
3191 21 CFR 820.30(g) 3 Design validation production units The design was not validated [under defined operating conditions] [using initial production units, lots or batches or their equivalents].  Specifically, *** 
3200 21 CFR 820.40(a) 3 Document locations, dissemination Documents were not available at all locations for which they are designated, used, or otherwise necessary.  Specifically, ***
3203 21 CFR 820.40(b) 3 Change records maintained Records of changes to documents were not [adequately] maintained.  Specifically, ***
3237 21 CFR 820.72(b) 3 Remedial action When test/measurement equipment was found to not meet accuracy and precision limits, [no] [inadequate] action was taken to [bring the equipment into calibration] [evaluate whether there was any adverse effect on the device's quality].  Specifically, ***
3276 21 CFR 820.80(e) 3 Maintained as part of the DHR {see also 820.184} Acceptance records were not maintained as part of the device history record.  Specifically, ***
3306 21 CFR 820.100(a)(7) 3 Management review The procedures addressing submission of information on identified quality problems and corrective and preventive actions for management review were not [established] [defined] [documented] [complete] [implemented].  Specifically, ***
3310 21 CFR 820.120(b) 3 DHR documentation of label release {see also 820.184} The DHR does not include [complete] records of examination and release of device labeling, including date and signature of the examiner.  Specifically, ***
3330 21 CFR 820.181(d) 3 DMR packaging and labeling specifications The device master record does not include or refer to the location of [packaging] [labeling] procedures and specifications.  Specifically, ***
3343 21 CFR 820.198(e) 3 Maintained Records of complaint investigations are not maintained by the formally designated unit. Specifically, ***
3346 21 CFR 820.200(b) 3 Statistical analysis {see also 820.100(a)(1)} Service reports were not analyzed following appropriate statistical methods. Specifically, ***
3349 21 CFR 820.200(d) 3 No documentation Service reports were not documented. Specifically, ***
3370 21 CFR 820.198(a)(2) 3 Oral complaints Complaint handling procedures have not been [established] [defined] [documented] [completed] [implemented] to ensure that all oral complaints are documented upon receipt.  Specifically, ***
3396 21 CFR 820.80(d)(1) 3 DMR required activities {see also 820.181} Finished devices were released for distribution prior to completion of activities required in the Device Master Record.  Specifically, ***
3414 21 CFR 820.200(d)(6) 3 Test and inspection data Service reports do not include applicable test and/or inspection data.  Specifically, ***
3419 21 CFR 820.70(a)(4) 3 Approval of process Processes have not been approved. Specifically, ***
3420 21 CFR 820.70(a)(5) 3 Criteria for workmanship Criteria for workmanship have not been expressed in documented standards or by means of identified and approved representative samples. Specifically, ***
3682 21 CFR 820.70(d) 3 Implementing personnel procedures - health, cleanliness, per Requirements addressing the [health] [cleanliness] [personal practices] [clothing] of employees have not been implemented.  Specifically, ***
3685 21 CFR 820.90(a) 3 Nonconforming product notification of responsible parties Persons or organizations responsible for nonconformances have not been notified of the nonconformances.  Specifically, ***
3702 21 CFR 820.250(a) 3 Appropriateness There is no information to support the appropriateness of the statistical techniques used.  Specifically, ***
3839 21 CFR 820.70(a)(4) 3 Approval of process equipment Process equipment has not been approved.  Specifically, ***
4060 21 CFR 820.20(b)(3)(i) 3 Management representative implementing the quality system The management representative has not ensured that the quality system requirements are effectively established and maintained. Specifically, ***
7012 21 CFR 812.100 3 Investigator lack of control of investigational devices Devices under investigation were not properly controlled.  Specifically, ***
635 21 CFR 803.17(b)(1) 2 Info evaluated to determine if event was reportable The written MDR procedure does not include documentation and recordkeeping requirements for all information that was evaluated to determine if an event was reportable.  Specifically, ***
636 21 CFR 803.17(b)(2) 2 Reports and information documentation The written MDR procedure does not include documentation and recordkeeping requirements for all Medical Device Reports and information submitted to [FDA] [device manufacturers].  Specifically, ***
648 21 CFR 803.18(e) 2 MDR not  evaluated per 820.162 and 820.198 A submitted MDR event was not evaluated in accordance with the requirements of the regulations regarding [Failure Investigations] [Complaint Files].  Specifically, ***
649 21 CFR 803.18(e) 2 Info not obtained or submitted MDR files do not contain explanations of why required information [was not submitted] [could not be obtained].  Specifically, ***
735 21 CFR 803.50(b)(2) 2 Explanation of Incomplete Information An MDR report with incomplete information was submitted to FDA without a statement explaining why such information was incomplete and the steps taken to obtain the information.  Specifically, ***
2330 21 CFR 820.22 2 Quality audit corrective action, reaudits {see also 820.100} Quality reaudits [are not adequately performed] [do not cover corrective actions for the problem areas].  Specifically, ***
2599 21 CFR 820.30(d) 2 Acceptance criteria and essential outputs Design output procedures do not [contain or reference acceptance criteria] [ensure that essential design outputs are identified] [allow for an adequate evaluation of conformance to design input requirements].  Specifically, ***
2600 21 CFR 820.30(d) 2 Acceptance criteria not identified Acceptance criteria for design outputs were not identified.  Specifically, ***
2935 21 CFR 812.43(b) 2 Sponsor shipped devices to unqualified person(s) Investigational devices were shipped to individuals who were not qualified investigators participating in the investigation.  Specifically, ***
2942 21 CFR 812.43(c)(4)(iii) 2 No informed consent statement in investigator agreement A signed agreement that includes a statement of the investigator's commitment to ensure that the requirements for obtaining informed consent are met was not obtained from each participating investigator. Specifically, ***
2972 21 CFR 812.110(a) 2 Informed consent obtained prior to study approval Written informed consent of potential subjects to participate in an investigation was obtained prior to obtaining [IRB] [FDA] approval to conduct the investigation.  Specifically, ***
2975 21 CFR 812.110(c) 2 Investigator did not supervise use of investigational device An investigational device was used for subjects not under the supervision of an authorized investigator.  Specifically, ***
2982 21 CFR 812.140(a)(2)(ii) 2 Investigator records of persons receiving devices inadequate Records of persons who [received] [used] [disposed] of each device are not all [accurate] [complete] [current]. Specifically, ***
2983 21 CFR 812.140(a)(2)(iii) 2 Investigator records of disposition of devices inadequate Records that relate to the [reason why devices] [quantity of devices that] were [returned to the sponsor] [repaired] [disposed of] are not all [accurate] [complete] [current]. Specifically, ***
2993 21 CFR 812.140(b)(2) 2 Sponsor device disposition records inadequate Records of disposition of a device which describe the batch number or code marks of any devices [returned to the sponsor] [repaired] [disposed of by the investigator or another person] and the reasons for and method of disposition reports are not all [accurate] [complete] [current].  Specifically, ***
3038 21 CFR 812.150(b)(1) 2 Sponsor evaluation rpt not timely, distributed Reports of the results of evaluation of unanticipated adverse device effects were not all submitted [within 10 working days of receiving notice of the effect] to [FDA] [all reviewing IRBs] [all participating investigators].  Specifically, ***
3043 21 CFR 812.150(b)(2) 2 Sponsor notification of IRB approval withdrawal Notification of withdrawal of approval of an investigation by a reviewing IRB was not sent [within five working days of withdrawal] to [FDA] [all reviewing IRBs] [all participating investigators].  Specifically, ***
3049 21 CFR 812.150(b)(5) 2 Sponsor progress reports for significant risk study Progress reports for a significant risk device study were not submitted [at required intervals] [at least yearly] to [FDA] [all reviewing IRBs].  Specifically, ***
3163 21 CFR 820.184(c) 2 Quantity released The device history record does not include the quantity of devices released for distribution.  Specifically, ***
3198 21 CFR 820.40(b) 2 Changes - review and approval Changes to documents were not [reviewed and approved by an individual(s) in the same function or organization that performed the original review and approval] [communicated to appropriate personnel in a timely manner].  Specifically, *** 
3236 21 CFR 820.72(b) 2 Procedures - content Calibration procedures do not include [specific directions and limits for accuracy and precision] [provisions for remedial action].  Specifically, ***
3239 21 CFR 820.72(b) 2 Remedial action - documentation Evaluations of out-of-calibration equipment and remedial actions taken were not documented. Specifically, ***
3266 21 CFR 820.86 2 Clearly identified The acceptance status of product was not [identified to indicate conformance or nonconformance with acceptance criteria] [maintained].  Specifically, *** 
3267 21 CFR 820.86 2 Maintained The acceptance status of product was not clearly identified throughout [manufacturing] [packaging] [labeling] [installation] [servicing] of the product.  Specifically, ***
3309 21 CFR 820.120(b) 2 Examination for accuracy Labeling was not sufficiently examined by a designated individual for accuracy including [the correct expiration date] [control numbers] [storage instructions] [handling instructions] [certain additional processing instructions] before release.  Specifically, ***
3312 21 CFR 820.120(d) 2 Mix-ups Labeling and packaging operations were not controlled to prevent labeling mix-ups.  Specifically, ***
3324 21 CFR 820.170(b) 2 Installer's documentation of results The person installing the device did not document complete inspection and test results to demonstrate proper installation.  Specifically, ***
3325 21 CFR 820.180 2 Storage Required records [are not stored so as to minimize deterioration and prevent loss] [that are stored in automated data processing systems are not backed up].  Specifically, ***
3331 21 CFR 820.181(e) 2 DMR installation / maintenance / servicing procedures A device master record has not been [adequately] maintained.  Specifically, ***
3372 21 CFR 820.198(d)(1) 2 Determination of whether device met specifications Investigation records of MDR reportable complaints do not include required information.  Specifically *** 
3397 21 CFR 820.80(d)(2) 2 Review of data and documentation Finished devices were released for distribution before the associated data and documentation was reviewed.  Specifically, ***
3399 21 CFR 820.80(d)(4) 2 No release authorization date Finished devices were released for distribution without the authorization being dated.  Specifically, ***
3674 21 CFR 820.30(d) 2 Design output documentation Design output was not [adequately] documented before release.  Specifically, ***
3700 21 CFR 820.250(a) 2 Invalid technique An invalid statistical technique was used such that there is a likelihood of producing nonconforming and/or defective devices.   Specifically, ***
4436 21 CFR 803.40(a) 2 Report of death, injury by marketed device The importer failed to submit a report to FDA on FDA form 3500A, with a copy to the manufacturer, within 30 days after receiving  information that one of its marketed devices may have caused or contributed to a [death] [serious injury].  Specifically, ***
7006 21 CFR 812.43(c)(5) 2 No financial disclosure info in investigator agreement A signed agreement was not obtained from each participating investigator that includes [sufficient accurate financial disclosure information to allow the sponsor to submit a complete and accurate certification or disclosure statement] [a commitment to promptly update financial disclosure information if any relevant changes occur during the investigation and for one year following completion of the study].  Specifically, ***
14516 21 CFR 812.25(e) 2 Sponsor's lack of written monitoring procedures There are no written procedures for monitoring an investigational device study.  Specifically,***
512 21 CFR 820.65 1 Traceability of control numbers {see also 820.120(e)} Procedures for identifying with a control number each unit, lot, or batch of implantable or life supporting, life sustaining finished devices or appropriate components have not been [adequately] established.   Specifically, ***
621 21 CFR 803.11 1 Failure to use FDA Form 3500A An MDR adverse event report was submitted on a form other than FDA Form 3500A (MEDWATCH form) or an approved electronic equivalent.  Specifically, ***
640 21 CFR 803.18(a) 1 Event files--failure to establish MDR event files have not been established and maintained.  Specifically, ***
650 21 CFR 803.18(e) 1 Results of evaluation not in mfr's MDR file The results of the evaluation of each event are not documented and maintained in the manufacturer's MDR event file.  Specifically, ***
658 21 CFR 803.30(a)(2) 1 Report of Serious Injury Within 10 Days The user facility did not submit FDA Form 3500A or electronic equivalent to the [known device manufacturer] [FDA, because the device manufacturer was unknown,] within 10 working days of becoming aware of information that reasonably suggests that a device has or may have caused or contributed to a serious injury to a patient of the facility.  Specifically, ***
712 21 CFR 803.33(a) 1 Failure to Submit Annual Reports Annual user facility reports have not been submitted to FDA.   Specifically, ***
771 21 CFR 803.52(e)(1) 1 Contact Office Name and Address An individual medical device manufacturer report submitted per FDA Form 3500A did not indicate in Block G the [contact office name and address] [device manufacturing site].  Specifically, ***
796 21 CFR 803.55(a) 1 Initial Submission of Baseline Report A baseline report on FDA Form 3417 or approved electronic equivalent was not submitted following the first MDR report on a device model.  Specifically, ***
2270 21 CFR 820.20(a) 1 Implement quality policy Not all employees [know there is] [understand] [fully implement] the quality policy. Specifically, ***
2338 21 CFR 820.22 1 Quality audit/reaudit reports Reports of results of quality [audits] [reaudits] are not reviewed by management having responsibility for the matters audited.   Specifically, *** 
2431 21 CFR 820.30(b) 1 Design plans updated Design plans were not [reviewed] [updated] [approved] as design and development evolves.  Specifically, *** 
2924 21 CFR 812.20(a)(2) 1 Initiation of study prior to FDA IDE approval FDA approval was not obtained prior to initiation of an investigation for which an FDA-approved IDE was required.  Specifically, ***
2930 21 CFR 812.42 1 Sponsor began study before IRB/FDA approval [An investigation] [Part of an investigation] was initiated before [FDA approval] [IRB approval]. Specifically, ***
2940 21 CFR 812.43(c)(4)(i) 1 No investigation agreement statement of commitment A signed agreement that includes a statement of the investigator's commitment to conduct an investigation in accordance with the [agreement] [investigational plan] [applicable FDA regulations] [conditions of approval imposed by the reviewing IRB] [conditions of approval imposed by the FDA] was not obtained from each participating investigator.  Specifically, ***
2941 21 CFR 812.43(c)(4)(ii) 1 No supervision commitment in investigator agreement A signed agreement that includes a statement of the investigator's commitment to supervise all testing of the device involving human subjects was not obtained from each participating investigator.  Specifically, ***
2944 21 CFR 812.43(d) 1 Monitors not qualified Monitors that are qualified by [training] [experience] were not chosen to monitor the investigational study.  Specifically, ***
2966 21 CFR 812.66 1 No IRB notification of significant risk determination The reviewing IRB did not notify [the investigator] [the sponsor] after determining that a device study, presented for approval as a non-significant risk device study, was actually a significant risk device study.  Specifically, ***
2969 21 CFR 812.100 1 No investigator protection - subject rights, safety, welfare The rights, safety, and welfare of subjects in an investigational study were not [adequately] protected.  Specifically, ***
2976 21 CFR 812.110(c) 1 Supply of investigational device to unauthorized person An investigational device was supplied to a person not authorized to receive it. Specifically, ***
2991 21 CFR 812.140(b)(1) 1 Sponsor correspondence records inadequate Records relating to correspondence with [another sponsor] [a monitor] [an investigator] [an IRB] [FDA], including required reports are not all [accurate] [complete] [current].  Specifically, ***
2997 21 CFR 812.140(b)(4)(ii) 1 Sponsor records re non-significant risk status inadequate For an investigation subject to the abbreviated requirements, records that include a brief explanation of why the device is not a significant risk device are not all [accurate] [complete] [current].  Specifically, ***
3000 21 CFR 812.140(b)(4)(v) 1 Sponsor records re QSR/GMP & non-significant risk studies For an investigation subject to the abbreviated requirements, records that include a statement of the extent to which the regulations covering current good manufacturing practice would be followed in manufacturing the device reports are not all [accurate] [complete] [current]. Specifically, ***
3002 21 CFR 812.140(b)(5) 1 Sponsor records of adverse device effects & complaints Records concerning [anticipated adverse device effects] [unanticipated adverse device effects] [complaint] reports are not all [accurate] [complete] [current]. Specifically, ***
3003 21 CFR 812.140(b)(6) 1 Other sponsor records required by FDA inadequate Records that FDA requires to be maintained for [a category of investigation] [a particular investigation] are not all [accurate] [complete] [current].  Specifically, ***
3041 21 CFR 812.150(b)(3) 1 Sponsor notification of FDA approval withdrawal Notification of withdrawal of approval by FDA was not sent [within five working days of receipt of notice] to [all reviewing IRBs] [all participating investigators].  Specifically, ***
3046 21 CFR 812.150(b)(4) 1 No 6-month sponsor reports of current investigators Current lists of the names and addresses of all investigators participating in an investigation were not [always] submitted to FDA at six month intervals after FDA approval of the investigation.  Specifically, ***
3048 21 CFR 812.150(b)(5) 1 Sponsor progress reports for non-significant risk study For an investigation subject to the abbreviated requirements, progress reports were not [always] submitted to all reviewing IRBs [at required intervals] [at least annually].  Specifically, ***
3064 21 CFR 812.140(a)(4) 1 Investigator protocol records inadequate Copies maintained of the study protocol are not all [accurate] [complete] [current].  Specifically, ***
3109 21 CFR 820.70(d) 1 Personnel procedures-health, cleanliness, personal practices Requirements have not been [adequately] established to address personnel [health] [cleanliness] [personal practices] [clothing].  Specifically, *** 
3113 21 CFR 820.70(g) 1 Design and installation Equipment used in the manufacturing process has not been appropriately [designed] [constructed] [placed] [installed] to facilitate maintenance, adjustment, cleaning, and use. Specifically, *** 
3115 21 CFR 820.70(h) 1 Procedures for use and removal Procedures for the use and removal of manufacturing material have not been [adequately] established.  Specifically, *** 
3138 21 CFR 820.130 1 Packaging Device packaging and/or shipping containers are not designed and constructed to protect the device from alteration or damage during processing, storage, handling, and distribution.  Specifically, *** 
3161 21 CFR 820.184(a) 1 DHR content - manufacturing dates The device history record does not include manufacturing dates.  Specifically, ***
3195 21 CFR 820.30(g) 1 Design validation unresolved discrepancies Unresolved discrepancies were noted at the completion of the design validation.  Specifically, ***
3202 21 CFR 820.40(b) 1 Changes, communication Approved changes were not communicated to appropriate personnel in a timely manner.  Specifically, ***
3208 21 CFR 820.50(b) 1 Approval of purchasing data {see also 820.40(a)} The purchasing data were not approved.  Specifically, ***
3218 21 CFR 820.70(c) 1 Environmental control system-documentation/review inspection Inspections of environmental control system were not [documented] [reviewed]. Specifically, ***
3219 21 CFR 820.70(d) 1 Training for temporary work under special environmental cond Maintenance and other personnel who are required to work temporarily under special environmental conditions are not appropriately trained or supervised by a trained individual. Specifically, *** 
3224 21 CFR 820.70(g)(2) 1 Periodic equipment inspection Procedures for conducting periodic inspections to ensure adherence to equipment maintenance schedules have not been [adequately] established.  Specifically, *** 
3225 21 CFR 820.70(g)(3) 1 Adjustment Inherent limitations or allowable tolerances [are not posted on or near] [are not readily available to personnel performing adjustments of] equipment requiring periodic adjustments. Specifically, *** 
3241 21 CFR 820.72(b)(1) 1 Calibration standard traceability A calibration standard used for [inspection] [measurement] [test] equipment is not traceable to national or international standards nor is it an independent reproducible standard.  Specifically, ***
3264 21 CFR 820.250(b) 1 Procedure for reviewing for adequacy Procedures to ensure sampling methods are adequate for their intended use have not been [adequately] established.  Specifically,***
3311 21 CFR 820.120(c) 1 Storage Labels were stored such that mix-ups were possible.  Specifically, ***
3355 21 CFR 820.198(f) 1 Records accessible to manufacturing site Investigated complaints and records of investigation were not accessible to the manufacturing establishment.  Specifically, ***
3376 21 CFR 820.198(e)(2) 1 Date complaint received Records of complaint investigations do not include the date the complaint was received.  Specifically, ***
3383 21 CFR 820.198(g) 1 Foreign complaint files accessible in U.S. The manufacturer's formally designated complaint unit is located outside of the United States and complaint records are not reasonably accessible in the United States.  Specifically, *** 
3400 21 CFR 820.80(e)(1) 1 Activities performed Acceptance records did not include the acceptance activities performed. Specifically, ***
3418 21 CFR 820.70(a)(3) 1 Standards or codes Process controls do not include testing devices for compliance with applicable standards or codes, as required by device specifications.  Specifically, ***
3429 21 CFR 820.75(b)(1) 1 Performed by qualified individual A validated process was not performed by a qualified individual. Specifically, ***
3668 21 CFR 820.20(c) 1 Management review dates The results and/or dates of management reviews are not documented. Specifically, ***
3672 21 CFR 820.30(c) 1 Design input review and approval Design input requirements were not [reviewed] [approved] by designated individual(s).  Specifically, *** 
3694 21 CFR 820.100(a)(6) 1 Dissemination of problem information Information related to quality problems or nonconforming product is not disseminated to those directly responsible for assuring the [quality of the product] [prevention of the quality problem].  Specifically, ***
3697 21 CFR 820.150(a) 1 Stock rotation, assessment before release Product was not stored to facilitate proper stock rotation and to assess its condition as appropriate.  Specifically, ***
3698 21 CFR 820.150(b) 1 Procedures - receipt and dispatch Procedures were not established for authorizing receipt from and dispatch to storage areas and stock rooms. Specifically, ***
3699 21 CFR 820.160(b) 1 Records {see also 820.65} Distribution records [were not maintained] [do not include or refer to the location of required information].  Specifically, ***
3701 21 CFR 820.250(a) 1 Techniques not used Statistical techniques are not used for control purposes where statistical techniques are applicable.  Specifically, ***
3704 21 CFR 820.250(b) 1 Reviewed for adequacy Sampling methods have not been reviewed for adequacy for their intended use.  Specifically, ***
3706 21 CFR 820.250(b) 1 Review of sampling methods for adequacy The review of sampling methods for adequacy for their intended use was not documented.  Specifically, ***
3841 21 CFR 820.90(b)(2) 1 Product rework adverse effects {see also 820.184} Documentation of rework and reevaluation activities does not include a determination of whether there has been any adverse effect from rework upon the product.  Specifically, ***
4061 21 CFR 820.20(b)(3)(ii) 1 Management representative's reports The management representative has not [fully] reported on the quality system performance to management with executive responsibility. Specifically, ***
4167 21 CFR 820.70(g) 1 Specified requirements Equipment used in the manufacturing process does not meet specified requirements.  Specifically, ***
4169 21 CFR 820.100(a)(7) 1 Identifying relevant info for management review Procedures addressing identification of relevant information to be submitted for management review were not [established] [defined] [documented] [complete] [implemented].  Specifically, ***
4206 21 CFR 806.10(c)(13) 1 Explanation of info. not available In reports of devices subject to correction or removal actions there is no written explanation as to why any required information is not immediately available and when it will be.  Specifically,***
4207 21 CFR 806.10(d) 1 Notification of extended action No amended notification with required information was submitted within 10 working days of initiating an extension of the correction or removal action.  Specifically,***
4208 21 CFR 806.20(a) 1 Records not kept There is no record maintained of a correction or removal action that was not required to be reported to FDA.   Specifically,***
4209 21 CFR 806.20(b)(1) 1 Device name, identification  The records of devices subject to correction and removal actions did not contain the device's [brand name] [common name] [usual name] [classification] [name] [product code] [intended use].  Specifically,***
4248 21 CFR 821.25(b) 1 Records not current Current records for each tracked device while in distribution for use were not [maintained] [complete] [up-to-date] [in accordance with written SOPs].  Specifically,***
4249 21 CFR 821.25(c) 1 Not established, maintained Written procedures for the collection, maintenance, and auditing of device tracking information were not [established] [implemented] [complete] [provided to the FDA].  Specifically,***
4250 21 CFR 821.25(c)(1) 1 Missing data Procedures for explaining why device tracking information is missing [could not be collected] [have not been established] [have not been implemented] [were not complete].  Specifically,***
4252 21 CFR 821.25(c)(3) 1 Quality assurance procedures: 6-month & annual audits A quality assurance program that includes audit procedures for each device subject to tracking and audits performed at 6-month intervals for the first 3 years of distribution and annual audits thereafter using a statistically relevant sampling [has not been established] [is not complete] [has not been followed].  Specifically,***
4430 21 CFR 803.18(d)(1) 1 Distributor responsibilities for records Device complaint records are not [established] [maintained] by the device distributor, including any relevant [incident information] [information regarding the evaluation of the allegations].  Specifically, ***
4437 21 CFR 803.40(b) 1 Report of malfunction likely to cause death or injury The importer failed to submit a report to the manufacturer on FDA Form 3500A within 30 days concerning information that one of the devices marketed by the importer has malfunctioned and that such device or a similar device marketed by the importer would be likely to cause or contribute to a death or serious injury if the malfunction were to recur.  Specifically, ***
6805 21 CFR 807.25(b) 1 Device activities not reported Device activities have not been reported to FDA.  Specifically, ***
6808 21 CFR 807.26 1 Changes FDA was not notified within 30 days of changes in [individual ownership] [corporate structure] [partnership structure] [location] of your registered establishment.  Specifically, ***
6847 21 CFR 807.30(b) 1 Listing not updated or update not timely Device listing information was not updated [in a timely manner].  Specifically, ***
7013 21 CFR 812.110(d) 1 Inadequate financial disclosure by investigator The sponsor was not supplied [sufficient financial information to allow submission of complete and accurate certification or disclosure statements] [financial disclosure updates when a relevant change occurred during the course of the study or within one year following study completion].  Specifically, ***
9176 21 CFR 809.20(b) 1 Compliance with GMP In vitro diagnostic products are not being manufactured in accordance with the good manufacturing practices set forth in the Quality System Regulation.  Specifically, ***
14510 21 CFR 812.150(b)(6) 1 Sponsor notif. of rqst. to return/repair/dispose not timely Notification to [FDA] [all reviewing IRBs] of a request that an investigator [return] [repair] [dispose of] any units of a device [was not made within 30 working days after the request] [did not state why the request was made].  Specifically, ***
14517 21 CFR 812.35(a)(1) 1 No approval for changes requiring prior approval [FDA] [IRB] approval was not obtained for changes to an investigational plan that require prior approval.  Specifically, ***
14523 21 CFR 812.43(c) 1 No investigator agreement A signed investigator agreement was not obtained from each participating investigator.  Specifically,***

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Drugs

Center Name Cite Id Ref No Frequency Short Description Long Description
Drugs 1105 21 CFR 211.22(d) 157 Procedures not  in writing, fully followed The responsibilities and procedures applicable to the quality control unit are not [in writing] [fully followed].  Specifically, ***
3603 21 CFR 211.160(b) 100 Scientifically sound laboratory controls Laboratory controls do not include the establishment of scientifically sound and appropriate [specifications] [standards] [sampling plans] [test procedures] designed to assure that [components] [drug product containers] [closures] [in-process materials] [labeling] [drug products] conform to appropriate standards of identity, strength, quality and purity.  Specifically, ***
2027 21 CFR 211.192 88 Investigations of discrepancies, failures There is a failure to thoroughly review [any unexplained discrepancy] [the failure of a batch or any of its components to meet any of its specifications] whether or not the batch has been already distributed.  Specifically, ***
1358 21 CFR 211.100(b) 81 SOPs not followed / documented Written production and process control procedures are not [followed in the execution of production and process control functions] [documented at the time of performance].  Specifically, ***
3585 21 CFR 211.110(a) 81 Control procedures to monitor and validate performance Control procedures are not established which [monitor the output] [validate the performance] of those manufacturing processes that may be responsible for causing variability in the characteristics of in-process material and the drug product.  Specifically, ***
1361 21 CFR 211.100(a) 75 Absence of Written Procedures  There are no written procedures for production and process controls designed to assure that the drug products have the identity, strength, quality, and purity they purport or are represented to possess.  Specifically, ***
2009 21 CFR 211.188 66 Prepared for each batch, include complete information Batch production and control records [are not prepared for each batch of drug product produced] [do not include complete information relating to the production and control of each batch].  Specifically, ***
1213 21 CFR 211.67(a) 65 Cleaning / Sanitizing / Maintenance Equipment and utensils are not [cleaned] [maintained] [sanitized] at appropriate intervals to  prevent [malfunctions] [contamination] that would alter the safety, identity, strength, quality or purity of the drug product.  Specifically, ***
1215 21 CFR 211.67(b) 64 Written procedures not established/followed Written procedures are not [established] [followed] for the cleaning and maintenance of equipment, including utensils, used in the manufacture, processing, packing or holding of a drug product.  Specifically, ***
1112 21 CFR 211.25(a) 49 Training--operations, GMPs, written procedures Employees are not given training in [the particular operations they perform as part of their function] [current good manufacturing practices] [written procedures required by current good manufacturing practice regulations].  Specifically, ***
4314 21 CFR 211.84(d)(2) 49 Reports of Analysis (Components) Reports of analysis from component suppliers are accepted in lieu of testing each component for conformity with all appropriate written specifications, without [performing at least one specific identity test on each component] [establishing the reliability of the supplier's analyses through appropriate validation of the supplier's test results at appropriate intervals].  Specifically, ***
1274 21 CFR 211.68(a) 48 Calibration/Inspection/Checking not done Routine [calibration] [inspection] [checking] of  [automatic] [mechanical] [electronic] equipment is not performed according to a written program designed to assure proper performance.  Specifically, ***
1883 21 CFR 211.165(a) 48 Testing and release for distribution Testing and release of drug product for distribution do not include appropriate laboratory determination of satisfactory conformance to the [final specifications] [identity and strength of each active ingredient] prior to release.  Specifically, ***
1177 21 CFR 211.63 45 Equipment Design, Size and Location Equipment used in the manufacture, processing, packing or holding of  drug products is not [of appropriate design] [of adequate size] [suitably located] to facilitate operations for its [intended use] [cleaning and maintenance].  Specifically, ***
2026 21 CFR 211.192 41 Quality control unit review of records Drug product production and control records, are not [reviewed] [approved] by the quality control unit to determine compliance with all established, approved written procedures before a batch is released or distributed.  Specifically, ***
4402 21 CFR 211.192 41 Written record of investigation incomplete Written records of investigations into [unexplained discrepancies] [the failure of a batch or any of its components to meet specifications] do not [always] include the conclusions and follow-up.  Specifically, ***
1914 21 CFR 211.166(a) 39 Lack of written stability program There is no written testing program designed to assess the stability characteristics of drug products.  Specifically, ***
4391 21 CFR 211.180(e)(2) 39 Items to cover on annual reviews Written procedures are not [established] [followed] for evaluations done at least annually and including provisions for a review of [complaints] [recalls] [returned or salvaged drug products] [investigations conducted for each drug product].  Specifically, ***
1787 21 CFR 211.80(a) 36 Procedures To Be in Writing Written procedures are lacking which describe in sufficient detail the [receipt] [identification] [storage] [handling] [sampling] [testing] [approval] [rejection] of [components] [drug product containers] [closures].  Specifically, ***
1767 21 CFR 211.137(a) 35 Expiration date lacking Drug products do not bear an expiration date determined by appropriate stability data to assure they meet applicable standards of identity, strength, quality and purity at the time of use.  Specifically, ***
2028 21 CFR 211.192 34 Extent of discrepancy, failure  investigations Investigations of [an unexplained discrepancy] [a failure of a batch or any of its components to meet any of its specifications]  did not extend to [other batches of the same drug product] [other drug products that may have been associated with the specific failure or discrepancy].  Specifically, ***
4389 21 CFR 211.198(a) 34 Procedures to be written and followed Procedures describing the handling of all written and oral complaints regarding a drug product are not [established] [written] [followed].  Specifically, ***
1943 21 CFR 211.180(e)(1) 33 Review of representative number of batches Written procedures are not [established] [followed] for  evaluations conducted at least annually to review records associated with a representative number of batches, whether approved or rejected.  Specifically, ***
2419 21 CFR 211.198(a) 33 Complaint Handling Procedure Procedures describing the handling of written and oral complaints related to drug products are [not written or followed] [deficiently written or followed].  Specifically, ***
9001 21 CFR 211.22(a) 33 Lack of quality control unit There is no quality control unit.  Specifically, ***
4303 21 CFR 211.67 b) 32 Written procedures fail to include Written procedures for cleaning and maintenance fail to include [assignment of responsibility] [maintenance and cleaning schedules] [description in sufficient detail of methods, equipment and materials used] [description in sufficient detail of the methods of disassembling and reassembling equipment as necessary to assure proper cleaning and maintenance] [instructions for removal or obliteration of previous batch identification] [instructions for protection of clean equipment from contamination prior to use] [parameters relevant to the operation].  Specifically, ***
1133 21 CFR 211.25(a) 31 GMP Training Frequency GMP training is not conducted [on a continuing basis] [with sufficient frequency] to assure that employees remain familiar with CGMP requirements applicable to them.  Specifically, ***
4576 21 CFR 211.192 31 No written record of investigation Written records are not [always] made of investigations into [unexplained discrepancies] [the failure of a batch or any of its components to meet specifications].  Specifically, ***
3570 21 CFR 211.100(a) 30 Approval and review of procedures Written procedures are not [drafted, reviewed and approved by the appropriate organizational units] [reviewed and approved by the quality control unit].  Specifically, ***
1890 21 CFR 211.165(e) 28 Test methods  The [accuracy] [sensitivity] [specificity] [reproducibility] of test methods have not been [established] [documented].  Specifically, ***
1111 21 CFR 211.25(a) 27 Training , Education , Experience overall Employees  engaged in the [manufacture] [processing] [packing] [holding] of a drug product lack the [education] [training] [experience] required to perform their assigned functions.  Specifically, ***
4413 21 CFR 211.194(a)(8) 27 Second person sign off Laboratory records do not include the initials or signature of a second person showing that the original records have been reviewed for [accuracy] [completeness] [compliance with established standards].  Specifically, ***
1809 21 CFR 211.160(a) 25 Following/documenting laboratory controls Established [specifications] [standards] [sampling plans] [test procedures] [laboratory control mechanisms] are not [followed] [documented at the time of performance].  Specifically, ***
4352 21 CFR 211.160(b)(4) 25 Calibration - at intervals, written program, remedial action The calibration of [instruments] [apparatus] [gauges] [recording devices] is not done at suitable intervals [in accordance with an established written program] [with provisions for remedial action in the event accuracy and/or precision limits are not met].  Specifically, ***
1912 21 CFR 211.166(a) 24 Written program not followed The written stability testing program is not followed.  Specifically, ***
3572 21 CFR 211.100(b) 24 Procedure Deviations Recorded and Justified Deviations from written production and process control procedures are not [recorded] [justified].  Specifically, ***
1227 21 CFR 211.67(c) 23 Cleaning/maintenance records not kept Records are not kept for the [maintenance] [cleaning] [sanitizing] [inspection] of equipment.  Specifically, ***
3565 21 CFR 211.58 23 Buildings not maintained in good state of repair Buildings used in the [manufacturing] [processing] [packing] [holding] of a drug product are not maintained in a good state of repair.  Specifically, ***
1540 21 CFR 211.125(a) 22 Strict control not exercised over labeling issued Strict control is not exercised over labeling issued for use in drug product labeling operations.  Specifically, ***
1450 21 CFR 211.113(a) 21 Procedures for non-sterile drug products Procedures designed to prevent objectionable microorganisms in drug products not required to be sterile are not [established] [written] [followed].  Specifically, ***
1451 21 CFR 211.113(b) 21 Procedures for sterile drug products Procedures designed to prevent microbiological contamination of drug products purporting to be sterile are not [established] [written] [followed].  Specifically, ***
1833 21 CFR 211.84(d)(1) 21 Identity Testing of Each Component The identity of each component of a drug product is not verified by conducting at least one test to verify the identity, using specific identity tests if they exist.  Specifically, ***
2031 21 CFR 211.194(a) 21 Complete test data included in records Laboratory records do not include complete data derived from all tests, examinations and assay necessary to assure compliance with established specifications and standards.  Specifically, , ***
1810 21 CFR 211.160(a) 19 Lab controls established, including changes The establishment of [specifications] [standards] [sampling plans] [test procedures] [laboratory control mechanisms] including any changes thereto, are not [drafted by the appropriate organizational unit] [reviewed and approved by the quality control unit].  Specifically, ***
1975 21 CFR 211.182 19 Written records kept in individual logs Written records of major equipment [cleaning] [maintenance] [use]  are not included in individual equipment logs.  Specifically, ***
3583 21 CFR 211.110(a) 19 Written in-process control procedures Written procedures are not [established] [followed] that describe the [in-process controls] [tests] [examinations] to be conducted on appropriate samples of in-process materials of each batch.  Specifically, ***
1098 21 CFR 211.22(c) 18 Approve or reject procedures or specs The quality control unit lacks responsibility to [approve] [reject] all procedures or specifications impacting on the [identity] [strength] [quality] [purity] of drug products.  Specifically, ***
1448 21 CFR 211.111 18 Establishment of time limitations Time limits are not established when appropriate  for the completion of each production phase to assure the quality of the drug product.  Specifically, ***
3571 21 CFR 211.100(a) 18 Changes to Procedures Not Reviewed, Approved Changes to written procedures are  not [drafted, reviewed and approved by the appropriate organizational unit] [reviewed and approved by the quality control unit].  Specifically, ***
4342 21 CFR 211.142(b) 18 Storage under appropriate conditions Drug products are not stored under appropriate conditions of [temperature] [humidity] [light] so that their identity, strength, quality, and purity are not affected.  Specifically, ***
3602 21 CFR 211.160(a) 17 Deviations from laboratory control requirements Deviations from written [specifications] [standards] [sampling plans] [test procedures] [laboratory mechanisms] are not [recorded] [justified].  Specifically, ***
1261 21 CFR 211.68(a) 16 Written calibration / inspection records not  kept Records of the [calibration checks] [inspections] of  automatic, mechanical or electronic equipment, including computers or related systems are not maintained.  Specifically, ***
1395 21 CFR 211.103 16 Actual vs. theoretical yields not determined Actual yield and percentages of theoretical yield are not determined at the conclusion of each appropriate phase of [manufacturing] [processing] [packaging] [holding] of the drug product.  Specifically, ***
1550 21 CFR 211.125(f) 16 Procedures Written and Followed Procedures describing in sufficient detail the controls employed for the issuance of labeling are not [written] [followed]. Specifically, ***
1626 21 CFR 211.130 16 Procedures are written, and followed Procedures designed to assure that correct [labels] [labeling] [packaging materials] are used for drug products are not [written] [followed].  Specifically, ***
1891 21 CFR 211.165(f) 16 Failing drug products not rejected Drug products failing to meet established [standards] [specifications] [quality control criteria] are not rejected.  Specifically, ***
4306 21 CFR 211.80(a) 16 Written Procedures Not Followed Written procedures are not followed for the [receipt] [identification] [storage] [handling] [sampling] [testing] [approval] [rejection] of [components] [drug product containers] [closures].  Specifically, ***
1885 21 CFR 211.165(b) 15 Microbiological testing Each batch of drug product required to be free of objectionable microorganisms is not tested through appropriate laboratory testing.  Specifically, ***
2205 21 CFR 211.186(b)(9) 15 Manufacturing Instructions and Specifications The master production and control records are deficient in that they do not include complete [manufacturing] [control] [instructions] [sampling] [testing] [procedures] [specifications] [special notations] [precautions].  Specifically, ***
4372 21 CFR 211.188(b)(8) 15 Labeling control records including specimens or copies Batch production and control records do not include complete labeling control records, including specimens or copies of all labeling used for each batch of drug product produced.  Specifically, ***
2619 21 CFR 211.198(b)(2) 14 Complaint Investigation/Follow-Up Findings Complaint records are deficient in that they do not include the findings of the [investigation] [follow-up].  Specifically, ***
4340 21 CFR 211.142 14 Written warehousing procedures established/followed Procedures describing the warehousing of drug products are not [established] [followed].  Specifically, ***
6732 21 CFR 314.80(c)(1)(i) 14 Late submission of 15-day report Not all adverse drug experiences that are both serious and unexpected have been reported to FDA within 15 calendar days of initial receipt of the information.  Specifically, ***
1920 21 CFR 211.166a)(3) 13 Valid stability test methods The written stability program for drug products does not include [reliable] [meaningful] [specific] test methods.  Specifically, ***
3616 21 CFR 211.165(d) 13 Acceptance criteria for sampling & testing Acceptance criteria for the sampling and testing conducted by the quality control unit is not adequate to assure that batches of drug products meet [each appropriate specification] [appropriate statistical quality control criteria] as a condition for their approval and release.  Specifically, ***
3632 21 CFR 211.170(b) 13 Annual visual exams of drug products Reserve samples from representative sample lots or batches of drug products selected by acceptable statistical procedures are not examined visually at least once a year for evidence of deterioration.  Specifically, ***
4307 21 CFR 211.80(d) 13 Status of Each Lot Identified Each lot of [components] [drug product containers] [closures] was not appropriately identified as to its status in terms of being quarantined, approved or rejected.  Specifically, ***
6730 21 CFR 314.80(b) 13 Failure to develop written procedures Written procedures have not been developed for the [surveillance] [receipt] [evaluation] [reporting to FDA] of post marketing adverse drug experiences. Specifically, ***
1454 21 CFR 211.115(a) 12 Reprocessing procedures not written or followed Procedures prescribing a system for reprocessing batches to insure that the reprocessed batches will conform with all established standards, specifications, and characteristics are  not [written] [followed].  Specifically, ***
1495 21 CFR 211.122(a) 12 Written procedures describing in detail There is a lack of written  procedures describing in sufficient detail the [receipt] [identification] [storage] [handling] [sampling] [examination] [testing] of labeling and packaging materials.  Specifically, ***
1790 21 CFR 211.80(b) 12 Handling and Storage to Prevent Contamination There was a failure to handle and store [components] [drug product containers] [closures] at all times in a manner to prevent contamination.  Specifically, ***
1942 21 CFR 211.180(e) 12 Records reviewed annually  Records are not maintained so that data therein can be reviewed at least annually to evaluate the quality standards of each drug product to determine the need for changes in specifications or manufacturing or control procedures.  Specifically, ***
2008 21 CFR 211.186(a) 12 Written procedures followed Procedures for the preparation of master production and control records are not [described in a written procedure] [followed].  Specifically, *** 
2034 21 CFR 211.194(d) 12 Laboratory equipment calibration records Laboratory records do not include complete records of the periodic calibration of laboratory [instruments] [apparatus] [gauges] [recording devices].  Specifically, ***
3559 21 CFR 211.56(a) 12 Sanitation--buildings not clean, free of infestation Buildings used in the manufacture, processing, packing or holding of drug products are not [maintained in a clean and sanitary condition] [free of infestation by rodents, birds insects, and other vermin]. Specifically, ***
8911 21 CFR 314.81(b)(1)(ii) 12 Failure to meet specifications An NDA-Field Alert Report was not submitted within three working days of receipt of information concerning a failure of one or more distributed batches of a drug to meet the specifications established for it in the application.   Specifically, ***
2003 21 CFR 211.184(c) 11 Individual inventory record Records fail to include an individual inventory record of each [component] [reconciliation of the use of each component] [drug product container] [drug product closure] with sufficient information to allow determination of any associated  batch or lot of drug product.  Specifically, ***
2007 21 CFR 211.186(a) 11 Signature and checking of records -- 2 persons The master production and control records for each batch size of drug product are not  [prepared, dated, and signed by one person with a full handwritten signature] [independently checked, dated, and signed by a second person].  Specifically, ***
3569 21 CFR 211.89 11 Quarantine of Rejected Components et. al. Rejected [components] [drug product containers] [closures] are not controlled under a quarantine system designed to prevent their use in manufacturing or processing operations for which they are unsuitable.  Specifically, ***
4353 21 CFR 211.160(b)(4) 11 Instruments, apparatus, et. al. not meeting specs The use of [instruments] [apparatus] [gauges] [recording devices] not meeting established specifications was observed.   Specifically, ***
4382 21 CFR 211.198(b)(2) 11 Written record of complaint to include findings, follow-up Written records of investigation of a drug complaint do not include [the findings of the investigation] [the follow-up].  Specifically, ***
1086 21 CFR 211.22(b) 10 Adequate lab facilities not available  Adequate lab facilities for testing and approval or rejection of [components] [drug product containers] [closures] [packaging materials] [in-process materials] [drug products] are not available to the quality control unit.  Specifically, ***
1162 21 CFR 211.28(a) 10 Protective Apparel Not Worn Protective apparel is not worn as necessary to protect drug products from contamination.  Specifically, ***
1434 21 CFR 211.42(c)(10)(iv) 10 Environmental Monitoring System Aseptic processing areas are deficient regarding the system for monitoring environmental conditions.  Specifically, ***
1452 21 CFR 211.113(b) 10 Validation lacking for sterile drug products Procedures designed to prevent microbiological contamination of drug products purporting to be sterile do not include [adequate] validation of the sterilization process.  Specifically, ***
3547 21 CFR 211.46(b) 10 Equipment for Environmental Control Equipment for adequate control over [air pressure] [micro-organisms] [dust] [humidity] [temperature] is not provided when appropriate for the manufacture, processing, packing or holding of a drug product.  Specifically, ***
3561 21 CFR 211.56(b) 10 Written sanitation procedures lacking There is a lack of written procedures [assigning responsibility] [providing cleaning schedules] [describing in sufficient detail the methods, equipment and materials to be used] for sanitation.  Specifically, ***   
3629 21 CFR 211.170(b) 10 Reserve samples identified, representative, stored Reserve drug product samples  are not [appropriately identified] [representative of each lot or batch of drug product] [retained and stored under conditions consistent with product labeling].  Specifically, ***
1169 21 CFR 211.42(a) 9 Buildings of Suitable Size, Construction, Location Buildings used in the manufacture, processing, packing, or holding of a drug product do not have the suitable [size] [construction] [location] to facilitate cleaning, maintenance, and proper operations.  Specifically, ***
1194 21 CFR 211.42(c) 9 Defined areas of adequate size for operations The [separate or defined areas][control systems] necessary to prevent contamination or mix-ups are deficient. Specifically, ***
1632 21 CFR 211.130(c) 9 Lot or control number assigned The drug product is not identified with a lot or control number that permits the determination of the history of the manufacture and control of the batch.  Specifically, ***
1801 21 CFR 211.84(a) 9 Components withheld from use pending release Each lot of [components] [drug product containers] [closures] is not withheld  from use until the lot has been sampled, tested, examined, and released by the quality control unit.  Specifically, ***
1851 21 CFR 211.84(e) 9 Rejecting  When Specifications Not Met Failure to reject any lot of [components] [drug product containers] [closures] that did not meet the appropriate written specifications for identity, strength, quality, and purity.  Specifically, ***
1926 21 CFR 211.166(b) 9 Adequate number of batches on stability An adequate number of batches of each drug product are not tested [nor are records of such data maintained] to determine an appropriate expiration date.  Specifically, ***
2044 21 CFR 211.196 9 Distribution Record Requirements Distribution records do not contain the [name and strength of the drug product] [description of dosage form] [name and address of consignee] [date and quantity shipped] [lot or control number of drug product].  Specifically, ***
3557 21 CFR 211.52 9 Washing and toilet facilities are deficient Washing and toilet facilities lack [hot and cold water] [soap or detergent] [air driers or single-service towels] [cleanliness].  Specifically, ***
3613 21 CFR 211.160(b)(4) 9 Establishment of calibration procedures Procedures describing the calibration of instruments, apparatus, gauges and recording devices are [not written or followed] [deficiently written or followed].  Specifically, ***
4315 21 CFR 211.84(d)(2) 9 Testing Each Component for Conformity with Specs Each component is not tested for conformity with all appropriate written specifications for purity, strength, and quality.  Specifically, ***
4336 21 CFR 211.150 9 Written distribution procedure Written distribution procedures are not [established] [followed].  Specifically, ***
4357 21 CFR 211.166(a) 9 Results not used for expiration dates, storage cond. Results of stability testing are not used in determining [appropriate storage conditions] [expiration dates].  Specifically, ***
1033 21 CFR 211.22(a) 8 Authority lacking to review records, investigate errors The quality control unit lacks authority  to [review production records to assure that no errors have occurred] [fully investigate errors that have occurred].  Specifically, ***
1388 21 CFR 211.101(d) 8 Component addition checked by 2nd person Each component is not added to a batch by one person and verified by a second person.  Specifically, ***
1802 21 CFR 211.84(b) 8 Representative Samples Representative samples are not taken of each shipment of each lot of [components] [drug product containers] [closures] for testing or examination.  Specifically, ***
3553 21 CFR 211.48(a) 8 Plumbing System Defects The plumbing system contains defects that could contribute to the  contamination of drug products.  Specifically, ***
3582 21 CFR 211.105(a) 8 Identification of containers, lines, equipment All [compounding and storage containers] [processing lines] [major equipment] used during the production of a batch of drug product is not properly identified at all times to indicate [contents] [the phase of processing of the batch].  Specifically, *** 
4343 21 CFR 211.160(b)(1) 8 Incoming lots - conformance to written specs- Laboratory controls do not include determination of conformance to appropriate written specifications for the acceptance of each lot within each shipment of [components] [drug product containers] [closures] [in-process materials] [labeling] [drug products] used in the manufacture, processing, packing, or holding of drug products.  Specifically, ***
4368 21 CFR 211.188(b)(12) 8 Investigations made into any unexplained discrepancy Batch production and control records do not include the results of any investigation made into any unexplained discrepancy, whether or not the batch of drug product had already been distributed.  Specifically, ***
4371 21 CFR 211.188(b)(9) 8 Description of containers and closures Batch production and control records do not include a description of drug product [containers] [closures] used for each batch of drug product produced.  Specifically, ***
4400 21 CFR 211.186(b)(8) 8 Description of containers, labels, et. al. Master production and control records lack [a description of the drug product containers, closures and packaging materials] [a specimen or copy of each label and all other labeling] [the signatures and dates entered by the person or persons responsible for the approval of labeling].  Specifically, ***
8912 21 CFR 314.81(b)(2) 8 Timely submission An annual report was not submitted [each year] [within 60 days of the anniversary date of U.S. approval of the application] to the FDA division responsible for reviewing the application.   Specifically, ***
1049 21 CFR 211.22(a) 7 Approve or reject components, products  The quality control unit lacks the responsibility and authority to [approve] [reject] all [components] [drug product containers] [closures] [in process materials] [packaging material] [labeling] [drug products].  Specifically, ***
1411 21 CFR 211.105(b) 7 Distinctive ID or code not recorded in batch record The batch records do not record the distinctive [identification number] [code] [name of equipment]  to identify major equipment to show the specific equipment used in the manufacture of a batch of a drug product.  Specifically, ***
1728 21 CFR 211.87 7 Retest of approved components/containers/closures Approved [components] [drug product containers] [closures] are not retested or reexamined as appropriate for identity, strength, quality and purity after [storage for long periods] [exposure to conditions that might have an adverse effect]  with subsequent approval or rejection by the quality control unit.  Specifically, *** 
1886 21 CFR 211.165(c) 7 Sampling and testing plans not described Sampling and testing plans for drug products are not described in written procedures which include the [method of sampling] [number of units per batch to be tested].  Specifically, ***
2001 21 CFR 211.184(b) 7 Component Test Records The [component] [drug product container] [closure] [labeling] records do not include the [results of tests or examinations performed] [the conclusions derived from tests or examinations performed].  Specifically, ***
3562 21 CFR 211.56(c) 7 Written procedures lacking for use of pesticides etc. Written procedures are lacking for the use of  [rodenticides] [insecticides] [fungicides] [fumigating agents] [cleaning and sanitizing agents] designed to prevent the contamination of [equipment] [components] [drug product containers] [closures] [packaging, labeling materials] [drug products].  Specifically, ***
4369 21 CFR 211.188(b)(11) 7 Identification of persons involved, each significant step Batch production and control records do not include the identification of the persons [performing] [directly supervising] [checking] each significant step in the operation, for each batch of drug product produced.  Specifically, ***
4373 21 CFR 211.188(b)(7) 7 Actual yield, % of theoretical yield The batch production and control records do not include a statement of the [actual yield] [percentage of theoretical yield] at appropriate stages of processing for each batch of drug product produced.  Specifically, ***
4377 21 CFR 211.188(b(3) 7 Identification of each  component or in-process material Batch production and control records do not include the specific identification of each batch of [component] [in-process material] used for each batch of drug product produced.  Specifically, ***
4401 21 CFR 211.186(b)(9) 7 Complete instructions, procedures, specifications et. al. Master production and control records lack [complete manufacturing and control instructions] [sampling and testing procedures] [specifications] [special notations] [precautions to be followed].  Specifically, ***
4406 21 CFR 211.194(a)(2) 7 Suitability of testing methods verified The suitability of all testing methods is not verified under actual conditions of use.  Specifically, ***
6823 21 CFR 314.80(c) 7 Failure by applicant to report ADE Adverse drug experience information has not been reported to FDA.  Specifically, ***
8907 21 CFR 314.81(b)(1)(ii) 7 Contamination, chemical or physical change, deterioration An NDA-Field Alert Report was not submitted within three working days of receipt of information concerning [bacteriological contamination] [significant chemical, physical, or other change or deterioration] in a distributed drug product.   Specifically, ***
1134 21 CFR 211.25(b) 6 Supervisor Training/Education/Experience Individuals responsible for supervising the [manufacture] [processing] [packing] [holding] of a drug product lack the  [education] [training] [experience] to perform their assigned functions in such a manner as to assure the drug product has the safety, identity, strength, quality and purity that it purports or is represented to possess.  Specifically, ***
1220 21 CFR 211.67(b)(3) 6 Cleaning SOPs/instructions Procedures for the cleaning and maintenance of equipment are deficient regarding sufficient detail of the methods, equipment, and materials used in the cleaning and maintenance operation, and the methods of disassembly and reassembling equipment as necessary to assure proper cleaning and maintenance.  Specifically, ***
1263 21 CFR 211.68(b) 6 Computer control of master formula records Appropriate controls are not exercised over computers or related systems to assure that changes in master production and control records or other records are instituted only by authorized personnel.  Specifically, ***
1270 21 CFR 211.68(b) 6 input/output verification Input to and output from [the computer] [related systems of formulas] [records or data] are not checked for accuracy.  Specifically, *** 
1636 21 CFR 211.130(e) 6 Packaging line inspection before use Inspection of the [packaging] [labeling] facilities immediately before use is not done to assure that all drug products have been removed from previous operations.  Specifically, ***
1798 21 CFR 211.82(b) 6 Quarantine Storage of Components Incoming [components] [drug product containers] [closures] are not stored under quarantine until they have been tested or examined, as appropriate, and released.  Specifically, ***
1844 21 CFR 211.84(d)(2) 6 Establish reliability of supplier's C of A Establishment of the reliability of the component supplier's report of analyses is deficient in that the test results are not appropriately validated at appropriate intervals.  Specifically, ***
1922 21 CFR 211.166(a)(4) 6 Testing in same container - closure system The written stability program does not assure testing of the drug product in the same container-closure system as that in which the drug product is marketed.  Specifically, *** 
1927 21 CFR 211.166(b) 6 Accelerated stability studies Accelerated stability studies, combined with basic stability information, used to support tentative expiration dates are not  supported with ongoing full shelf life studies.  Specifically, ***
1978 21 CFR 211.182 6 Personnel  dating/signing equipment log The persons [performing] [double-checking] the cleaning and maintenance are not [dating] [signing or initialing] the equipment cleaning and use log.  Specifically, ***
3445 21 CFR 211.65(a) 6 Equipment construction - reactive surfaces Equipment surfaces that contact [components] [in-process materials] [drug products] are reactive, additive or absorptive so as to alter the safety, identity, strength, quality, or purity of the drug product beyond the official or other established requirements.  Specifically, ***
4403 21 CFR 211.194(b) 6 Test method modification records do not  include Records maintained of any modification of an established method employed in testing do not include [the reason for the modification] [the data to verify that the modification produced results that are at least as accurate and reliable for the material being tested as the established method].  Specifically, ***
6830 21 CFR 314.80(c)(2) 6 Interval Periodic reports of non-alert adverse drug experiences have not been submitted [quarterly for an application which was approved less than three years ago] [yearly for an application which was approved three or more years ago].  Specifically, ***
1505 21 CFR 211.122(d) 5 Label storage access limited to authorized personnel Access to the storage area for labels and labeling materials is not limited to authorized personnel.  Specifically, ***
1637 21 CFR 211.130(e) 5 Packaging line inspection after use Inspection of the [packaging] [labeling] facilities is not done after use to assure that materials not suitable for subsequent operations have been removed.  Specifically, ***
1777 21 CFR 211.150(b) 5 Distribution Recall System The distribution system is deficient in that each lot of drug product cannot be readily determined to facilitate its recall if necessary.  Specifically,  ***
1876 21 CFR 211.180(a), (b) 5 Record maintenance 1 year (except exempt OTC) All records of  [production] [control] [distribution] [components] [drug product containers] [closures] [labeling] associated with a batch of drug product are not maintained at least one (1) year after the expiration date.  Specifically, ***
1976 21 CFR 211.182 5 Specific information required in individual logs Individual equipment logs do not show [time] [date] [product] [lot number of each batch processed].  Specifically, ***
2012 21 CFR 211.188(b) 5 Batch production and Batch Control Record Requirements The batch production and control records are deficient in that they do not include documentation of the accomplishment of each significant step in [manufacturing] [processing] [packing] [holding].  Specifically, ***
2420 21 CFR 211.198(a) 5 Quality Control Review Complaint procedures are deficient in that they do not include provisions that allow for the review and determination of an investigation by the quality control unit.  Specifically, ***
3548 21 CFR 211.46(c) 5 Air filtration system lacking in production area The production area air supply lacks an appropriate air filtration system.  Specifically, ***
3591 21 CFR 211.110(b) 5 In-process materials specifications In-process specifications are not [consistent with drug product final specifications] [derived from previous acceptable process average and process variability estimates where possible] [determined by the application of suitable statistical procedures where appropriate].  Specifically, ***
3592 21 CFR 211.110(c) 5 In-process materials characteristics testing In-process materials are not tested for [identity] [strength] [quality] [purity] and approved or rejected by the quality control unit [during the production process] [after storage for long periods]. Specifically, ***
3594 21 CFR 211.110(d) 5 Rejected in-process materials not quarantined Rejected in-process materials are not [identified] [controlled under a quarantine system] to prevent their use in manufacturing or processing operations for which they are unsuitable.  Specifically, ***
3614 21 CFR 211.160(b)(4) 5 Written calibration procedures Written calibration procedures for instruments, apparatus, gauges, and recording devices are deficient in that they do not include specific [directions] [schedules] [limits for accuracy and precision] [provisions for remedial action if limits are not met].  Specifically, ***
3623 21 CFR 211.170(a) 5 Active ingredient retained sample kept A sample which is representative of each lot in each shipment of each active ingredient is not [appropriately identified] [retained].   Specifically, ***
4317 21 CFR 211.84(d)(3) 5 Certificates of Testing (Containers, Closures) Certificates of testing of [containers] [closures] are accepted in lieu of testing without [a visual identification] [establishing the reliability of the supplier's test results through appropriate validation of the test results at appropriate intervals].  Specifically, ***
4350 21 CFR 211.160(b)(3) 5 Drug products-sampling procedures/specifications Laboratory controls do not include a determination of conformance to [written descriptions of sampling procedures] [appropriate specifications] for drug products.  Specifically, ***
4351 21 CFR 211.160(b)(3) 5 Drug products - samples representative, identified properly Samples taken of drug products for determination of conformance to written specifications are not [representative] [properly identified].  Specifically, ***
4410 21 CFR 211.194(a)(5) 5 Calculations performed are in the records Laboratory records do not include a record of all calculations performed in connection with the test.  Specifically, *** 
4412 21 CFR 211.194(a)(7) 5 Signatures and dates--person who performs test Laboratory records do not include [the initials or signature of the person who performs each test] [the date(s) the tests were performed].  Specifically, ***
6728 21 CFR 314.80(b) 5 Failure to review ADE information Adverse drug experience information obtained or otherwise received from any source was not [promptly] reviewed, including information from [commercial marketing experience] [post marketing clinical investigations] [post marketing epidemiological/surveillance activities] [reports in the scientific literature] [unpublished scientific papers].  Specifically, ***
6829 21 CFR 314.80(c)(2) 5 Failure to report non-alert ADEs Individual ADEs which were not reported to FDA in a post marketing 15-day alert have not been included in a periodic safety report.  Specifically, ***
6831 21 CFR 314.80(c)(2) 5 Late submission of quarterly safety reports Not all quarterly periodic adverse drug experience reports have been submitted within 30 days of the close of the quarter.  Specifically, ***
10021 21 CFR 314.98(a) 5 (Flag to indicate ANDA applicant) (DO NOT PRINT ON FDA 483.  This cite is to be used as a flag to indicate that the recipient of an FDA 483 involving ADE reporting is the applicant for one or more approved ANDAs, as opposed to approved NDAs.  No specifics text is required for this cite.)
1174 21 CFR 211.42(b) 4 Product flow through building is inadequate The flow  of [components] [drug product containers] [closures] [labeling] [in-process materials ] [drug products] though the building is not designed to prevent contamination.  Specifically, ***
1256 21 CFR 211.68(b) 4 Backup file not maintained Failure to maintain a backup file of data entered into the computer or related system.  Specifically, ***
1384 21 CFR 211.101(c) 4 Weighing/measuring/subdividing operations Component [weighing] [measuring] [subdividing] operations are not adequately supervised.  Specifically, ***
1633 21 CFR 211.130(d) 4 Examination of packaging and labeling Examination of packaging and labeling materials for suitability and correctness before packaging operations is [not performed] [not documented in the batch production records].  Specifically, ***
1797 21 CFR 211.82(a) 4 Examination on receipt, before acceptance Each container or grouping of containers of [components] [drug product containers] [closures] is not examined visually upon receipt and before acceptance for [appropriate labeling as to contents] [container damage] [broken seals]  [contamination]. Specifically, ***
1803 21 CFR 211.84(b) 4 Representative Samples Criteria The [number of containers to be sampled] [amount of material taken from each container] is not based upon appropriate criteria.  Specifically, ***
2401 21 CFR 211.194(a)(4) 4 Complete Test Data Laboratory records are deficient in that they do not include a complete record of all data obtained during testing.  Specifically, ***
3611 21 CFR 211.160(b)(3) 4 Acceptance of drug products Determinations of conformance to appropriate written specifications for acceptance are [not made] [deficient] for drug products.  Specifically, ***
4302 21 CFR 211.56(b) 4 Written sanitation procedures not followed Written procedures for sanitation are not followed.  Specifically, ***
4322 21 CFR 211.101(d) 4 Component release checked by 2nd person Each container of component dispensed to manufacturing is not examined by a second person to assure that [the component was released by the quality control unit] [the weight or measure is correct as stated in the batch records] [the containers are properly identified].  Specifically, ***
4325 21 CFR 211.110(a) 4 Control procedures fail to include the following Control procedures fail to include [tablet or capsule weight variation] [disintegration time] [adequacy of mixing to assure uniformity and homogeneity] [dissolution time and rate] [clarity, completeness or pH of solutions].  Specifically,***
4338 21 CFR 211.150(b) 4 Recall facilitation A system by which the distribution of each lot of drug product can be readily determined to facilitate its recall if necessary, has not been established.  Specifically, ***
4344 21 CFR 211.160(b)(1) 4 Sampling and testing procedures described Written specifications for laboratory controls do not include a description of the [sampling] [testing] procedures used.  Specifically, ***
4359 21 CFR 211.170(a)(1), (b)(1) 4 Retention time of reserve samples, in general Reserve samples for [active ingredients] [drug products] are not retained for one year after the expiration date of the drug product.
4360 21 CFR 211.170(b) 4 Reserve drug product sample quantity - all tests The reserve sample of drug product does not consist of at least twice the quantity necessary to perform all the required tests of drug product.  Specifically, ***
4378 21 CFR 211.188(b)(2) 4 Identity of major equipment and lines used Batch production and control records do not include the identity of individual major [equipment] [lines] used for each batch of drug product produced.  Specifically, ***
4399 21 CFR 211.186(b)(7) 4 Theoretical yield statement including percentages Master production and control records lack a statement of theoretical yield [including the maximum and minimum percentages of theoretical yield beyond which investigation is required].  Specifically, ***
6705 21 CFR 310.305(c) 4 Failure to report Adverse drug experience information has not been reported to FDA.  Specifically, ***
6832 21 CFR 314.80(c)(2) 4 Late submission of annual safety reports Not all annual periodic adverse drug experience reports have been submitted within 60 days of the anniversary date of the approval of the application.  Specifically, ***
1079 21 CFR 211.22(a) 3 Contract drug products--lack of responsibility The quality control unit lacks responsibility for approving or rejecting drug products [manufactured] [processed] [packed] [held] under contract by another company.  Specifically, ***
1136 21 CFR 211.25(c) 3 Inadequate number of  personnel The number of qualified  personnel is inadequate to [perform] [supervise] the [manufacture] [processing] [packing] [holding] of each drug product. Specifically, ***
1219 21 CFR 211.67(b)(2) 3 Cleaning SOPs/schedules Procedures for the cleaning and maintenance of equipment are deficient regarding maintenance and cleaning schedules, including, where appropriate, sanitizing schedules.  Specifically, ***
1266 21 CFR 211.42(d) 3 Penicillin processing area not  kept separate The operations relating to the [manufacture] [processing] [packing] of penicillin are not performed in facilities separate from those used for other drug products for human use.  Specifically,  ***
1393 21 CFR 211.103 3 Yield calculations not verified by 2nd person Yield calculations are not performed by one person and independently verified by a second person.  Specifically, ***
1436 21 CFR 211.42(c)(10)(vi) 3 Equipment to control conditions Aseptic processing areas are deficient regarding systems for maintaining any equipment used to control the aseptic conditions.  Specifically, ***
1449 21 CFR 211.111 3 Deviations of production time limits Deviations from production time limits [are not justified] [are not documented] [compromise the quality of the drug product].  Specifically, ***
1496 21 CFR 211.122(a) 3 Sampling / testing of labeling / packaging materials Labeling and packaging materials are not  [representatively sampled] [examined] [tested] upon receipt and before use in packaging and labeling of a drug product.  Specifically, ***
1545 21 CFR 211.125(c) 3 Label reconciliation discrepancies evaluation / investigation Discrepancies found outside preset limits when reconciling the quantities of labeling issued, used and returned, were not [evaluated] [investigated].  Specifically, ***
1629 21 CFR 211.130(a) 3 Prevention of cross contamination, mix-ups There is insufficient physical or spatial separation from operations and other drug products to prevent mix-ups and cross-contamination.  Specifically, *** 
1722 21 CFR 211.134(a) 3 Correct labels during finishing operations Packaged and labeled products are not examined during finishing operations to provide assurance that containers and packages in the lot have the correct label.  Specifically, ***
1724 21 CFR 211.134(b) 3 Representative samples after completion Samples of representative units were not [collected] [visually examined] for correct labeling at the completion of finishing operations.  Specifically, ***
1796 21 CFR 211.80(d) 3 Identification of Each Lot in Each Shipment Each lot in each shipment received was not identified with a distinctive code for each container or grouping of containers for [components] [drug product containers] [closures].  Specifically, *** 
1843 21 CFR 211.84(d)(2) 3 Component written specification Component testing is deficient in that each component is not tested for conformity with all appropriate written specifications for purity, strength, and quality.  Specifically,  ***
1868 21 CFR 211.94(b) 3 Protection from external factors Container closure systems do not provide adequate protection against foreseeable external factors in storage and use that can cause deterioration or contamination of the drug product.  Specifically, ***
1928 21 CFR 211.166(c)(1) 3 Homeopathic drugs, assessment of stability There is no written assessment of stability of homeopathic drug products based at least on [testing or examination of the drug product for compatibility of the ingredients] [marketing experience with the drug product to indicate that there is no degradation of the product for the normal or expected period of use].  Specifically, ***
1932 21 CFR 211.167(a) 3 Sterility/pyrogen-free testing  Each batch of drug product purporting to be [sterile] [pyrogen-free] is not laboratory tested to determine conformance to such requirements.  Specifically, ***
1933 21 CFR 211.167(a) 3 Sterility/pyrogens - test methods written, followed Test procedures relative to appropriate laboratory testing for [sterility] [pyrogens] are not [written] [followed].  Specifically, ******
1938 21 CFR 211.167(c) 3 Controlled release dosage form testing Each batch  of controlled-release dosage form drug product is not laboratory tested to determine conformance to the specifications for the rate of release for each active ingredient.  Specifically, ***
2005 21 CFR 211.184(e) 3 Records of disposition of rejected material Records do not include the disposition of rejected [components] [drug product containers] [closures] [labeling].  Specifically, ***
2022 21 CFR 211.188(b)(10) 3 Documentation of Sampling Performed The batch production and control records are deficient in that they do not include documentation of sampling performed.  Specifically, ***
2032 21 CFR 211.194(b) 3 Test method modification records not maintained Complete records are not maintained of any modification of an established method employed in testing.  Specifically, ***
2033 21 CFR 211.194(c) 3 Testing and standardization of standards et. al. Laboratory records do not include complete records of any testing and standardization of laboratory [reference standards] [reagents] [standard solutions].  Specifically, ***
2567 21 CFR 211.198(a) 3 Adverse Drug Experience Complaint procedures are deficient in that they do not include provisions that allow for the review to determine if the complaints represent [serious] [unexpected adverse drug experiences] which are required to be reported to FDA. Specifically, ***
3550 21 CFR 211.46(c) 3 Exhaust systems inadequate to control air contamination Adequate exhaust systems or other systems to control contaminants are lacking in areas where air contamination occurs during production.  Specifically, ***
3610 21 CFR 211.160(b)(3) 3 Drug product sample Drug product samples are not [representative of the entire batch] [properly identified].  Specifically, ***
3639 21 CFR 211.204 3 Returned drug procedures in writing and followed Procedures describing the [holding] [testing] [reprocessing] of returned drug products are not [in writing] [followed].  Specifically, ***
4304 21 CFR 211.68(b) 3 Written record not kept of program and validation data A written record of the program along with appropriate validation data has not been maintained in situations where backup data is eliminated by computerization or other automated processes.  Specifically, ***
4305 21 CFR 211.68(b) 3 Backup data not assured as exact and complete Backup data is not assured as [exact] [complete] [secure from alteration, erasure or loss] through keeping hard copy or alternate systems.  Specifically, ***
4349 21 CFR 211.160(b)(2) 3 In-process samples representative, identified properly Samples taken of in-process materials for determination of conformance to specifications are not [representative] [properly identified].  Specifically, ***
4354 21 CFR 211.165(d) 3 Acceptance/Rejection Levels The statistical quality control criteria fail to include appropriate [acceptance levels] [rejection levels].  Specifically, ***
4366 21 CFR 211.188(a) 3 Accurate reproduction included Batch production and control records for each batch of drug product produced do not include an accurate reproduction of the appropriate master production or control record which was  checked for accuracy, dated and signed.  Specifically, ***
4370 21 CFR 211.188(b)(10) 3 Records of any sampling performed Batch production and control records do not include a record of any sampling performed, for each batch of drug product produced.  Specifically, ***
4375 21 CFR 211.188(b)(5) 3 In-process and laboratory control results  Batch production and control records do not include [in-process] [laboratory control] results for each batch of drug product produced.  Specifically, ***
4376 21 CFR 211.188(b)(4) 3 Weights and measures of components used Batch production and control records do not include the weights and measures of components used in the course of processing each batch of drug product produced.  Specifically, ***
4380 21 CFR 211.198(b)(3) 3 Determination not to conduct investigation of complaint The written record did not include the [reason an investigation was found not to be necessary] [name of the responsible person making the determination not to conduct an investigation] when an investigation into [unexplained discrepancies] [the failure of a batch or any of its components to meet specifications] was not conducted.  Specifically, *** 
4387 21 CFR 211.198(a) 3 Reporting of adverse drug experience to FDA Written procedures describing the handling of all written and oral complaints do not include provisions for review to determine whether the complaint represents a serious and unexpected adverse drug experience which is required to be reported to the Food and Drug Administration.  Specifically, ***
4404 21 CFR 211.194(a)(1) 3 Sample identification and other information Laboratory records do not include [a description of the sample received for testing] [the source or location from where the sample was obtained] [the quantity of the sample] [the lot number or other distinctive code of the sample] [the date the sample was taken] [the date the sample was received for testing].  Specifically, *** 
4414 21 CFR 211.204 3 Record information maintained Records of returned drug products are not maintained.  Specifically, ***
4415 21 CFR 211.204 3 Returned drug products with doubt cast as to safety et. al. Returned drug products held, stored or shipped before or during their return under conditions which cast doubt on their safety, identity, strength, quality or purity are not [destroyed] [subjected to examination, testing or other investigation to prove the drug products do meet all the necessary parameters].  Specifically, ***
4418 21 CFR 211.42(b) 3 Adequate space lacking  to prevent mix-ups and contamination The building lacks adequate space for the orderly placement of equipment and materials to prevent mix-ups between [different components] [drug product containers] [closures] [labeling] [in-process materials] [drug products] and to prevent contamination.  Specifically, *** 
1163 21 CFR 211.28(b) 2 Habits of good sanitation & health  Production personnel were not practicing good sanitation and health habits.  Specifically, ***
1371 21 CFR 211.101(a) 2 Batches Formulated to less than 100% Written production and control procedures  include batches formulated with the intent to provide less than  100 percent of the labeled or established amount of active ingredient.  Specifically, ***
1418 21 CFR 211.42(c)(7) 2 Quarantined Drug Products Area Separate or defined areas to prevent contamination or mix-ups are deficient regarding operations related to the quarantine storage of drug products prior to release.  Specifically, ***
1431 21 CFR 211.42(c)(10)(ii) 2 Temperature / Humidity Controls Aseptic processing areas are deficient regarding [temperature] [humidity]  controls.  Specifically, ***
1435 21 CFR 211.42(c)(10)(v) 2 Cleaning System Aseptic processing areas are deficient regarding the system for cleaning  and disinfecting the [room] [equipment] to produce aseptic conditions.  Specifically, ***
1456 21 CFR 211.115(b) 2 Reprocessing/quality control unit Reprocessing  was  performed without the [review] [approval] of the quality control unit.  Specifically, ***
1541 21 CFR 211.125(b) 2 Examination of issued labels Labeling materials issued for a batch were not carefully examined for identity and conformity to the labeling specified in the master or batch production records.  Specifically, ***
1546 21 CFR 211.125(d) 2 Destruction of excess labels with lot numbers Excess labeling bearing lot or control numbers is not destroyed.  Specifically, ***
1630 21 CFR 211.130(b) 2 Unlabeled filled containers controls Filled drug product containers which are set aside and held in an unlabeled condition are not [identified] [handled] to preclude mislabeling of individual containers, lots or portions of lots.  Specifically, ***
1725 21 CFR 211.134(c) 2 Examinations documented The results of the examination of the packaged and labeled products were not documented in the batch production or control records.  Specifically, ***
1726 21 CFR 211.86 2 Rotation of components/containers/closures There is a lack of rotation so that the oldest approved stock of [components] [drug product containers] [closures] is used first.  Specifically, *** 
1768 21 CFR 211.137(b) 2 Storage conditions Drug product expiration dates are not related to the storage conditions stated on the labeling, as determined by stability studies.  Specifically, ***
1791 21 CFR 211.80(c) 2 Storage off Floor, Spaced Suitably Bagged or boxed components of drug product [containers] [closures] are not [stored off the floor] [suitably spaced to allow cleaning and inspection].  Specifically, ***
1879 21 CFR 211.180(c) 2 Records not made readily available to FDA Records associated with drug product [components] [containers] [closures] [labeling] [production] [control] [distribution] and within the retention period for such records, were not made readily available for authorized inspection.  Specifically, ***
1917 21 CFR 211.166(a)(1) 2 Sample size - test intervals The written stability program for drug products does not include [sample size] [test intervals] based on statistical criteria for each attribute examined to assure valid estimates of stability.  Specifically, ***
1918 21 CFR 211.166(a)(2) 2 Stability sample storage conditions described The written stability program for drug products does not describe the storage conditions for samples retained for testing.  Specifically, ***
1958 21 CFR 211.180(f) 2 Responsible firm officials notified in writing Procedures are not established which are designed 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 [investigations conducted] [recalls] [reports of inspectional observations issued by FDA] [any regulatory actions brought by FDA relating to good manufacturing practices].  Specifically, ***
1977 21 CFR 211.182 2 Dedicated equipment: records part of batch record The records of [cleaning] [maintenance] [use] for dedicated equipment are not part of the batch record.  Specifically, ***
1999 21 CFR 211.184(a) 2 Record information required The records for [components] [drug product containers or closures] [labeling]  do not include the [identity and quantity of each shipment of each lot] [name of the supplier] [supplier's lot number]  [receiving code] [date of receipt] [name of the prime manufacturer if different from the supplier] [location of the prime manufacturer].  Specifically, ***
2020 21 CFR 211.188(b)(8) 2 Labeling Control Records and Label Copies The batch production and control records are deficient in that they do not  include [complete labeling control records] [specimen] [copy] of labeling.  Specifically, ***
2023 21 CFR 211.188(b)(11) 2 Identification of Persons Performing Significant Steps The batch production and control records are deficient in that they do not include identification of persons [performing] [supervising] [checking] each significant step in the operation.  Specifically, ***
2200 21 CFR 211.186(b)(4) 2 Variation in the Amount of Components Used The master production and control records are deficient in that they lack a justification for the variation in the amount of components used in the preparation of a dosage form.  Specifically, ***
2618 21 CFR 211.198(b)(1) 2 Complaint Record required information Complaint records are deficient in that they do not include the known [name and strength of the drug product] [lot number] [name of complainant] [nature of complaint] [reply to complainant].  Specifically, ***
3551 21 CFR 211.46(d) 2 Penicillin air handling systems not kept separate Air-handling systems for the [manufacture] [processing] [packing] of penicillin are not completely separate  from those for other drug products for human use.  Specifically, ***
3573 21 CFR 211.101(b) 2 Measured components for manufacturing Components for drug product manufacturing are not [weighed] [measured] [subdivided as appropriate].  Specifically, ***
3581 21 CFR 211.101(d) 2 Verification of component addition Each component is not added to the batch by one person and verified by a second person..  Specifically, ***
3615 21 CFR 211.160(b)(4) 2 Test devices not meeting specifications Test devices are deficient in that [instruments] [apparatus] [gauges] [recording devices] not meeting established specifications are used.  Specifically, ***
3631 21 CFR 211.170(b) 2 Investigation of reserve sample deterioration Evidence of reserve drug product sample deterioration was not  [investigated] [recorded and maintained with other stability data].  Specifically, ***
4309 21 CFR 211.84(c)(2) 2 Containers sampled so as to prevent contamination Containers are not [opened] [sampled] [resealed] in a manner designed to prevent contamination of [their contents] [other components] [other drug product containers or closures].  Specifically, ***
4316 21 CFR 211.84(d)(3) 2 Testing Containers & Closures Conformity with Specs Containers and closures are not tested for conformance with all appropriate written procedures.  Specifically, ***
4320 21 CFR 211.84(d)(6) 2 Microbiological Contamination Exam Each lot of a [component] [drug product container] [closure] that is liable to microbiological contamination that is objectionable in view of its intended use is not subjected to microbiological tests before use.  Specifically, ***
4321 21 CFR 211.101(b) 2 Identification of new containers For components removed from the original containers, the new container fails to be identified with [component name or item code] [receiving or control number] [weight or measure] [batch for which component was dispensed including product name, strength and lot number].  Specifically, ***
4323 21 CFR 211.115(a) 2 Reprocessing procedures lack steps to be taken Reprocessing procedures lack the steps to be taken to insure that reprocessed batches will conform with all established standards, specifications, and characteristics.  Specifically, ***
4324 21 CFR 211.110(b) 2 In-process materials specifications testing Examination and testing of samples is not done to assure that in-process materials conform to specifications.  Specifically, ***
4327 21 CFR 211.122(c) 2 Records fail to include Records kept for each different labeling and packaging material shipment fail to include [the receipt] [results of examination or testing] [a statement of whether the shipment was accepted or rejected].  Specifically, ***
4328 21 CFR 211.122(a) 2 Written procedures not followed Written procedures for the [receipt] [identification] [storage] [handling] [sampling] [examination] [testing] of packaging and labeling materials are not followed.  Specifically, ***
4330 21 CFR 211.130(e) 2 Packaging line inspection documentation Results of inspection of packaging and labeling facilities are not documented in the batch production records.  Specifically, ***
4355 21 CFR 211.165(c) 2 Sampling and testing plans not followed Written procedures for sampling and testing plans are not followed for each drug product.  Specifically, ***  
4364 21 CFR 211.176 2 Failing to test for penicillin cross-contamination Non-penicillin drug products were not tested for the presence of penicillin, when a reasonable possibility existed that a non-penicillin drug product has been exposed to a cross-contamination with penicillin.  Specifically, ***
4367 21 CFR 211.188(b)(13) 2 Examinations for correct labeling Batch production and control records do not include results of examinations made of packaged and labeled products for correct labeling.  Specifically, ***
4374 21 CFR 211.188(b)(6) 2 Inspection of packaging and labeling area Batch production and control records do not include results of the inspection of the packaging and labeling area [before] [after] use for each batch of drug product produced.  Specifically, ***
4383 21 CFR 211.198(b)(1) 2 Written complaint record must include Written complaint records do not include, where known, [the name and strength of the drug product] [lot number] [name of complainant] [nature of complaint] [reply to complainant].  Specifically, ***
4386 21 CFR 211.198(b) 2 Written complaint record  to be maintained at facility A written record of each complaint is not maintained in a file designated for drug product complaints [at the facility where the drug product was manufactured, processed or packed] [at a facility other than the facility in which the drug product was manufactured, processed or packed provided the written records are readily available for inspection at that other facility].  Specifically, *** 
4388 21 CFR 211.198(a) 2 Complaints reviewed by Quality Control Unit Written procedures describing the handling of complaints do not include provisions for [review by the quality control unit of any complaint involving the possible failure of a drug product to meet any of its specifications] [a determination as to the need for an investigation of any unexplained discrepancy] [explaining the reasons for the failure of the batch or any of its components to meet specifications].  Specifically, ***
4405 21 CFR 211.194(a)(2) 2 Statement of methods and data Laboratory records do not include a statement of [each method used in the testing of a sample] [the location of data that establish that the methods used in the testing of the sample meet proper standards of accuracy and reliability as applied to the product tested].  Specifically, *** 
4409 21 CFR 211.194(a)(4) 2 Data secured in course of each test Laboratory records do not include a complete record of all data secured in the course of each test, including all [graphs] [charts] [spectra] from laboratory instrumentation, properly identified to show the [specific component] [drug product container] [closure] [in-process material] [lot tested] [drug product tested].  Specifically, ***
4417 21 CFR 211.204 2 Associated batches implicated, investigated No appropriate investigation was conducted when a returned drug product appeared to implicate associated batches of drug products.   Specifically, ***
6709 21 CFR 310.305(c)(2) 2 Investigation of serious, unexpected events Serious, unexpected adverse drug experiences have not been [promptly] investigated. Specifically, ***
6833 21 CFR 314.80(c)(2)(ii) 2 Incomplete periodic safety report Not all periodic reports contained [a narrative summary and analysis of the information in the report] [an analysis of the post marketing 15-day Alert reports submitted during the reporting interval] [an FDA Form 3500A for each adverse drug experience not reported as a post marketing 15-day Alert report] [an index containing a line listing of your patient identification number and adverse reaction term(s)] [a history of actions taken since the last report because of adverse drug experiences].  Specifically, ***
8938 FDCA 760(c)(1) 2 Timing of AE report submission (non-RX drugs) An adverse event report for a nonprescription drug was not submitted to the Secretary of HHS within 15 business days of receipt of the report. 
1164 21 CFR 211.28(c) 1 Unauthorized Personnel in Limited Access Areas Unauthorized personnel have access to enter areas of the buildings and facilities designated as limited access areas.  Specifically, ***
1168 21 CFR 211.34 1 Consultant Records Records are not maintained stating the consultant's [name] [address] [qualifications] [type of service provided].  Specifically, ***
1223 21 CFR 211.67(b)(5) 1 Cleaning SOPs/equipment protection Procedures for the cleaning and maintenance of equipment are deficient regarding the protection of clean equipment from contamination prior to use.  Specifically, ***
1224 21 CFR 211.67(b)(6) 1 Cleaning SOP/inspection Procedures for the cleaning and maintenance of equipment are deficient regarding inspection of the equipment for cleanliness immediately before use.  Specifically, ***
1251 21 CFR 211.42(c)(1) 1 Incoming material area Separate or defined areas to prevent contamination or mix-ups are deficient regarding operations related to the receipt, identification, storage, and withholding from use of [components] [drug product containers] [closures] [labeling] pending sampling, testing, or examination by the quality control unit before release for manufacturing or packaging.  Specifically, ***
1396 21 CFR 211.42(c)(2) 1 Rejected Material Area Separate or defined areas to prevent contamination or mix-ups are deficient regarding operations related to the holding of rejected [components] [drug product containers] [closures] [labeling] before disposition.  Specifically,***
1413 21 CFR 211.42(c)(5) 1 Mfg / Processing Operations Area Separate or defined areas to prevent contamination or mix-ups are deficient regarding the manufacturing and processing operations.  Specifically, ***
1419 21 CFR 211.42(c)(8) 1 Released Drug Products Area Separate or defined areas to prevent contamination or mix-ups are deficient regarding operations related to the storage of drug products after release.   Specifically,***
1430 21 CFR 211.42(c)(10)(i) 1 Floors, walls, ceiling surfaces Aseptic processing areas are deficient in that [floors] [walls] [ceilings] are not smooth and/or hard surfaces that are easily cleanable. Specifically,***
1433 21 CFR 211.42(c)(10)(iii) 1 Air Supply Aseptic processing areas are deficient regarding air supply that is filtered through high-efficiency particulate air filters under positive pressure.  Specifically, ***
1498 21 CFR 211.122(b) 1 Labeling and packaging improperly approved/released Labeling and packaging materials not meeting the appropriate written specifications were [approved] [released for use].  Specifically, *** 
1503 21 CFR 211.122(c) 1 Records not kept for each shipment Records are not maintained for each shipment received of each different labeling and packaging material.  Specifically, ***
1504 21 CFR 211.122(d) 1 Labels and labeling stored  separately  Labels and other labeling materials are not stored separately with suitable identification for each different drug product, strength, dosage form or quantity of contents.  Specifically, ***
1774 21 CFR 211.142(a) 1 Quarantine - actual practice Drug products are not quarantined before being released by the quality control unit.  Specifically, ***
1819 21 CFR 211.84(c)(3) 1 Sterile/Aseptic Techniques for Sampling Sampling procedures are deficient regarding sterile equipment and aseptic sampling techniques when sampling [components] [drug product containers] [closures].  Specifically, ***
1825 21 CFR 211.84(c)(6) 1 Identifying Containers Sampled Markings of containers from which samples have been taken are deficient in that they do not show that samples have been removed from them. Specifically,  ***
1846 21 CFR 211.84(d)(3) 1 Establish reliability of supplier's C of A Establishment of the reliability of the [container] [closure] supplier's report of analyses is deficient in that the test results are not appropriately validated at appropriate intervals.  Specifically, ***
1849 21 CFR 211.84(d)(6) 1 Objectionable microbiological contamination Each lot of a [component] [drug product containers] [closures] liable to objectionable  microbiological contamination is deficiently subjected to microbiological tests before use.  Specifically,  ***
1869 21 CFR 211.94(c) 1 Containers & Closures Clean, Sterilized, Pyrogen-free Drug product [containers] [closures] were not [clean] [sterilized and processed to remove pyrogenic properties] to assure that they are suitable for their intended use.  Specifically, ***
1870 21 CFR 211.94(d) 1 Written Procedures to Remove Pyrogens There are no written [standards or specifications] [methods of testing] [methods of cleaning] [methods of sterilization] [methods of processing] to remove pyrogenic properties.  Specifically, ***
1893 21 CFR 211.165(f) 1 Reprocessed drug products not meeting acceptance criteria Reprocessed drug material or product has not met appropriate [standards] [specifications] [relevant criteria] prior to acceptance and use.  Specifically, ***
1924 21 CFR 211.166(a)(5) 1 Testing of reconstituted drugs The written stability program does not include testing  of  drug products for reconstitution [at time of dispensing - as directed in the labeling] [after they are reconstituted].  Specifically, ***
1939 21 CFR 211.167(c) 1 Controlled release test methods written, followed Test procedures describing the testing of controlled release dosage form drug product are not [written] [followed].  Specifically, ***
1957 21 CFR 211.180(e)(2) 1 Review of problem drugs The procedures for the annual quality standards record evaluation are deficient in that they do not  address a review of [complaint] [recall] [returned drug product] [salvaged drug product] [investigation] records for each drug product.  Specifically, ***
1979 21 CFR 211.182 1 Chronological Order of Equipment Log Entries The entries in the equipment cleaning and use logs are not in chronological order.  Specifically, ***
2011 21 CFR 211.188(a) 1 Accurate reproduction The batch production and control records are deficient in that they are not [an accurate reproduction of the appropriate master production or control record] [checked for accuracy, dated, and signed].  Specifically, ***
2017 21 CFR 211.188(b)(5) 1 In-Process and Laboratory Control Results The batch production and control records are deficient in that they do not  include [in-process] [laboratory] control results.  Specifically, ***
2019 21 CFR 211.188(b)(7) 1 Documentation of Actual Yield and Theoretical Yield The batch production and control records are deficient in that they do not  include a statement of the [actual yield] [percentage of theoretical yield].  Specifically, ***
2196 21 CFR 211.186(b)(1) 1 Product Name and Strength The master production and control records are deficient in that they do not  include the [name] [strength] of the drug product and a description of the dosage form.  Specifically, ***
2197 21 CFR 211.186(b)(2) 1 Active Ingredient Name and Weight The master production and control records are deficient in that they do not include the [name] [weight] of each active ingredient per dosage unit or unit of weight statement of total weight or measure of any dosage unit.  Specifically, ***
2399 21 CFR 211.194(a)(2) 1 Laboratory Test Method Verification Verification of the suitability of the testing methods is deficient in that they are not [performed under actual conditions of use] [documented on the laboratory records].  Specifically, ***
2402 21 CFR 211.194(a)(5) 1 Testing Calculations Laboratory records are deficient in that they do not include all calculations performed during testing.  Specifically, ***
2404 21 CFR 211.194(a)(6) 1 Comparison of Test Results to Specifications Laboratory records are deficient in that they do not include a statement of the results of tests and how they compare to the established [specifications] [standards].  Specifically, ***
2621 21 CFR 211.198(b)(3) 1 Reason for Not Conducting Complaint Investigation Complaint records are deficient in that they do not document the reason and the individual  making the decision not to conduct a complaint investigation.  Specifically, ***
3545 21 CFR 211.44 1 Adequate lighting not provided Adequate lighting is not provided in all  areas.  Specifically, ***
3546 21 CFR 211.46(a) 1 Adequate ventilation not provided Adequate ventilation is not provided.  Specifically, ***
3549 21 CFR 211.46(c) 1 Air recirculation of dust from production areas Air is recirculated to production areas, without adequate measures to control recirculation of dust.  Specifically, ***
3554 21 CFR 211.48(a) 1 Potable water standards not met The potable water being permitted for use in the potable water system fails to meet  standards prescribed by the Environmental Protection Agency.  Specifically, ***
3555 21 CFR 211.48(b) 1 Drains--Size, Back-siphonage Prevention Drains are not [of adequate size] [provided with an air break or other mechanical device to prevent back-siphonage where connected directly with a sewer].  Specifically, ***
3556 21 CFR 211.50 1 Sewage and refuse disposal in safe manner Disposal of  [sewage] [trash] [refuse] from the [building] [immediate premises] is not done  in a safe and sanitary manner.  Specifically, ***
3578 21 CFR 211.101(c)(1) 1 Q.C. release check by second individual Component containers dispensed to manufacturing are deficiently examined by a second person in that the component is not released by the quality control unit.  Specifically, ***
3586 21 CFR 211.110(a)(1) 1 Tablet or capsule weight variation The in-process control procedures were deficient in that it did not include an examination of [tablet] [capsule] weight variation.  Specifically, ***
3588 21 CFR 211.110(a)(3) 1 Mixing adequacy The in process control procedures were deficient in that they did not include an examination of the adequacy of mixing to assure uniformity and homogeneity.  Specifically, ***
3597 21 CFR 211.122(g)(3) 1 Visual inspection The packaging and labeling operation involving cut labels and relying on visual inspection does not provide for [100-percent examination for correct labeling during or after completion of finishing operations for hand-applied labeling] [examination to be performed by one person and independently verified by a second person].  Specifically, ****
3604 21 CFR 211.160(b)(1) 1 Determination of conformance Determinations of conformance to appropriate written specifications for acceptance are deficient in that they are not made for each lot within each shipment of [components] [drug product containers] [closures] [labeling] used in the manufacture, processing, packing or holding of drug products.   Specifically, ***
3625 21 CFR 211.170(a)(1) 1 Retention time for reserve samples of actives Reserve samples of active drug ingredients are deficient in that they are not retained at least one year after the expiration date of the last lot of the drug containing the active drug ingredient.  Specifically, ***
3630 21 CFR 211.170(b) 1 Drug product reserve containers Drug product reserve samples are not stored in [the same immediate container-closure system as the marketed product] [an immediate container-closure system that has essentially the same characteristics as the marketed product].  Specifically, ***
3633 21 CFR 211.170(b)(1) 1 Reserve sample retention time The retention period for drug product reserve samples (except those described in 211.170(b)(2) and (3)) is deficient in that they are not retained for one year after the expiration date of the drug product.  Specifically, ***
3636 21 CFR 211.170(b)(3) 1 Retention time for some OTC drugs OTC drug product reserve samples exempt from bearing an expiration date are not retained for three years after the lot or batch of drug product is distributed.  Specifically, ***
3641 21 CFR 211.204 1 Record information inclusions Records of returned drug products do not include the  [name] [labeled potency] [lot, control or batch number] [reason for return] [quantity] [date of disposition] [ultimate disposition].  Specifically, ***
4308 21 CFR 211.94(d) 1 Written Procedures to Remove Pyrogens Not Followed Written [standards or specifications] [methods of testing] [methods of cleaning] [methods of sterilizing] [methods of processing] to remove pyrogenic properties of drug product containers and closures are not followed.  Specifically, ***
4311 21 CFR 211.84(c)(4) 1 Compositing of Sub Samples Components which must be sampled from top, middle and bottom of the container are not kept separate, but instead are composited for testing.  Specifically, ***
4329 21 CFR 211.122(b) 1 Rejection of unapproved labeling/packaging materials Labeling or packaging materials which did not meet written specifications were not rejected to prevent their use in operations for which they are unsuitable.  Specifically, ***
4341 21 CFR 211.142(a) 1 Quarantine - written procedures Written procedures for the warehousing of drug products do not include quarantine of drug products before release by the quality control unit.  Specifically, ***
4345 21 CFR 211.160(b)(1) 1 Samples (various types) representative, identified properly Samples taken to determine conformance to appropriate written specifications for the acceptance of each lot within each shipment of [components] [drug product containers] [closures] [labeling] are not [representative] [adequately identified].  Specifically, ***
4348 21 CFR 211.160(b)(2) 1 In-process materials - sampling, testing procedures Laboratory controls do not include a description of [sampling] [testing] procedures for in-process materials.  Specifically, ***
4356 21 CFR 211.166(b) 1 Tentative expiration date  Where data from accelerated studies was used to project a tentative expiration date beyond a date supported by actual shelf life studies, there were no [stability studies] [drug product testing at appropriate intervals] conducted until the tentative expiration date was verified or the appropriate expiration date determined.  Specifically, ***
4379 21 CFR 211.188(b)(1) 1 Dates not included for each significant step Batch production and control records do not include dates of each significant step in the [manufacture] [processing] [packing] [holding] of the batch for each batch of drug product produced.  Specifically, ***
4397 21 CFR 211.186(b)(5) 1 Calculated excess The master production and control records lack a statement concerning a calculated excess of component.  Specifically, ***
4411 21 CFR 211.194(a)(6) 1 Test results, comparison with standards not included Laboratory records do not include a statement of the results of tests and how the results compare with established standards of identity, strength, quality, and purity for the [component] [drug product container] [closure] [in-process material] [drug product] tested.  Specifically, ***
6710 21 CFR 310.305(c)(2) 1 Submission of report follow-up Follow-up reports to post marketing 15-day Alert reports have not been submitted [within 15 calendar days of receipt of new information] [upon request by FDA] .  Specifically, ***
6723 21 CFR 310.305(f) 1 Lack of FDA access to records An authorized FDA employee was not permitted, at a reasonable time, to have access to and copy and verify post marketing adverse drug experience records.  Specifically, ***
6735 21 CFR 314.80(c)(1)(ii) 1 Failure to investigate serious, unexpected events Adverse drug experiences that were the subject of post marketing 15-day reports were not [promptly] investigated.  Specifically, ***
6737 21 CFR 314.80(c)(1)(ii) 1 Failure to separately submit original and follow-up reports Initial post marketing 15-day Alert reports and follow-up reports have not been submitted under separate cover.  Specifically, ***
6825 21 CFR 314.80(c)(1)(iii) 1 Non-applicant reports to applicant You, as a non-applicant, elected to submit to the applicant (rather than to FDA) all reports of adverse drug experiences that were both serious and unexpected.  However, you did not submit each report to the applicant [within five calendar days of your receipt of the information].  Specifically, ***
6838 21 CFR 314.80(e)(1) 1 Failure to report post-marketing study ADEs Fifteen-day Alert reports have not been submitted for all adverse drug experiences during post marketing studies, where there was a reasonable possibility that the drug caused the adverse experience.  Specifically, ***
6840 21 CFR 314.80(f)(1) 1 Wrong form - domestic ADE An FDA Form 3500A has not been completed for each report of a domestic adverse drug experience.  Specifically, ***
6842 21 CFR 314.80(i) 1 Failure to maintain records Records relating to all adverse drug experiences known to you, including raw data and any correspondence, have not been maintained for the required ten year period.  Specifically, ***
8906 21 CFR 314.81(b)(1)(i) 1 Mix-up An NDA-Field Alert Report was not submitted within three working days of receipt of information concerning an incident that caused a drug product or its labeling to be [mistaken for] [applied to] another article.   Specifically, ***
8908 21 CFR 314.81(b)(2)(i) 1 Summary An annual report did not include [a brief summary of significant new information from the previous year that might affect the safety, effectiveness, or labeling of the drug product] [a brief description of actions the applicant has taken or intends to take as a result of this new information] [a brief description of actions the applicant has taken or intends to take as a result of new information from the previous year that might affect the safety, effectiveness, or labeling of the drug product] [a brief statement whether labeling supplements for pediatric use have been submitted and whether new studies in the pediatric population have been initiated].  Specifically, ***
8909 21 CFR 314.81(b)(2)(ii) 1 Distribution data An annual report did not include [information about the quantity of the drug product distributed under the approved application, including that distributed to distributors] [the National Drug Code (NDC) number] [the total number of dosage units of each strength or potency distributed] [the quantities distributed for domestic use] [the quantities distributed for foreign use].   Specifically, ***
8914 21 CFR 314.81(b)(2)(iv)(b) 1 Mfg and control changes not requiring a supplemental app. An annual report did not include a full description of the manufacturing and control changes not requiring a supplemental application, listed by date in the order in which they were implemented.   Specifically, ***
8935 FDCA 760(b)(1) 1 Failure of responsible person to report AE (non-RX Drug)   Serious adverse event(s) for a non-prescription drug used in the United States has not been reported to the Secretary. Specifically, ***
10019 21 CFR 314.80(c)(1)(iii) 1 Non-applicant reports directly to FDA You, as a non-applicant, did not elect to submit to the applicant all reports of adverse drug experiences that were both serious and unexpected.  You were therefore obligated to submit those reports directly to FDA, but you did not submit each report [within five calendar days of your receipt of the information].  Specifically, ***
10022 21 CFR 310.305(a) 1 Failure to develop written procedures Written procedures have not been developed for the [surveillance] [receipt] [evaluation] [reporting to FDA] of postmarketing adverse drug experiences. Specifically, ***

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Bioresearch Monitoring

Center Name Cite Id Ref No Frequency Short Description Long Description
Bioresearch monitoring 7560 21 CFR 312.60 214 FD-1572, protocol compliance An investigation was not conducted in accordance with the [signed statement of investigator] [investigational plan]. Specifically***
7530 21 CFR 312.62(b) 149 Case history records- inadequate or inadequate Failure to prepare or maintain [adequate] [accurate] case histories with respect to [observations and data pertinent to the investigation] [informed consent].   Specifically, ***
7526 21 CFR 312.62(a) 60 Accountability records Investigational drug disposition records are not adequate with respect to [dates] [quantity] [use by subjects].  Specifically, ***
7318 21 CFR 56.115(a)(2) 36 Minutes of IRB meetings Minutes of IRB meetings have not been [prepared] [maintained] in sufficient detail to show [attendance at the meetings] [actions taken by the IRB] [the vote on actions, including the number of members voting for, against and abstaining] [the basis for requiring changes in or disapproving research] [a written summary of the discussion of controverted issues and their resolution].  Specifically, ***
7227 21 CFR 50.27(a) 35 Consent form not approved/signed/dated Informed consent was not properly documented in that the written informed consent used in the study [was not approved by the IRB] [was not signed by the subject or the subject’s legally authorized representative at the time of consent ] [was not dated by the subject or the subject's legally authorized representative at the time of consent]. Specifically, ***
7281 21 CFR 56.108(a)(1) 30 Initial and continuing reviews The IRB [has no] [did not follow its] written procedure for conducting its [initial] [continuing] review of research. Specifically, ***
7562 21 CFR 312.60 29 Informed consent Failure to obtain informed consent in accordance with 21 CFR Part 50 from each human subject prior to [drug administration] [conducting study-related tests].  Specifically***
7290 21 CFR 56.108(c) 22 Members present for review For other than expedited reviews, the IRB does not always review proposed research at convened meetings at which a majority of the members of the IRB are present, including at least one member whose primary concerns are in nonscientific areas.  Specifically, ***
7498 21 CFR 312.66 22 Unanticipated problems Failure to report promptly to the IRB all unanticipated problems involving risk to human subjects or others.  Specifically, ***
7334 21 CFR 56.115(a)(5) 20 List of members A list of IRB members has not been [prepared] [maintained], identifying members by [name] [earned degrees] [representative capacity]  [indications of experience sufficient to describe each member's chief anticipated contribution to IRB deliberations] [any employment or other relationship between each member and the institution].  Specifically, ***
7335 21 CFR 56.115(a)(6) 17 Written procedures per 56.108(a) and (b) Documentation has not been [prepared] [maintained] of written procedures for the IRB, as required by 21 CFR 56.108(a) and (b).  Specifically, ***
7520 21 CFR 312.64(b) 16 Safety reports Failure to report [promptly] to the sponsor adverse effects that may reasonably be regarded as caused by, or probably caused by, an investigational drug. Specifically, ***
7482 21 CFR 312.50 15 General responsibilities of sponsors Failure to [select qualified investigators] [provide investigators with the information needed to conduct the study properly] [ensure proper monitoring of the study] [ensure the study is conducted in accordance with the  protocol and/or investigational plan] [ensure that FDA and all investigators are promptly informed of significant new adverse effects or risks].  Specifically, ***
7293 21 CFR 56.109(f) 14 Continuing review The IRB does not conduct continuing review of research at intervals [appropriate to the degree of risk] [of not less than once per year].  Specifically, ***
7231 21 CFR 50.20 13 Consent not obtained, exceptions do not apply Legally effective informed consent was not obtained from a subject or the subject's legally authorized representative, and the situation did not meet the criteria in 21 CFR 50.23 - 50.24 for exception.  Specifically, ***
7480 21 CFR 312.50 12 Ensuring compliance with plan and protocol Failure to ensure that an investigation was conducted in accordance with the general investigational plan and protocols as specified in the IND.  Specifically, ***
7517 21 CFR 312.66 12 Initial and continuing review Failure to assure that an IRB [complying with applicable regulatory requirements] was responsible for the initial and continuing review and approval of a clinical study.  Specifically, ***
4007 21 CFR 58.130(a) 11 Conduct: in accordance with protocol Not all nonclinical laboratory studies were conducted in accordance with the protocol.  Specifically, ***
7286 21 CFR 56.108(b)(1) 11 Prompt reporting of unanticipated problems The IRB [has no] [did not follow] written procedures for ensuring prompt reporting to [the IRB] [appropriate institutional officials] [the FDA] of any unanticipated problems involving risks to human subjects or others.  Specifically, ***
7531 21 CFR 312.62(c) 11 Record retention Investigational records were not retained for a period of two years following [approval of a drug's marketing application] [discontinuance of the investigation and notification of FDA].   Specifically, ***
7552 21 CFR 312.66 11 Changes in research Not all changes in research activity were approved by an Institutional Review Board prior to implementation.  Specifically, ***
7391 21 CFR 50.25(a)(5) 10 Confidentiality, FDA inspection of records There was no statement in the informed consent document that [described the extent, if any, to which confidentiality of records identifying the subject would be maintained] [noted the possibility that the Food and Drug Administration might inspect the records].  Specifically, ***
7317 21 CFR 56.115(a)(1) 9 Copies of all research proposals and related documents Copies have not been [prepared] [maintained] of all [research proposals reviewed] [scientific evaluations, if any, accompanying research proposals] [approved sample consent documents] [progress reports submitted by investigators] [reports of injuries to subjects].  Specifically, ***
7371 21 CFR 56.108(a)(1) 9 Reporting findings and actions to investigator/institution The IRB [has no] [did not follow its] written procedure for reporting its [findings] [actions] to the [investigator] [institution].  Specifically, ***
4025 21 CFR 58.185(a)(9) 8 Final report: circumstances affecting data qual., integrity The final study report did not include a description of all circumstances that may have affected the quality or integrity of the data.  Specifically, ***
7209 21 CFR 50.25(a)(1) 8 Procedures, identification of those which were experimental The informed consent document did not contain [a description of the procedures to be followed] [identification of any procedures which were experimental].  Specifically, ***
7411 21 CFR 312.53(c)(1) 8 Investigator statement (FDA 1572) Failure to obtain [an] [a complete] investigator statement, form FDA-1572, before permitting an investigator to participate in an investigation.  Specifically, ***
7321 21 CFR 56.110(c) 7 Method to keep members advised The IRB uses an expedited review procedure, but [has not adopted] [is not following] a method for keeping members advised of research proposals which have been approved under the procedure.  Specifically, *** 
7342 21 CFR 56.108(b)(2) 7 Prompt reporting of noncompliance The IRB [has no] [did not follow] written procedures for ensuring prompt reporting to [the IRB] [appropriate institutional officials] [the FDA]  of any instance of serious or continuing noncompliance with theses regulations or the requirements or determinations of the IRB.  Specifically, ***
3923 21 CFR 58.33(f) 6 Study director: transfer of data to archives The study director failed to assure that all raw data, documentation, protocols, specimens, and final reports were transferred to the archives during or at the close of the study.  Specifically, ***
7316 21 CFR 56.115(a)(4) 6 Copies of IRB/CI correspondence Copies have not been maintained of all correspondence between the IRB and the investigators.  Specifically, ***
7343 21 CFR 56.108(b)(3) 6 Reporting  of suspension/termination The IRB [has no] [did not follow] written procedures for ensuring prompt reporting to [the IRB] [appropriate institutional officials] [the FDA] of any suspension or termination of IRB approval.  Specifically, ***
7387 21 CFR 50.25(a)(1) 6 Statement of research, purpose, duration of participation The informed consent document did not contain [a statement that the study involved research] [an explanation of the purposes of the research, and the expected duration of the subject's participation].  Specifically, ***
7388 21 CFR 50.25(a)(2) 6 Reasonably foreseeable risks or discomforts  The informed consent document lacked a description of reasonably foreseeable risks or discomforts to the subject.  Specifically, ***
7488 21 CFR 312.59 6 Records of unused drug disposition Failure to maintain [adequate] written records of the disposition of an investigational drug in accordance with 21 CFR Part 312.57.  Specifically, ***
3919 21 CFR 58.33(b) 5 Study director: all data recorded and verified The study director failed to assure that all experimental data, including observations of unanticipated responses of the test system, were accurately recorded and verified.  Specifically, ***
4028 21 CFR 58.185(a)(12) 5 Final report: reports of individual scientists The final study report did not include the signed and dated reports of each of the individual scientists or other professionals involved in the study.  Specifically, ***
7305 21 CFR 56.110(b)(2) 5 Minor changes The IRB used an expedited review procedure to review supposedly minor changes to previously-approved research, but the changes were not minor in nature.  Specifically, ***
7368 21 CFR 56.108(a)2) 5 More frequent reviews, verification of no changes The IRB [has no] [did not follow its] written procedure for determining which projects [require review more often than annually] [need verification from sources other than the investigator that no material changes have occurred since previous IRB review] . Specifically, ***
7654 21 CFR 56.110(b) 5 Research not eligible for expedited review The IRB used an expedited review procedure for research which did not appear in an FDA list of categories eligible for expedited review, and which had not previously been approved by the IRB [within one year].   Specifically, ***  
3931 21 CFR 58.35(b)(5) 4 QAU: authorize deviations from protocols or SOPs The quality assurance unit failed to determine whether any deviations from approved protocols or standard operating procedures had been made with proper authorization and documentation.  Specifically, ***
3932 21 CFR 58.35(b)(6) 4 QAU: review final study report The quality assurance unit failed to review the final study report to assure that such report accurately described the methods and standard operating procedures, and that the reported results accurately reflected the raw data of the study.  Specifically, ***
3960 21 CFR 58.81(b) 4 SOPs: required Standard operating procedures have not been established for [animal room preparation] [animal care] [receipt, identification, storage, handling, mixing, and method of sampling of the test and control articles] [test system observations] [laboratory tests] [handling of animals found moribund or dead during study] [necropsy of animals or postmortem examination of animals] [collection and identification of specimens] [histopathology] [data handling, storage, and retrieval] [maintenance and calibration of equipment] [transfer, proper placement, and identification of animals].  Specifically, ***
7319 21 CFR 56.115(a)(3) 4 Records of continuing review Records have not been [prepared] [maintained] of all continuing review activities.  Specifically, ***
7392 21 CFR 50.25(a)(7) 4 Whom to contact The informed consent document lacked an explanation of whom to contact [for answers to pertinent questions about the research and research subjects' rights] [in the event of a research-related injury to the subject].  Specifically, ***
7543 21 CFR 312.61 4 Unauthorized recipients (investigator) A study drug was [administered to subjects] [provided to persons] not under the investigator's personal supervision or under the supervision of a subinvestigator responsible to the investigator.   Specifically, ***
7652 21 CFR 56.113 4 Reporting The IRB's [suspension] [termination of approval] for research was not reported [promptly] to [the investigator] [appropriate institutional officials] [the Food and Drug Administration].  Specifically, ***
7665 21 CFR 50.20 4 Exculpatory language, waiving of rights The general requirements for informed consent were not met in that the consent form contained exculpatory language [through which the subject or the subject's representative was made to waive or appear to waive some of the subject's legal rights] [that released or appeared to release the investigator, sponsor, the institution, or its agents from liability for negligence].  Specifically, ***
3920 21 CFR 58.33(c) 3 Study director: unforeseen circumstances The study director failed to assure that unforeseen circumstances that might affect the quality and integrity of the nonclinical laboratory study were noted when they occurred and corrective action was taken and documented.  Specifically, ***
3926 21 CFR 58.35(b)(1) 3 QAU: maintain a master schedule The quality assurance unit failed to maintain a copy of a master schedule sheet that contained all required elements for all nonclinical laboratory studies conducted by the testing facility.  Specifically, ***
3956 21 CFR 58.63(c) 3 Equipment: maintenance records Adequate written records are not maintained of all equipment inspection, maintenance, testing, calibrating and/or standardizing operations.  Specifically, ***
4026 21 CFR 58.185(a)(10) 3 Final report: names of those involved The final study report did not include [the name of the study director] [the names of other scientists or professionals] [the names of all supervisory personnel] involved in the study.  Specifically, ***
7278 21 CFR 56.107(e) 3 Conflict of interest The IRB allowed a member to participate in the IRB's [initial] [continuing review] of a project in which the member had a conflicting interest.  Specifically, ***
7320 21 CFR 56.109(e) 3 IRB approvals/disapprovals - general The IRB has not promptly notified in writing [the investigator] [the institution] when the IRB has [approved] [disapproved] [required modifications to secure IRB approval of] proposed research activity.   Specifically, ***
7322 21 CFR 56.111 (a)(2) 3 Risks to subjects reasonable The IRB approved the conduct of research, but did not determine that the risks to subjects were reasonable in relation to the anticipated benefits (if any) to subjects, and to the importance of the knowledge that might be expected to result.  Specifically, ***
7339 21 CFR 56.108(a)(4) 3 Changes in approved research The IRB [has no] [did not follow its] written procedure for ensuring that changes in approved research, during the periods for which IRB approval had already been given, would not be initiated without IRB review and approval (except where necessary to eliminate apparent immediate hazards to the human subjects).  Specifically, ***
7369 21 CFR 56.109(h) 3 Children as subjects The IRB did not determine [at the time of initial review] [at the time of continuing review for an on-going study which was started on/before April 30, 2001] that a study was in compliance with 21 CFR Part 50 Subpart D, "Additional Safeguards for Children in Clinical Investigations."  Specifically, ***
7370 21 CFR 56.111(c) 3 Children as subjects The IRB approved the conduct of research involving children as subjects, but did not determine that the research was in compliance with 21 CFR 50 Subpart D.  Specifically, ***
7507 21 CFR 312.52(a) 3 Transfer of obligations Transfer of obligations to a contract research organization [was not described in writing] [did not describe each of the obligations assumed by the contract research organization, where not all obligations were assumed]. Specifically, ***
7527 21 CFR 312.62(a) 3 Unused drug disposition (investigator) Unused supplies of an investigational drug were not [returned to the sponsor] [disposed of in accordance with sponsor instructions].  Specifically, ***
7555 21 CFR 312.53(d) 3 Selecting monitors Monitors not qualified by experience and training were selected to monitor the progress of a clinical investigation.   Specifically, ***
7638 21 CFR 312.20(a) 3 Failure to submit an IND The sponsor failed to submit an IND to the FDA prior to conducting a clinical investigation with an investigational new drug. Specifically,***
7656 21 CFR 56.108(c) 3 Approval from a majority of members present For other than expedited reviews, research approved by the IRB does not always receive the approval of a majority of those IRB members present.  Specifically, ***
7664 21 CFR 50.20 3 Circumstances of obtaining consent The general requirements for informed consent were not met in that [you] [the investigator] did not seek consent under circumstances that [provided the prospective subject or the subject's representative sufficient opportunity to consider whether or not to participate] [minimized the possibility of coercion or undue influence].  Specifically, ***
3902 21 CFR 58.29(a) 2 Personnel: education, training, experience Not all individuals engaged in the conduct of or responsible for the supervision of a nonclinical laboratory study have education, training, and experience, or combination thereof, to enable that individual to perform assigned functions.  Specifically, ***
3903 21 CFR 58.29(b) 2 Personnel: summary of training, job description The testing facility failed to maintain a current summary of training and experience and job description for each individual engaged in or supervising the conduct of a nonclinical laboratory study.  Specifically, ***
3924 21 CFR 58.35(a) 2 QAU: monitor facilities, etc. The quality assurance unit did not monitor each study to assure management that the facilities, equipment, personnel, methods, practices, records, and controls were in conformance with FDA GLP regulations.  Specifically, ***
3925 21 CFR 58.35(a) 2 QAU: separate and independent The quality assurance unit, for any given study, was not entirely separate from and independent of the personnel engaged in the direction and conduct of that study.  Specifically, ***
3928 21 CFR 58.35(b)(3) 2 QAU: inspect study at adequate intervals The quality assurance unit failed to inspect each nonclinical laboratory study at intervals adequate to assure the integrity of the study and maintain written and properly signed records of each periodic inspection.  Specifically, ***
3948 21 CFR 58.47(a)(3) 2 Facility: article mixture storage areas The testing facility does not provide separate areas, as necessary, to prevent contamination or mix-ups for storage of the test and control article mixtures.  Specifically, ***
3954 21 CFR 58.63(a) 2 Equipment: calibration Not all equipment used for the generation, measurement, or assessment of data is adequately tested, calibrated and/or standardized.  Specifically, ***
3957 21 CFR 58.81(a) 2 SOPs: laboratory methods The testing facility does not have written standard operating procedures setting forth nonclinical laboratory study methods that management is satisfied are adequate to insure the quality and integrity of the data generated in the course of a study.  Specifically, ***
3977 21 CFR 58.90(g) 2 Animal care: analysis of feed and water Not all animal feed and water were analyzed periodically to ensure that expected contaminants were not present at levels above those specified in the protocol.  Specifically, ***
3989 21 CFR 58.107 2 Test article: handling Procedures have not been established for the handling of the test and control articles to ensure that [there is proper storage] [distribution is made in a manner designed to preclude the possibility of contamination, deterioration, or damage] [proper identification is maintained throughout the distribution process] [the receipt and distribution of each batch is documented including the date and quantity of each batch distributed or returned].  Specifically, ***
3991 21 CFR 58.113(a)(2) 2 Mixtures: stability Not all test or control articles mixed with a carrier were tested by appropriate analytical methods to determine the stability of the test or control article in the mixture as required by the conditions of the study.  Specifically, ***
3993 21 CFR 58.120(a) 2 Protocol: approved Not all studies had an approved written protocol that clearly indicated the objectives and all methods for the conduct of the study.  Specifically, ***
4008 21 CFR 58.130(b) 2 Conduct: test systems monitoring Not all test systems were monitored in conformity with the protocol.  Specifically, ***
4020 21 CFR 58.185(a)(4) 2 Final report: data on test and control articles The final study report did not include the test and control articles identified by name, chemical abstracts number or code number, strength, purity, and composition or other appropriate characteristics.  Specifically, ***
4021 21 CFR 58.185(a)(5) 2 Final report: stability of test and control articles The final study report did not include the stability of the test and control articles under the conditions of administration.  Specifically, ***
4022 21 CFR 58.185(a)(6) 2 Final report: description of methods The final study report did not include a description of the methods used.  Specifically, ***
4027 21 CFR 58.185(a)(11) 2 Final report: operations on data, analysis of data The final study report did not include [a description of the transformations, calculations, or operations performed on the data] [a summary and analysis of the data] [a statement of the conclusions drawn from the analysis].  Specifically, ***
4035 21 CFR 58.190(a) 2 Archives: data, documentation, specimens Not all [raw data] [documentation] [protocols] [final reports] [specimens (except those specimens obtained from mutagenicity tests and wet specimens of blood, urine, feces, and biological fluids)] generated as a result of a nonclinical laboratory study were retained.  Specifically, ***
4036 21 CFR 58.190(b) 2 Archives: orderly storage, expedient retrieval Archives failed to provide for orderly storage and expedient retrieval of all raw data, documentation, protocols, specimens, and interim and final reports.  Specifically, ***
7270 21 CFR 56.103(a) 2 IRB review requirement A clinical investigation requiring prior submission to the FDA was initiated without [IRB review] [IRB approval] [being subject to continuing IRB review].  Specifically, ***
7328 21 CFR 56.111(b) 2 Vulnerable subject safeguards The IRB approved the conduct of research in a situation where some or all of the subjects were likely to be vulnerable to coercion or undue influence, but did not determine that additional safeguards had been included in the study to protect the rights and welfare of those subjects.  Specifically, ***
7383 21 CFR 50.25(b)(6) 2 Number of subjects in study The informed consent document did not state the approximate number of subjects involved in the study.  Specifically, ***
7410 21 CFR 312.53(a) 2 Investigator selection Investigators who were not qualified by training and experience as appropriate experts were selected to investigate a drug.  Specifically, ***
7453 21 CFR 312.56(b) 2 Investigator non-compliance An investigator who did not comply with [the signed agreement] [the general investigational plan] [applicable regulatory requirements] was not [promptly brought into compliance] [terminated].  Specifically, ***
7459 21 CFR 312.57(a) 2 Records of receipt, shipment, disposition Lack of [adequate] records covering [receipt] [shipment to investigators] [disposition] of an investigational drug.  Specifically, ***
7533 21 CFR 312.69 2 Controlled substances (investigator) Inadequate precautions to prevent theft or diversion with respect to [storage of] [access to] an investigational drug which is a controlled substance. Specifically, ***
7558 21 CFR 312.57(c) 2 Record retention requirement Records and reports were not retained for two years after [marketing application approval] [discontinuance of the investigation and notification of FDA]. Specifically***
7659 21 CFR 50.25(a)(6) 2 Compensation, medical treatment in event of injury For research involving more than minimal risk, the informed consent document lacked an explanation as to whether any [compensation] [medical treatments] were available if injury occurred, and, if so, [of what they consisted] [where further information might be obtained].  Specifically, ***
7666 21 CFR 50.20 2 Understandable language The general requirements for informed consent were not met in that the information given was not in language understandable to the subject or the subject's representative.  Specifically, ***
3911 21 CFR 58.31(c) 1 Management: assure there is a QAU Testing facility management failed to assure that there was a quality assurance unit in conformance with FDA GLP regulations.  Specifically, ***
3913 21 CFR 58.31(e) 1 Management: availability of resources Testing facility management failed to assure that all personnel, resources, facilities, equipment, materials, and methodologies were available as scheduled.  Specifically, ***
3916 21 CFR 58.33 1 Study director: qualified and identified A scientist or other professional of appropriate education, training, and experience, or combination thereof, has not been identified as the study director for each nonclinical laboratory study.  Specifically, ***
3917 21 CFR 58.33 1 study director: overall study responsibility The study director did not have overall responsibility for the technical conduct of the study as well as for the interpretation, analysis, documentation and reporting of results, and does not represent the single point of study control.  Specifically, ***
3918 21 CFR 58.33(a) 1 Study director: follow study protocol The study director failed to assure that the protocol, including any change, was approved and was followed.  Specifically, ***
3922 21 CFR 58.33(e) 1 Study director: follow GLP regulations The study director failed to assure that all applicable GLP regulations were followed.  Specifically, ***
3933 21 CFR 58.35(b)(7) 1 QAU: signed statement in final report The quality assurance unit failed to prepare and sign a statement to be included with the final study report which specified the dates inspections were made and findings reported to management and to the study director.  Specifically, ***
3934 21 CFR 58.35(c) 1 QAU: SOPs and required records The quality assurance unit failed to maintain and make available for inspection required records regarding its responsibilities and procedures and the method of indexing such records.  Specifically, ***
3949 21 CFR 58.47(b) 1 Facility: article storage separate from test system The testing facility does not provide storage areas for the test and control article and test and control mixtures [separate from areas housing the test systems] [adequate to preserve the identity, strength, purity, and stability of the articles and mixtures].  Specifically, ***
3952 21 CFR 58.61 1 Equipment: appropriate design and adequate capacity Not all [equipment used in the generation, measurement, or assessment of data] [equipment used for facility environmental control] is of appropriate design and adequate capacity to function according to the protocol and is suitably located for operation, inspection, cleaning, and maintenance.  Specifically, ***
3953 21 CFR 58.63(a) 1 Equipment: inspection, cleaning and maintenance Not all equipment is adequately inspected, cleaned, and maintained.  Specifically, ***
3955 21 CFR 58.63(b) 1 Equipment: maintenance SOPs The standard operating procedures for routine inspection, cleaning, maintenance, testing, calibration, and/or standardization of equipment are not adequate.  Specifically, ***
3959 21 CFR 58.81(a) 1 SOPs: authorized changes Not all significant changes in established standard operating procedures were properly authorized in writing by management.  Specifically, ***
3961 21 CFR 58.81(c) 1 SOPs: availability Not all laboratory areas have immediately available laboratory manuals and standard operating procedures relative to the laboratory procedures being performed.  Specifically, ***
3963 21 CFR 58.83 1 Reagents: labeling Not all reagents and solutions in the laboratory areas are labeled to indicate identity, titer or concentration, storage requirements, and expiration date.  Specifically, ***
3964 21 CFR 58.83 1 Reagents: outdated Deteriorated or outdated reagents and solutions were used.  Specifically, ***
3971 21 CFR 58.90(d) 1 Animal care: animal identification Not all animals used in laboratory procedures that require manipulations and observations are appropriately identified.  Specifically, ***
3976 21 CFR 58.90(f) 1 Animal care: cage and equipment cleaning Not all animal cages, racks and accessory equipment were cleaned and sanitized at appropriate intervals.  Specifically, ***
3978 21 CFR 58.90(g) 1 Animal care: feed and water analysis records Not all feed and water analyses for contaminants were maintained as raw data.  Specifically, ***.
3983 21 CFR 58.105(a) 1 Test article: characterization The identity, strength, purity, composition, or other characteristics of each batch of test and control article have not been appropriately defined and documented.  Specifically, ***
3994 21 CFR 58.120(a)(1) 1 Protocol: descriptive title and purpose Not all protocols contained a descriptive title and statement of the purpose of the study.  Specifically, ***
4002 21 CFR 58.120(a)(9) 1 Protocol: tests, analyses, and measurements Not all protocols contained the type and frequency of tests, analyses, and measurements to be made.  Specifically, ***
4004 21 CFR 58.120(a)(11) 1 Protocol: date and signature Not all protocols contained the date of approval of the protocol by the sponsor and the dated signature of the study director.  Specifically, ***
4005 21 CFR 58.120(a)(12) 1 Protocol: statistical methods Not all protocols contained a statement of the proposed statistical methods to be used.  Specifically, ***
4009 21 CFR 58.130(c) 1 Conduct: identification of test specimens Not all specimens were identified by test system, study, nature, and date of collection. This information was not located on the specimen container or did not accompany the specimen in a manner that precluded error in the recording and storage of data.  Specifically, ***
4010 21 CFR 58.130(d) 1 Conduct: gross findings available to pathologist Not all records of gross findings for a specimen from postmortem observations were available to a pathologist when examining that specimen histopathologically.  Specifically, ***
4012 21 CFR 58.130(e) 1 Conduct: date and sign Not all data entries were dated on the date of entry and signed or initialed by the person entering the data.  Specifically, ***
4016 21 CFR 58.185(a) 1 Final report: non-existent A final report was not prepared for each nonclinical laboratory study.  Specifically, ***
4029 21 CFR 58.185(a)(13) 1 Final report: storage locations The final study report did not include the locations where all [specimens] [raw data] [the final report] are to be stored.  Specifically, ***
4031 21 CFR 58.185(b) 1 Final report: not signed by study director Not all final reports were signed and dated by the study director.  Specifically, ***
4032 21 CFR 58.185(c) 1 Final report: corrections or additions Not all corrections or additions to a final report were in the form of an amendment by the study director.  Specifically, ***
4038 21 CFR 58.190(b) 1 Archives: reference other storage locations The testing facility archive failed to specifically reference other locations where raw data or specimens are stored.  Specifically, ***
4040 21 CFR 58.190(d) 1 Archives: unauthorized personnel Unauthorized personnel entered the archives.  Specifically, ***
4041 21 CFR 58.190(e) 1 Archives: indexing, expedient retrieval Not all material retained or referred to in the archives was indexed to permit expedient retrieval. Specifically, ***
7274 21 CFR 56.107(a) 1 At least five members with varying backgrounds The IRB is not composed of at least five members [with varying backgrounds to promote complete and adequate review of research activities commonly conducted by the institution].   Specifically, ***
7279 21 CFR 56.107(f) 1 Invited individual allowed to vote with IRB The IRB invited an individual with competence in a special area to assist in the review of complex issues which required expertise beyond or in addition to that available on the IRB; however, the IRB allowed the individual to vote with the IRB.  Specifically, ***
7297 21 CFR 56.109(b) 1 Information given to subjects The IRB does not require that information given to subjects as part of informed consent contain all necessary elements of informed consent.  Specifically, ***:
7298 21 CFR 56.109(a) 1 Authority of the IRB The IRB does not have the authority to [approve] [require modifications in] [disapprove] all research activities covered by the regulations.  Specifically, ***
7325 21 CFR 56.111(a)(5) 1 Informed consent documented The IRB approved the conduct of research, but did not determine that informed consent would be appropriately documented.  Specifically, ***
7333 21 CFR 56.104(c) 1 Emergency use and IRB approval A clinical investigator did not report to the IRB [, within five days of use,] the emergency use of a test article for which the IRB had not reviewed the research proposal.  Specifically, ***
7340 21 CFR 56.108(a)(3) 1 Prompt reporting of changes The IRB [has no] [did not follow its] written procedure for ensuring prompt reporting to the IRB of changes in research activity.  Specifically, ***
7353 21 CFR 50.52 1 Factors required for approval The IRB approved a clinical investigation in which more than minimal risk to children was presented by 1) an intervention or procedure that held out the prospect of direct benefit for the individual subjects, and/or 2) by a monitoring procedure which was likely to contribute to the individual subjects' well-being.  However, the IRB did not [find] [document] that [the risk was justified by the anticipated benefit to the subjects] [the relation of the anticipated benefit to the risk was at least as favorable to the subjects as that presented by available alternative approaches] [adequate provisions had been made for soliciting the assent of the children and the permission of their parents or guardians, as set forth in 21 CFR 50.55].  Specifically, ***
7363 21 CFR 50.55(f)  1 Documentation of permission by parents or guardian Permission by parents or guardians for the participation of children as subjects in a clinical investigation was not documented in accordance with and to the extent required by 21 CFR 50.27.  Specifically, ***
7378 21 CFR 50.27(a) 1 Copy of consent form not provided A copy of the written consent form which had been approved by the IRB and signed and dated by the subject or the subject's legally authorized representative, was not provided to the subject or the subject's legally authorized representative at the time of consent.  Specifically, ***
7389 21 CFR 50.25(a)(3) 1 Benefits to the subject A description of any benefits [to the subject] [to others] which might reasonably be expected from the research was not included in the informed consent document.  Specifically, ***
7393 21 CFR 50.25(a)(8) 1 Participation; refusal and discontinuance The informed consent document did not contain a statement that [participation was voluntary] [refusal to participate would involve no penalty or loss of benefits to which the subject was otherwise entitled] [the subject might discontinue participation at any time without penalty or loss of benefits to which the subject was otherwise entitled].  Specifically, ***
7394 21 CFR 50.24(a)(2) 1 No determination that obtaining IC wasn't feasible In approving an investigation without requiring informed consent, the IRB did not [find] [document] that obtaining informed consent was not feasible.  Specifically,***
7395 21 CFR 50.24(a)(4) 1 Not practical without waiver In approving an investigation without requiring informed consent, the IRB did not [find] [document] that the clinical investigation could not practicably be carried out without the waiver.  Specifically,***
7396 21 CFR 50.24(a)(3) 1 Prospect of direct benefit not determined In approving an investigation without requiring informed consent, the IRB did not [find] [document] that participation in the research held out the prospect of direct benefit to the subjects because [they faced a life-threatening situation requiring intervention] [evidence from preclinical studies supported the potential for intervention to provide a direct benefit to subjects] [associated risks were reasonable under the circumstances].  Specifically,***
7397 21 CFR 50.24(a)(5) 1 Not contacting reps within potential therapeutic window In approving an investigation without requiring informed consent, the IRB did not [find] [document] that the proposed investigational plan defined the length of the potential therapeutic window based on scientific evidence, and the investigator had committed to attempting to contact a legally authorized representative for each subject within that window of time and, if feasible, to asking the legally authorized representative for consent within that window rather than proceeding without consent.  Specifically,***
7399 21 CFR 50.24(a)(7) 1 Additional protections of rights and welfare In approving an investigation without requiring informed consent, the IRB did not [find] [document] that additional protections of the rights and welfare of the subjects would be provided, including [consultation with, and public disclosure to, the communities in which the clinical investigation would be conducted, and from which the subjects would be drawn] [establishment of an independent data monitoring committee to exercise oversight of the clinical investigation] [attempting to contact (within the therapeutic window, when obtaining informed consent was not feasible and a legally authorized representative was not reasonably available) the subject's family member who was not a legally authorized representative, and asking whether he or she objected to the subject's participation in the clinical investigation].  Specifically,***
7405 21 CFR 56.109(f) 1 Authority to observe consent process and research The IRB does not have the authority to observe or have a third party observe the consent process and the research.  Specifically, ***"
7406 21 CFR 56.109(a) 1 Scope of reviews The IRB does not review all research activities covered by the regulations.  Specifically, ***
7428 21 CFR 312.53(c)(2) 1 Investigator CV or other statement of qualifications Failure to obtain a curriculum vitae or other statement of the qualifications of the investigator, before permitting an investigator to participate in an investigation.  Specifically, ***
7452 21 CFR 312.56(c) 1 IND safety report Failure to provide [FDA] [all participating investigators] with [a] [an adequate] written IND safety report.  Specifically, ***
7461 21 CFR 312.58(a) 1 FDA access to sponsor records Failure to permit FDA to [have access to] [review] [copy] records or reports related to a clinical investigation.  Specifically, ***
7479 21 CFR 312.56(a) 1 Monitoring investigations Failure to monitor the progress of an investigation conducted under your IND.  Specifically, ***
7499 21 CFR 312.64(a) 1 Progress reports Not all investigational progress reports were furnished to the drug study sponsor.  Specifically, ***
7505 21 CFR 312.55(a) 1 Investigator brochure Failure to provide to an investigator, prior to the start of an investigation, a brochure containing all of the information required by 21 CFR 312.23(a)(5).  Specifically, ***
7546 21 CFR 312.64(d) 1 Financial info update Updated financial information was not provided to the study sponsor when relevant changes occurred during [the course of the investigation] [the year following completion of the study].  Specifically, ***
7554 21 CFR 312.53(c)(4) 1 Financial information - sufficient and accurate Failure to obtain from an investigator [sufficient] [accurate] financial information to allow complete and accurate certification or disclosure statements.  Specifically, ***
7556 21 CFR 312.56(b) 1 Shipments after termination of investigator Drug shipments to an investigator were not discontinued after the investigator's participation in the investigation was terminated for noncompliance.   Specifically, ***
7557 21 CFR 312.56(b) 1 Notification of FDA of termination of investigator Failure to notify FDA of the ending, for cause, of an investigator's participation in an investigation.  Specifically, ***
7628 21 CFR 312.57(b) 1 Other financial interests of the investigator Failure to maintain [complete] [accurate] records of all financial interests of clinical investigators subject to financial interest reporting requirements.  Specifically, ***
7632 21 CFR 312.6(a) 1 Required label statement The immediate package of the investigational new drug does not bear a label with the statement "Caution: New Drug- Limited by Federal (or United States) law to investigational use
7634 21 CFR 312.7(a) 1 Promotion of Investigational Drug Representations were made in a promotional context that the investigational drug is [safe] [effective] for the purposes for which it is under investigation. Specifically, ***
7657 21 CFR 50.25(b)(5) 1 Significant new findings The informed consent document did not include a statement that significant new findings developed during the course of the research, which might relate to the subject's willingness to continue participation, would be provided to the subject.  Specifically, ***
7660 21 CFR 50.24(a)(1) 1 IRB failed to find / document required conditions In approving an investigation without requiring informed consent, the IRB did not [find] [document] that [the human subjects were in a life-threatening situation] [available treatments were unproven or unsatisfactory] [the collection of valid scientific evidence was necessary to determine the safety and effectiveness of particular interventions].  Specifically, ***

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Veterinary Medicine

Center Name Cite Id Ref No Frequency Short Description Long Description
Veterinary medicine 4185 FDCA 402(a)(4) 82 Record keeping Treatment records were not [maintained] [complete].  Specifically,*** 
4093 21 CFR 530.11(d) 39 Tissue residue Causing a residue of an approved human or animal drug above an established safe level, safe concentration, or tolerance, through use of the drug contrary to its labeling.  Specifically, ***
7001 FDCA 402(a)(4) 37 Drug inventory You lack an adequate inventory system for determining the quantities of drugs used to medicate your [cows] [calves] [livestock].  Specifically, ***
4097 21 CFR 530.20(a)(2)(iv) 19 Tissue residue Causing an illegal residue in a food-producing animal of an approved human or animal drug through [prescribing the use of] [using] the drug contrary to its labeling, and failing to take appropriate measures to assure that [assigned timeframes for withdrawal were met] [no illegal residue would occur].  Specifically, ***
1442 FDCA 402(a)(4) 18 Records review prior to slaughter Failure to systematically review treatment records prior to offering an animal for slaughter for human food, to assure that drugs have been used only as directed and that appropriate withdrawal times have been observed.  Specifically, ***
4182 FDCA 501(a)(5) 18 Extra label use w/o veterinary client-patient relationship Use of [a human] [an animal] drug in a manner contrary to label directions without benefit of a valid veterinary client-patient relationship.  Specifically, ***
4186 FDCA 402(a)(4) 16 System for administration of drugs Failure to have a system to control administration of drug treatments to your animals.  Specifically, ***
1360 FDCA 501(a)(5) 15 Expired drugs Expired drug(s) were observed in the drug storage area.  Specifically, ***
1389 21 CFR 530.11(a) 12 Withdrawal period Administration of an approved animal drug contrary to the labeling, without benefit of a valid veterinarian-client-patient relationship, in that pre-slaughter withdrawal time was not observed.  Specifically, ***
13508 FDCA 402(a)(4) 11 Medication status of animals  Failure to inquire about the medication status of the animal(s) that you [transported] [purchased] and delivered for [sale] [consignment] at  [an auction yard] [a slaughter plant].  Specifically, ***
4132 21 CFR 589.2000(d)(1) 10 Protein blenders, feed manufacturers, distributors Products that contain or may contain prohibited material fail to bear the caution statement, "Do not feed to cattle or other ruminants."  Specifically, ***
13509 FDCA 402(a)(4) 9 Identity of animals Failure to [identify] [maintain records regarding the identity of] [record the existing identification of] the animal(s) that you [purchased] [transported] and delivered for [sale] [consignment] at [an auction yard] [a slaughter plant].  Specifically, ***
1366 21 CFR 530.11(a) 8 Dosage level Administration of an approved animal drug in excess of the indicated dosage, without benefit of a valid veterinarian-client-patient relationship.  Specifically, ***
13521 21 CFR 530.41(a) 8 Drugs prohibited for extralabel use in food producing animal A prohibited [drug] [substance] was administered in an extralabel manner to [a] food-producing animal(s).  Specifically, ***
1446 FDCA 402(a)(4) 6 Hospital pen Failure to [identify] [segregate] [quarantine] treated animals.  Specifically, ***
1811 21 CFR 225.58(b)(1) 5 Three assays per year Periodic assays are not performed during the calendar year on at least three representative samples of medicated feeds requiring a medicated feed mill license, for each drug or drug combination used.  Specifically, ***
1953 21 CFR 225.80(b)(2) 5 Maintaining proofread label Proofread labels are not [initialed and dated by a responsible individual] [kept for one year after all the labels from that batch have been used].  Specifically, ***
1792 21 CFR 225.42(b)(7) 4 Discrepancies Failure to [investigate] [take corrective action for] a significant discrepancy between actual drug usage and theoretical drug usage.  Specifically, ***
1850 21 CFR 225.58(d) 4 Assay results out of specification Failure to [investigate] [implement corrective action] [maintain a record on the premises of corrective action] when assay results show medicated feeds [not in accord with label specifications] [not within permissible assay limits].  Specifically,***
4094 21 CFR 530.11(b) 4 Use in animal feed An approved drug was used in or on an animal feed in a manner not in accordance with the approved labeling. Specifically, ***
4146 21 CFR 589.2000(e)(1) 4 Written clean-out procedures Failure to maintain written clean-out procedures to prevent carryover of protein derived from mammalian tissues to animal protein or feeds that may be used for ruminants.  Specifically, ***
4183 FDCA 501(a)(5) 4 Frequency of administration Administration of a drug [over a longer time period] [more frequently] than [specified in its labeling] [prescribed].  Specifically, ***
4184 FDCA 501(a)(5) 4 Conditions of use Administration of a drug for conditions not [specified in its labeling] [prescribed].  Specifically, ***
4298 21 CFR 530.11(a) 4 Rx not followed Failure to follow your veterinarian's prescription for [dosage] [frequency and duration of treatment] [route of administration] [species or class of animal] [pre-slaughter withdrawal time] [special cautionary directions].  Specifically, ***
4453 21 CFR 225.10(b)(1) 4 Employees lack understanding All employees involved in the manufacture of medicated feeds do not have an understanding of the [manufacturing or control operations they perform] [location and proper use of equipment].  Specifically, ***
1373 21 CFR 530.11(a) 3 Route of administration Administration of an approved animal drug via a route, [oral] [intramuscular] [intravenous] [subcutaneous] [topical] [intramammary] [intrauterine], which was not indicated in the labeling, without benefit of a valid veterinarian-client-patient relationship.  Specifically, ***
1493 21 CFR 225.30(b)(4) 3 Calibration of scales and metering devices Failure to calibrate scales and metering devices [upon installation] [at least once a year after installation] [as frequently as necessary] to insure their accuracy.  Specifically, ***
1575 21 CFR 225.42(b)(4) 3 Integrity and identity Failure to properly [identify] [store] [handle] [control] drugs in the mixing areas to maintain their integrity and identity.  Specifically, ***
1765 21 CFR 225.42(b)(6)(i) - (v) 3 Information required Daily inventory records for each drug used do not include [the quantity of drug on hand at the beginning and end of the work day] [the amount of each drug used, sold, or otherwise disposed of] [the batches or production runs of medicated feed in which each drug was used] [information concerning any semiprocessed intermediate mix to be used in a medicated feed] [the action taken to reconcile any discrepancies in the inventory record].  Specifically, ***  
1782 21 CFR 225.42(b)(7) 3 Daily comparison, actual vs theoretical A daily comparison is not made between the actual amount of drug used and the theoretical amount of drug to be used in terms of the [semiprocessed] [intermediate] [finished] medicated feeds manufactured.  Specifically, ***
2075 21 CFR 225.102(b)(1) 3 Preparation of MRF A  Master Record File providing the complete procedure for manufacturing a specific product  is not [prepared] [checked] [dated] [signed or initialed] by a qualified person. Specifically, ***
2076 21 CFR 225.102(b)(1) 3 Elements of the MRF The Master Record File does not contain [the name of the medicated feed] [the name and weight percentage or measure of each drug or drug combination and each nondrug ingredient to be used in manufacturing a stated weight of medicated feed] [a copy or description of the label that will accompany the medicated feed] [manufacturing instructions or reference thereto that have been determined to yield a properly mixed medicated feed of the specified formula for each medicated feed produced]  [appropriate control directions including the collection of samples for specified laboratory assays] [the basis for estimating quantity produced, where actual yield cannot be accurately determined when finished feed is stored in bulk].  Specifically, ***
2097 21 CFR 225.102(b)(4) 3 Daily review of production records The batch production records are not checked by a responsible individual at the end of the working day to determine whether all required production steps have been performed.  Specifically, ***
4137 21 CFR 589.2000(d)(1) 3 Maintaining records Receipt of materials that contain or may contain protein derived from mammalian tissues, and failure to maintain records sufficient to track the materials throughout their receipt, processing, and distribution.  Specifically, ***
4145 21 CFR 589.2000(e)(1) 3 Use of clean-out procedures Failure to use clean-out procedures or other means adequate to prevent carryover of protein derived from mammalian tissues to animal protein or feeds that may be used for ruminants.  Specifically, ***
4560 21 CFR 225.165 3 Establishment and use of adequate procedures Adequate procedures are not [established] [used] for all equipment used in the production and distribution of medicated feeds to avoid unsafe contamination of medicated [and nonmedicated] feeds.  Specifically, ***
1362 21 CFR 530.11(a) 2 Species or class Administration of an approved human or animal drug to a [species of animal] [class of animal] for which the drug was not labeled, without benefit of a valid veterinarian-client-patient relationship.  Specifically, ***
1465 21 CFR 225.20(b)(1) 2 Building grounds maintenance The building grounds are not routinely maintained so that they are reasonably free from [litter, waste, and refuse] [uncut weeds and grass] [improperly stored equipment].  Specifically, ***
1466 21 CFR 225.20(b)(2) 2 Maintained in clean and orderly condition Buildings are not maintained in a reasonably clean and orderly manner.  Specifically, ***
1469 21 CFR 225.20(b)(3) 2 Pest access minimized The building is not constructed to minimize access by [rodents] [birds] [insects] [pests].  Specifically, ***
1638 21 CFR 225.42(b)(5) 2 Elements of receipt record Drug receipt records do not accurately indicate the [identity] [quantity] [name of the supplier] [supplier's lot number or other identifying number] [date of receipt] [condition of the drug when received] [return of any damaged drugs] for each lot of drug received.  Specifically, ***
1760 21 CFR 225.42(b)(6) 2 Lot number or shipment I.D. number The daily inventory records for drugs do not include [the manufacturer's lot number] [the feed manufacturer's shipment identification number].  Specifically, ***
1821 21 CFR 225.58(b)(1) 2 First batch assay No assay was performed on the first batch for the calendar year of medicated feed requiring a medicated feed mill license.  Specifically, ***
1923 21 CFR 225.65(b) 2 Reasonable and effective procedures followed All equipment that comes in contact with [active drug components] [feeds in process] [finished medicated feed] is not subject to all reasonable and effective procedures to prevent unsafe contamination of manufactured feed.  Specifically, ***
2074 21 CFR 225.102(a) 2 Lack of MRF Failure to have a  Master Record File for manufacturing a specific product, which provides the complete procedure for manufacturing a specific product.  Specifically, ***
2093 21 CFR 225.102(b)(2)(i)-(iv) 2 Elements of production record(s) Production record(s) fail to include [the product identification] [the date of production] [a written endorsement in the form of a signature or initials by a responsible individual] [the quantity and name of drug components used] [the theoretical quantity of medicated feed to be produced] [the actual quantity of the medicated feed produced] [an estimate of the quantity to be produced and stored in bulk, based on the basis for the estimate in the MRF].  Specifically, ***
4098 21 CFR 530.20(a)(2)(i) 2 Diagnosis and evaluation of conditions Failure to make a careful diagnosis and evaluation of the conditions for which an approved human or animal drug was to be used in a food-producing animal, contrary to the drug's labeling.  Specifically, ***
4099 21 CFR 530.20(a)(2)(ii) 2 Extended withdrawal period A substantially extended withdrawal period, supported by appropriate scientific information, was not established for the use of an approved drug in a food-producing animal, in an extralabel manner.  Specifically, ***
4100 21 CFR 530.20(a)(2)(iii) 2 Identity of treated animals Failure to assure that the identity of a food-producing animal was maintained, where you had prescribed or dispensed an approved human or animal drug contrary to the drug's labeling.  Specifically, ***
4101 21 CFR 530.20(a)(1) 2 Approved drug available Failure to determine that an approved animal drug was clinically ineffective for its intended use in a food-producing animal, prior to prescribing or dispensing an approved human or animal drug contrary to the drug's labeling.  Specifically, ***
4144 21 CFR 589.2000(e)(1) 2 Separate equipment and facilities Failure to maintain separate [equipment] [facilities] for the manufacture, processing, or blending of protein derived from mammalian tissues, to avoid commingling with or cross-contamination of products containing non-mammalian protein.  Specifically, ***
4147 21 CFR 589.2000(e)(1) 2 Written product separation procedures Failure to maintain procedures for separating products which may contain protein derived from mammalian tissues from all other protein products, from the time of receipt until the time of shipment.  Specifically, ***
4454 21 CFR 225.20(a) 2 Facilities features  The features of the facility necessary for the proper manufacture of medicated feeds fail to provide for [ease of access to structures and equipment for routine maintenance] [ease of cleaning of equipment and work areas] [facilities to promote personal hygiene] [structural conditions for control of vermin and pests] [adequate space for the orderly receipt and storage of drugs and feed ingredients] [adequate space for the controlled flow of materials through the processing and manufacturing operations] [equipment necessary for the accurate packaging and delivery of a medicated feed of specified labeling and composition].  Specifically, ***
4541 21 CFR 225.42(b) 2 Adequate procedures established Adequate procedures are not established for the [receipt] [storage] [inventory control] of all drugs to aid in assuring their identity, strength, quality and purity when incorporated into products.  Specifically, ***
4545 21 CFR 225.120 2 Vermin and pest infestation Buildings and grounds are not constructed and maintained in a manner to minimize vermin and pest infestation.  Specifically, ***
4547 21 CFR 225.130 2 Cleanliness, inspection, cleanout  Equipment for producing medicated feeds of intended potency and purity is not [maintained in a reasonably clean and orderly manner] [designed, constructed, installed and maintained so as to facilitate inspection and use of cleanout procedures].  Specifically, ***
4552 21 CFR 225.142 2 Adequate procedures for Type A and Type B articles Adequate procedures are not [established] [maintained] for the [identification] [storage] [inventory control (receipt and use)] of all Type A medicated articles and Type B medicated feeds intended for use in the manufacture of medicated feeds.  Specifically, ***
4553 21 CFR 225.142 2 Packaged Type A and Type B designated areas The [packaged Type A medicated articles] [packaged Type B medicated feed] are not [stored in designated areas] [stored in their original closed containers].  Specifically, ***
4567 21 CFR 225.202 2 Facilitation of recall The [formula] [production] [distribution] records are not adequate to facilitate the recall of specific batches of medicated feed that have been distributed.  Specifically, *** 
13541  FDCA 501(a)(5) 2 Use of veterinary prescription drugs without a prescription Administration of veterinary prescription drugs was performed without the lawful written or oral order of a licensed veterinarian. Specifically, ***
1376 21 CFR 530.11(a) 1 Frequency and duration Administration of an approved animal drug [more frequently] [for a longer time period] than specified in the labeling, without benefit of a valid veterinarian-client-patient relationship.  Specifically, ***
1457 FDCA 402(a)(4) 1 Feeding colostrum Feeding colostrum or milk from treated cows to calves intended for slaughter.  Specifically, ***
1482 21 CFR 225.30(b)(1) 1 Capability to produce a medicated feed Equipment does not possess the capability to produce a medicated feed of intended [potency] [safety] [purity].  Specifically, ***
1492 21 CFR 225.30(b)(3) 1 Suitable for intended purpose Equipment is not of suitable [size] [design] [construction] [precision] [accuracy] for its intended purpose.  Specifically, ***
1539 21 CFR 225.42(b)(3) 1 Identification and storage of bulk drugs Bulk drugs are not [identified] [stored] in a manner such that their identity, strength, quality, and purity will be maintained.  Specifically, ***
1634 21 CFR 225.42(b)(5) 1 Receipt for each lot of drug received Failure to [prepare] [maintain] a receipt record for each lot of drug received.  Specifically, ***
1744 21 CFR 225.42(b)(6) 1 Daily inventory record kept Failure to maintain a daily inventory record for each drug used in the manufacture of medicated feeds.  Specifically, ***
1880 21 CFR 225.58(e) 1 Distribution discontinued Distribution of a medicated feed which failed to meet its labeled drug potency was not discontinued.  Specifically, ***
1882 21 CFR 225.58(e) 1 Subsequent production Following distribution of a medicated feed which failed to meet its labeled drug potency, subsequent production of that feed  was resumed prior to the establishment of proper control procedures.  Specifically, ***
1930 21 CFR 225.65(b)(3) 1 Sequential production Sequential production of medicated feeds is not done on a predetermined basis designed to prevent unsafe contamination of feeds with residual drugs.  Specifically, ***
1952 21 CFR 225.80(b)(2) 1 Proofreading labels, labeling, placards Incoming  [labels] [labeling] [placards] are not proofread upon receipt from the printer against the Master Record Files  to verify suitability and accuracy.  Specifically, ***
2098 21 CFR 225.102(b)(4) 1 Discrepancies investigated, reported When significant discrepancies were noted on the batch production records, there was a failure to [institute an investigation immediately] [describe the corrective action taken on the production record].  Specifically, ***
2140 21 CFR 225.102(b)(5) 1 Identification which permits tracing history Failure to have identification which permits the tracing of the complete and accurate manufacturing history of the product by the manufacturer, including [an individual batch or production run number, code or date] [suitable identification applied to the label, package, invoice or shipping document].  Specifically, *** 
2232 21 CFR 225.115(b)(1) 1 Maintaining records of complaints The original or copy of a record of each oral or written complaint received relating to the safety and effectiveness of the product produced is not maintained on the premises.  Specifically, ***
2254 21 CFR 226.30(c) 1 Adjustment, cleaning, maintenance,  uniformity, reliability Equipment used in the [manufacture] [processing] [packaging] [bulk shipment] [labeling] [holding] [control] of Type A medicated articles is not constructed to facilitate [adjustment] [cleaning] [maintenance] [uniformity of production] [reliability of control procedures] [exclusion of contaminants, including cross contaminants].  Specifically, ***
2359 21 CFR 226.58(e) 1 Test method reliability Laboratory controls do not include adequate provisions to check the [reliability] [accuracy] [precision] of laboratory test procedures. Specifically, ***
2379 21 CFR 226.40(e) 1 Cleaning to prevent contamination of Type A articles Failure to use adequate procedures for cleaning of those parts of equipment which come into contact with drug components of Type A medicated articles, to avoid contamination of Type A medicated articles.  Specifically, ***
4110 21 CFR 530.12(b) 1 Names of active ingredients Failure to provide labeling showing the established name of each active ingredient for a human or animal drug prescribed for use in an animal contrary to the drug's labeling.  Specifically, ***
4113 21 CFR 530.12(e) 1 Withdrawal, withholding, or discard time Failure to provide labeling containing [withdrawal] [withholding] [discard] time as specified by the veterinarian for a human or animal drug prescribed for use in an animal contrary to the drug's labeling.  Specifically, ***
4148 21 CFR 226.30(e) 1 Suitable size and accuracy for intended use Equipment used in the production of Type A medicated articles is not of suitable [size] [accuracy] for the intended [measuring] [mixing] [weighing] operations.  Specifically, ***
4297 21 CFR 226.42(a) 1 Components receiving, testing, handling, et. al. Drug components used in the manufacture and processing of Type A medicated articles are not [received] [examined or tested] [stored] [handled] [controlled] in a manner to maintain the [integrity] [identification] of such articles.  Specifically, ***
4548 21 CFR 225.130 1 Scales and metering devices The [scales] [liquid metering devices] are not of suitable [size] [design] [construction] [precision] [accuracy] for their intended purpose.  Specifically, ***
4554 21 CFR 225.142 1 Bulk Type A and Type B storage Bulk [Type A medicated articles] [Type B medicated feeds] are not identified and stored in a manner such that their identity, strength, quality and purity will be maintained.  Specifically, *** 
4555 21 CFR 225.142 1 Use in accord with directions All [Type A medicated articles] [Type B medicated feeds] are not used in accordance with their labeled mixing directions.  Specifically, ***
4557 21 CFR 225.158 1 Investigation and corrective action Results of laboratory assays of drug components indicated that medicated feed was not in accord with the permissible limits, and no [investigation] [corrective action] was implemented immediately.  Specifically, ***
4562 21 CFR 225.180 1 Assuring correct labels are used Labels are not [received] [handled] [stored] in a manner that [prevents label mix-ups] [assures that the correct labels are used for the medicated feed].  Specifically, ***
4564 21 CFR 225.180 1 Bagged or bulk deliveries All deliveries of medicated feeds, whether bagged or in bulk, are not adequately labeled to assure that the feed can be properly used.  Specifically, ***
4566 21 CFR 225.202 1 Elements of records Formula, production and distribution records are not maintained identifying the [formulation] [date of mixing] [date of shipment (if not for own use)].  Specifically, ***

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Biologics

Center Name Cite Id Ref No Frequency Short Description Long Description
Biologics 76 21 CFR 606.100(b) 136 Maintained and followed Written standard operating procedures including all steps to be followed in the [collection] [processing] [compatibility testing] [storage] [distribution] of blood and blood components for [homologous transfusion] [autologous transfusion] [further manufacturing purposes] are not always [maintained] [followed] [maintained on the premises].  Specifically, ***
98 21 CFR 606.100(c) 31 Thorough investigations Failure to [perform a thorough investigation] [make a record of the conclusions and follow-up] of [an unexplained discrepancy] [a failure of a lot or unit to meet any of its specifications].  Specifically,***
9225 21 CFR 606.171 25 Biological product deviation report Failure to submit a biological product deviation report [within 45 days from the date you acquired information suggesting that a reportable event occurred].  Specifically, ***
155 21 CFR 606.160(b) 24 Required records Failure to maintain [donor] [processing] [storage and distribution] [compatibility testing] [quality control] [general] records.  Specifically, ***
160 21 CFR 606.160(a)(1) 23 Person performing, test results, interpretation Records fail to [identify the person performing the work] [include dates of the various entries] [show test results] [include interpretation of the results] [show the expiration date assigned to specific products] [be as detailed as necessary] so as to provide a complete history of the work performed.  Specifically, ***
31 21 CFR 606.20(b) 21 Qualifications of responsible personnel The personnel responsible for the [collection] [processing] [compatibility testing] [storage] [distribution] of blood or blood components are not adequate in [number] [educational background] [training and experience, including professional training as necessary]  to assure competent performance of their assigned functions, and to ensure that the final product has the safety, purity, potency, identity and effectiveness it purports or is represented to possess.  Specifically, ***
154 21 CFR 606.160(a)(1) 21 Concurrent documentation Records are not concurrently maintained with the performance of each significant step in the [collection] [processing] [compatibility testing] [storage] [distribution] of each unit of blood and blood components so that all steps can be clearly traced.  Specifically, ***
4425 21 CFR 606.60(a) 19 Equipment observed, standardized, calibrated Equipment used in the [collection] [processing] [compatibility testing] [storage and distribution] of blood and blood components is not [observed] [standardized] [calibrated] on a regularly scheduled basis as prescribed in the SOP Manual.  Specifically, ***
159 21 CFR 606.160(a)(1) 12 Legibility and indelibility Records are [illegible] [not indelible].  Specifically, ***
67 21 CFR 606.65(e) 9 Following manufacturer's instructions Failure to use supplies and reagents in a manner consistent with instructions provided by the manufacturer.  Specifically, ***
75 21 CFR 606.100(a) 7 SOP compliance Failure of the Standard Operating Procedure to comply with additional standards in 21 CFR 640.  Specifically, ***
78 21 CFR 606.100(c) 7 Record review prior to release All records pertinent to a lot or unit were not reviewed before the release or distribution of a lot or unit of final product.  Specifically, ***
9044 21 CFR 600.10(b) 7 Personnel capabilities Failure to assure that personnel have [capabilities commensurate with] [the necessary training in] [necessary experience in] [a thorough understanding of] the operations which they perform.  Specifically, ***
142 21 CFR 606.140(a) 6 Establishment of spec., standards, and test procedures Failure to establish scientifically sound and appropriate specifications, standards and test procedures to assure that blood and blood components are safe, pure, potent and effective.  Specifically, ***
208 21 CFR 640.3(a)(1) 6 Donor suitability procedures not followed  Failure to [follow] [maintain] [maintain on the premises] standard procedures and methods for determining the suitability of a donor as a source of blood.  Specifically, ***
9089 21 CFR 600.14(c) 6 When to report Biological product deviations [were] [are] not reported within the 45 calendar day timeframe.  Specifically, *** 
35 21 CFR 606.40 5 Clean & orderly Failure to maintain facilities in a clean and orderly manner.  Specifically, ***
150 21 CFR 606.151(e) 5 Procedures to maintain records of emergency transfusions Records [including signature by the physician requesting the procedure] are not maintained of all emergency transfusions [including complete documentation justifying the emergency action].  Specifically, ***
158 21 CFR 606.160(e) 5 Unsuitable donors A record is not available from which unsuitable (deferred) donors may be identified so that products from such individuals will not be distributed.  Specifically, ***
9220 21 CFR 606.100(b)(20) 5 Donor notification The standard operating procedure fails to include a written description of the [donor notification process] [process for follow-up if the initial attempt at donor notification fails].  Specifically, ***
12203 21 CFR 606.170(a) 5 Adverse Reaction- Reports of Investigations Written reports of investigations of adverse reactions, including conclusions and follow up, are not prepared and maintained.  Specifically, 
50 21 CFR 606.40(c) 4 Provide adequate handwashing Failure to provide [adequate] [clean] [convenient] handwashing facilities for personnel.  Specifically, ***
77 21 CFR 606.100(b) 4 Written SOPs available for use by personnel Failure to make available written procedures for use by personnel in the areas where the procedures are performed.  Specifically, ***
94 21 CFR 606.100(b)(15) 4 Schedules and procedures for equipment & calibration The standard operating procedure fails to include a written description of schedules and procedures for equipment maintenance and calibration.  Specifically, ***
143 21 CFR 606.140(b) 4 Provisions to monitor lab test procedures & instruments Failure to establish  adequate provisions for monitoring the [reliability] [accuracy] [precision] [performance] of laboratory test procedures and instruments.  Specifically, ***
227 21 CFR 640.4(h) 4 Storage temperatures after collection After collection, blood is not [immediately stored at a temperature between 1 and 6 degrees Celsius] [transported from the donor clinic to the processing laboratory in temporary storage to cool the blood continuously toward a range between 1 and 6 degrees Celsius].  Specifically, ***
333 21 CFR 640.64(e) 4 Prevention of contamination The phlebotomy site is not prepared by a method that gives maximum assurance of a sterile container of blood.  Specifically, ***
12202 21 CFR 606.170(a) 4 Adverse Reaction - Investigations A thorough investigation of each reported adverse reaction was not made.  Specifically,
41 21 CFR 606.40(a)(1) 3 Provide space for examination Failure to provide adequate space for [private] [accurate] examinations of individuals to determine their suitability as blood donors.  Specifically, ***
95 21 CFR 606.100(b)(16) 3 Labeling procedures to avoid labeling mix-ups The standard operating procedure fails to [include a written description of the labeling procedures] [include safeguards to avoid labeling mix-ups].  Specifically, ***
161 21 CFR 606.160(a)(2) 3 Determination of lot numbers and supplies Appropriate records are not available to determine the lot numbers of [supplies] [reagents] used for specific [lots] [units] of the final product.  Specifically, ***
165 21 CFR 606.170(a) 3 Adverse reaction - Maintenance of Reports Failure to maintain reports of complaints of adverse reactions regarding each unit of blood or blood product arising as a result of [blood collection] [transfusion].  Specifically, ***
224 21 CFR 640.4(f) 3 Arm preparation The phlebotomy site is not prepared by a method that gives maximum assurance of a sterile container of Whole Blood.  Specifically, ***
9086 21 CFR 600.14(a)(1) 3 Who must report - manufacturer Failure to submit [a] biological deviation [report] [reports].  Specifically, ***
38 21 CFR 606.40(b) 2 Adequate lighting, ventilation, and screening Failure to provide adequate [lighting] [ventilation] [screening of open windows and doors].   Specifically, ***
63 21 CFR 606.65 2 Safe, sanitary, orderly storage Failure to store all supplies and reagents used in the [collection]  [processing] [compatibility testing] [storage] [distribution] of blood and blood components in a safe, sanitary and orderly manner.  Specifically, ***
65 21 CFR 606.65(c) 2 Testing of representative samples of reagent lots Representative samples of each lot of [Anti-human globulin] [Blood grouping reagents] [Lectins] [Antibody screening and reverse grouping cells] [Hepatitis test reagents] [Syphilis serology reagents] [Enzymes] are not tested on a regularly scheduled basis as described in the SOP Manual  to determine their capacity to perform as required by the regulations.  Specifically, ***
80 21 CFR 606.100(b)(1) 2 Donor criteria The standard operating procedure fails to include written descriptions of criteria used to determine donor suitability, including acceptable medical history criteria.  Specifically, ***
89 21 CFR 606.100(b)(10) 2 Controlling storage temperatures The standard operating procedure fails to include a written description of the storage temperatures and methods of controlling storage temperatures for all blood products and reagents  Specifically, ***
91 21 CFR 606.100(b)(12) 2 Criteria for suitability of reissue of returned blood The standard operating procedure fails to include a written description of the criteria for determining whether returned blood is suitable for reissue.  Specifically, ***
93 21 CFR 606.100(b)(14) 2 QC procedures for supplies and reagents The standard operating procedure fails to include a written description of the quality control procedures for supplies and reagents employed in [blood collection] [processing] [pretransfusion testing].  Specifically, ***
144 21 CFR 606.140(c) 2 Adequate identification and handling of test samples Failure to adequately provide for identification and handling of all test samples so that they are accurately related [to the specific unit of product being tested] [to its donor] [to the specific recipient].  Specifically, ***
251 21 CFR 640.25(b) 2 Quality control Failure to test each month (of manufacture) four units prepared from different donors at the end of the storage period for [platelet count] [pH of not less than 6.0 measured at the storage temperature of the unit] [actual plasma volume].  Specifically, ***
253 21 CFR 640.25(b)(4) 2 Corrective action Failure to [take immediate corrective action] [maintain a record of corrective action] when the quality control testing for platelets does not meet the prescribed requirements.  Specifically, ***
255 21 CFR 640.31 2 Donor suitability Failure to ensure that [whole blood] [plasmapheresis] donors meet suitability criteria.  Specifically, ***
3248 21 CFR 640.63(a) 2 Determining donor suitability Failure to have donor suitability determined [by a qualified licensed physician or trained persons under his supervision].  Specifically, ***
3453 21 CFR 601.12(c) 2 Moderate changes to an approved application Failure to submit a supplement [at least 30 days] prior to distributing product made using the change.  Specifically, ***
9095 21 CFR 600.80(c)(1)(i) 2 Reporting Requirements - 15-day alert All [serious] [unexpected] adverse experiences were not reported within 15 calendar day of initial receipt of the information.  Specifically, ***
9235 21 CFR 630.6(c) 2 Documentation Failure to [document that you have successfully notified a deferred donor] [document that you have made reasonable attempts to notify a deferred donor].  Specifically, ***
9317 21 CFR 640.65(b)(8) 2 Timing Collection occurred [less than two days apart] [more than twice in a 7-day period].  Specifically, ***
36 21 CFR 606.40 1 Suitable size, construction, etc. Failure to provide facilities of  suitable [size] [construction] [location] so as to facilitate adequate cleaning, maintenance and proper operations.  Specifically, ***
57 21 CFR 606.60(a) 1 Maintain and clean equipment Failure to [maintain] [locate] equipment used in the [collection] [processing] [compatibility testing] [storage] [distribution] of blood and blood products [in a clean and orderly manner] [so as to facilitate cleaning and maintenance].  Specifically, ***
61 21 CFR 606.60(a) 1 Provide proper equipment to meet requirements Failure of equipment to perform in the manner for which it was designed so as to assure compliance with the official requirements prescribed in 21 CFR 606.  Specifically, ***
84 21 CFR 606.100(b)(5) 1 Accurate measurement of quantity of blood The standard operating procedure fails to include a written description of the blood collection procedure, including in-process precautions taken to measure accurately the quantity of blood removed from the donor.  Specifically, ***
85 21 CFR 606.100(b)(6) 1 Methods of component preparation The standard operating procedure fails to include written descriptions of the methods for component preparation, including any time restrictions for specific steps in processing.  Specifically, ***
117 21 CFR 606.121(f) 1 Labeling of blood products unsuitable for transfusion Failure to prominently label blood and blood components (except for recovered plasma) determined to be unsuitable for transfusion with ["NOT FOR TRANSFUSION"] [the reason the unit is considered unsuitable].  Specifically, ***
163 21 CFR 606.165(b) 1 Distribution records - content Distribution records fail to contain information to readily facilitate identification of  [the name and address of the consignee] [the date and quantity delivered] [the lot number of the unit(s)] [the date of expiration or date of collection] [the name of the recipient for crossmatched blood and blood components].  Specifically, ***
205 21 CFR 640.3(f) 1 Donations in less than eight weeks A person served as a source of blood more than once in 8 weeks and was not examined at the time of donation and certified by a physician to be in good health as indicated in part in 21 CFR 640.3(b).  Specifically, ***
207 21 CFR 640.3(a) 1 Donor suitability not performed on day of collection Failure to determine the suitability of a donor as a source of blood by a qualified physician or by a trained person under his supervision on the day of collection.  Specifically, ***
209 21 CFR 640.3(a) 1 Donor suitability in absence of physician The suitability of a donor as a source of blood was determined when a physician or a trained person under his supervision was not present on the premises; however, the firm did not maintain on the premises a [manual of standard procedures and methods to be followed by employees who determine suitability of donors] [records indicating the name and qualifications of the person immediately in charge of the employees who determined the suitability of  the donor].  Specifically, ***
217 21 CFR 640.3(c)(1) 1 History of viral hepatitis An individual was used as a source of blood who had a history of viral hepatitis after the 11th birthday.  Specifically, ***
225 21 CFR 640.4(f) 1 Closed system The blood is [not collected by aseptic methods in a sterile system] [collected using a vented system which fails to protect the blood against contamination].  Specifically, ***
236 21 CFR 640.5(e) 1 Testing - inspection Failure to [visually inspect blood during storage and immediately prior to issue for] [prevent issuance of blood found to have] abnormal color, physical appearance, or indication or suspicion of microbial contamination.  Specifically, ***
260 21 CFR 640.31(b) 1 Criteria for plasmapheresis donor suitability Failure of a plasmapheresis donor to [meet the same criteria for donor suitability as specified for Source Plasma donors (21 CFR 640.63)] [be presented the informed consent].  Specifically, ***
325 21 CFR 640.63(c)(10) 1 Narcotics use Each donor was not in good health on the day of donation, as indicated in part by [arms] [forearms] with [skin punctures] [scars] indicative of addiction to self-injected narcotics.  Specifically, ***
335 21 CFR 640.65(b)(1)(i) 1 Serological test Failure to draw from each donor [on the day of the first medical exam or plasmapheresis] [at least every 4 months] a sample of blood tested for [syphilis] [total plasma or serum protein determination] [serum protein electrophoresis or equivalent test].  Specifically, ***
344 21 CFR 640.65(b)(4) 1 Amount of blood removed in a 48 Hr. period The amount of whole blood, not including anticoagulant, exceeded [1000 milliliters for a donor] [1200 milliliters for a donor whose weight is 175 pounds or greater] during a [plasmapheresis procedure] [48 hour period].  Specifically, ***
353 21 CFR 640.68(b) 1 Final container The final containers used for Source Plasma [are entered prior to issuance for a purpose other than filling with the plasma] [are colored] [are not hermetically sealed] [do not permit clear visibility of the contents] [interact with the plasma contents under conditions of storage and use so as to alter the safety, quality, purity, or potency] [provide inadequate protection against external factors that may cause deterioration or contamination] [are not identified prior to filling by number or other symbol which will relate them to the donors].  Specifically, ***
362 21 CFR 640.70(a) 1 Required labeling information Failure to affix a label on each container of Source Plasma that provided [the proper name of the product] [the statement "Caution: For Manufacturing Use Only"] [the statement "Caution: For Use In Manufacturing Noninjectable Products Only"] [the statement "Store at - 20 degrees C. or colder"] [the total volume or weight of plasma and total quantity and type of anticoagulant used] [the donor number or individual bleed number, or both] [the expiration date of the plasma] [a statement as to whether the plasma was collected from normal donors or from immunized donors] [the test for hepatitis B surface antigen] [the statement "Nonreactive for HBsAg by FDA required test"] [a statement that the plasma is reactive for the serologic test for syphilis and must be used only for the manufacturing of positive control reagents for the STS] [the name, address, and license number of the manufacturer] [the statement "Negative by a test for antibody to HIV"].  Specifically, ***
368 21 CFR 640.72(d) 1 Donor reaction Failure of the donor record to contain a full explanation of a donor reaction, while on the plasmapheresis premises or reported to the center after the donor has left the premises, including the measures taken to assist the donor and the outcome of the incident.  Specifically, ***
369 21 CFR 640.72(a)(1) 1 Shipping temperature requirements Failure to maintain documentation establishing that the shipping temperature requirements are being met for Source Plasma intended for manufacture into injectable products.  Specifically, ***
372 21 CFR 640.72(a)(4) 1 Certification of donor's health Failure to maintain records of the certification of the donor's good health.  Specifically, ***
3245 21 CFR 640.61 1 Explanation of hazards Failure to explain to the prospective Source Plasma donor [by a qualified physician] the [hazards of the plasmapheresis procedure] [risks of a hemolytic transfusion reaction] [hazards involved if the donor is hyperimmunized].  Specifically, ***
3252 21 CFR 640.63(a) 1 Determination not made on day of collection Determination of the suitability of Source Plasma donors was not made on the day of collection.  Specifically, ***
3452 21 CFR 601.12(b) 1 Major changes to an approved application Failure to [submit a supplement] [receive supplement approval from FDA] prior to distributing product made using the change.  Specifically, ***
3543 21 CFR 610.46(a)(1) 1 Quarantine and notification When a donor tested repeatedly reactive for antibody to human immunodeficiency virus or otherwise was determined to be unsuitable when tested in accordance with the regulations, you did not take appropriate action within 72 hours to [institute a quarantine] [notify your consignee(s) for the purpose of instituting a quarantine] of [whole blood] [blood components] [source plasma] [source leukocytes] collected from the donor.  Specifically, ***
3642 21 CFR 640.76(c) 1 Source Plasma - Re-labeling Due to inadvertent temperature exposure Source Plasma was required to be relabeled as "Source Plasma Salvaged," however, the original label was not covered with [a complete new label containing the appropriate information] [a partial label (with the appropriate new information) covering the incorrect information regarding storage temperature.]  Specifically, ***
9087 21 CFR 600.14(a)(1) 1 Who must report - receiving information Failure to [establish] [maintain] [follow] procedures for obtaining information on all [deviations] [complaints] [adverse events] for a distributed biological product subject to biological product deviation reporting.  Specifically, ***
9101 21 CFR 600.80(c)(2)(ii) 1 Reporting Requirement - Periodic adv. exp. report content Periodic adverse experience reports [are not complete] [do not contain the required information].  Specifically, ***
9218 21 CFR 601.45 1 Promo materials - 30 days before publication Failure to submit copies of all promotional material intended for dissemination or publication at least 30 days prior to dissemination or publication.
9219 21 CFR 606.100(b)(20) 1 Donor deferral The standard operating procedure fails to include a written description of the donor deferral process.  Specifically, ***
9223 21 CFR 606.160(b)(6) 1 Required records - transfusion reaction and complaints Failure to maintain records of transfusion reaction reports and complaints, including investigation and follow up.  Specifically, ***
9234 21 CFR 630.6(c) 1 Notification w/in 8 weeks Failure to make reasonable attempts to notify the donor within 8 weeks after determining that the donor is deferred or determined not to be suitable for donation.  Specifically, ***
9236 21 CFR 630.6(b)(1) 1 Deferred or not suitable Failure to notify the donor [that the donor is deferred or determined not to be suitable] [of the reason for deferral].  Specifically, ***
9238 21 CFR 630.6(b)(3) 1 Results of testing Failure to notify the donor of the results of [tests for evidence of infection due to communicable disease agents that were a basis for deferral] [supplemental tests].   Specifically, ***
9240 21 CFR 630.6(d)(1) 1 Physician notification Failure to provide to an autologous donor's referring physician [information that the autologous donor is deferred based on the results of tests for evidence of infection due to communicable disease agents, and the reason for that decision] [the types of donation of blood and blood components that the autologous donor should not donate in the future] [the results of tests for evidence of infection due to communicable disease agent(s) that were a basis for deferral] [results of any supplemental tests].  Specifically, ***
9256 21 CFR 610.41 1 Donor Deferral Failure to defer a donor who tested reactive [by a screening test for evidence of infection due to a communicable disease agent] [for a serological test for syphilis] from further donations of human blood and blood components.  Specifically, ***
9266 21 CFR 610.40(e) 1 Further testing Failure to further test each donation found to be reactive to a screening test.  Specifically, ***
9269 21 CFR 610.40(h) 1 Shipment/use of reactive units, units from deferred donors Human blood or blood components that were [reactive by a screening test] [collected from a donor with a previous record of a reactive screening test] for evidence of a communicable disease agent were [shipped] [used] without meeting the exceptions set forth at 21 CFR 610.40(h)(2).  Specifically, ***
9288 21 CFR 640.21 1 Suitability of donor All [plasmapheresis] [plateletpheresis] donors did not meet the criteria for suitability.  Specifically, **
9315 21 CFR 640.65(b)(3) 1 Donor identification Failure to establish a system that positively identifies each donor and relates such donor directly to his [blood] [accumulated records and laboratory data].  Specifically, ***
9559 21 CFR 660.31 1 Same as for whole blood donor Donors of peripheral blood for reagent red blood cells [did not] [do not] meet the appropriate criteria in the regulations for donor suitability as a source of whole blood.  Specifically, ***
9560 21 CFR 660.32 1 Same as for whole blood Blood for reagent red blood cells is not collected from peripheral donors as prescribed under applicable sections of the regulation for the collection of whole blood.  Specifically, ***
9596 21 CFR 640.3(a) 1 Donor suitability by means of medical history Failure to [always] determine donor suitability on the day of collection by means of [medical history] [test for hemoglobin level] [physical examination].  Specifically, ***

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Parts 1240 and 1250

Center Name Cite Id Ref No Frequency Short Description Long Description
Parts 1240 and 1250 7036 21 CFR 1250.67 65 Prevention of contamination Failure to [design] [construct] [maintain] [operate] servicing area [piping systems] [hydrants] [taps] [faucets] [hoses] [buckets] [equipment] in such a manner as to prevent contamination of [drinking] [culinary] water.  Specifically, ***
6560 21 CFR 1250.32(a) 57 Contamination Not all food-handling operations are accomplished so as to minimize the possibility of contaminating [food] [drink] [utensils].  Specifically, ***
7032 21 CFR 1250.63 38 Prevention of the spread of communicable diseases Servicing area are not [provided with all necessary sanitary facilities] [operated] [maintained] as to prevent the spread of communicable diseases.  Specifically, *** 
7053 21 CFR 1250.75(b) 30 Sanitary sewers or alternative methods Failure to dispose of toilet wastes through [sanitary sewers] [methods assuring sanitary disposal].  Specifically, ***
6552 21 CFR 1250.28 20 Handling to avoid contamination Ice coming into contact with [food] [drink] is not [handled] [stored] in such a manner as to avoid contamination.  Specifically, ***
6564 21 CFR 1250.33(a) 20 Maintained in good repair Not all [utensils] [working surfaces] used in connection with [preparation] [storage] [serving] of [food] [beverages] are maintained in good repair.  Specifically, ***
6569 21 CFR 1250.33(b) 20 Equipment kept clean Failure to keep all equipment clean.  Specifically, ***
6558 21 CFR 1250.30(d) 19 Plumbing design, installation, maintenance Plumbing is not [designed] [installed] [maintained] so as to prevent contamination of [the water supply] [food] [food utensils].  Specifically, ***
6581 21 CFR 1250.38(b) 17 Soap, sanitary towels, water Hand washing facilities for use by food-handling employees lack [soap] [sanitary towels] [hot and cold running water].  Specifically, ***
6570 21 CFR 1250.33(c) 15 Storage and handling after bactericidal treatment Failure to [store] [handle] utensils, after bactericidal treatment, in such a manner as to prevent contamination before reuse.  Specifically, ***
6580 21 CFR 1250.38(b) 11 Signs Signs directing food-handling employees to wash their hands after each use of toilet facilities are not [posted] [readily observable by such employees].  Specifically, ***
6572 21 CFR 1250.34 10 Thermometers Failure to equip each refrigerator with a thermometer located in the warmest region thereof.  Specifically, ***
6555 21 CFR 1250.30(a) 9 Clean and free from flies, rodents, and other vermin Not all [kitchens] [galleys] [pantries] [places] where food is prepared, served, or stored are [clean] [free from flies, rodents, and other vermin].  Specifically, ***
6579 21 CFR 1250.38(a) 9 Suitable design and construction Failure to provide [toilet] [lavatory] facilities of suitable design and construction for use by food-handling employees.  Specifically, ***
6549 21 CFR 1250.27 8 Storage of perishables Failure to keep perishable [food] [drink] at or below 50 degrees Fahrenheit except when being prepared or kept hot for serving.  Specifically, ***
6593 21 CFR 1250.42(b) 8 Connections easily cleanable, located and protected Filling connections not [easily cleanable] [located and protected] so as to minimize the hazard of contamination of the water supply.  Specifically, ***
6565 21 CFR 1250.33(a) 7 Adequate facilities for cleaning, bactericidal treatment Adequate facilities are not provided for the [cleaning] [bactericidal treatment] of [multiuse eating and drinking utensils] [equipment used in the preparation of food and beverages].  Specifically, ***
7055 21 CFR 1250.75(b) 7 Equipment for cleaning and flushing Equipment for [cleaning soil cans and removable containers] [flushing nonremovable containers and waste carts] is [not designed so as to prevent backflow into the water line] [used for a purpose connected with the handling of food, water, or ice].  Specifically, ***
7089 21 CFR 1250.82(d) 7 Identification marks on tanks and piping Not all [tanks] [piping] bear clear marks of identification.  Specifically, ***
6591 21 CFR 1250.42(a) 6 Backflow protection A water system not protected against backflow.  Specifically, ***
7090 21 CFR 1250.82(e) 5 Backflow prevention - general Lack of backflow prevention in the installation of [pipes] [fittings] conveying potable water to [fixtures] [apparatus] [equipment].  Specifically, ***
6567 21 CFR 1250.33(b) 4 Cleaning of multiuse eating and drinking utensils Failure to [thoroughly clean in warm water] [subject to an effective bactericidal treatment] multiuse eating and drinking utensils after each use.  Specifically, ***
6582 21 CFR 1250.38(c) 4 Maintained in clean condition Failure to maintain toilet rooms in a clean condition.  Specifically, ***
6561 21 CFR 1250.32(b) 3 Clean hands Persons with unclean hands were engaged in handling [food] [drink] [utensils] [equipment].  Specifically, ***
6554 21 CFR 1250.30(a) 2 Ventilation and lighting Not all [kitchens] [galleys] [pantries] [places] where food is prepared, served, or stored are adequately [lighted] [ventilated].  Specifically, ***
6584 21 CFR 1250.39 2 Containers - watertight, readily cleanable, non-absorbent Garbage containers are not [watertight] [readily cleanable] [non-absorbent].  Specifically, ***
6585 21 CFR 1250.39 2 Containers - close-fitting covers Garbage containers lack close-fitting covers.  Specifically, ***
6586 21 CFR 1250.39 2 Frequency of disposition Failure to dispose of [garbage] [refuse] as frequently as necessary and practicable.  Specifically, ***
7038 21 CFR 1250.67 2 Signs for non-potable water Outlets for non-potable water are not posted with [permanent] signs warning that the water is unfit for drinking.  Specifically, ***
7042 21 CFR 1250.70(a) 2 Clean and sanitary Failure to maintain [toilet] [washroom] [locker] [essential sanitary] facilities for use of employees in a clean and sanitary condition.  Specifically, ***
7051 21 CFR 1250.75(a) 2 Contamination of passenger stations Failure to dispose of human wastes in such a manner as to avoid contamination of passenger [areas] [stations].  Specifically, ***
7081 21 CFR 1250.82(a) 2 Separate systems The potable water system is [not separate and distinct from other water systems] [used for other purposes].  Specifically, ***
6512 21 CFR 1240.62(b) 1 Undersized live turtles Live turtles with a carapace length of less than four inches [sold] [held for sale] [offered for public distribution].  Specifically, ***
6568 21 CFR 1250.33(b) 1 Cleaning of all other utensils Failure to [thoroughly clean in warm water] [subject to an effective bactericidal treatment] utensils (other than multiuse utensils) following the day's operation.  Specifically, ***
6612 21 CFR 1250.50 1 Designed to permit ready cleaning Lack of design of [toilet] [lavatory] facilities so as to permit ready cleaning.  Specifically, ***
7039 21 CFR 1250.67 1 Bulk ice Equipment used to [store] [wash] [handle] [deliver] bulk ice intended for [the cooling of drinking water or other beverages] [food preservation purposes] is not [constructed so as not to become a factor in the transmission of communicable diseases] [used for no other purposes].  Specifically, ***
7058 21 CFR 1250.79(a) 1 Container construction Containers used to [receive] [store] garbage are not [water-tight] [readily cleanable] [nonabsorbent] [equipped with close-fitting covers].  Specifically, ***
7087 21 CFR 1250.82(c) 1 Potable water tanks -- openings A potable water tank is equipped with a [manhole] [overflow] [vent] [device for measuring depth of water] and [no] [inadequate] provision is made to prevent entrance into the tank of contaminating substances.  Specifically, ***
7091 21 CFR 1250.82(e) 1 Backflow prevention - waste pipes Lack of backflow prevention for waste pipes discharging to a drain from the potable water system.  Specifically, ***
7092 21 CFR 1250.82(f) 1 Cleaning, disinfecting, flushing Failure to [clean] [disinfect] [flush] a potable water system when required by FDA to prevent the introduction, transmission, or spread of communicable diseases.  Specifically, ***
7110 21 CFR 1250.87 1 Storage tank construction Systems for wash water do not meet the requirements of a potable water system, and storage tanks fail to meet the requirements of 21 CFR 1250.83, in that [they are not free of apparent leakage] [a sanitary drain passes through a tank] [tanks are not adequately protected against backflow of bilge or highly contaminated water].  Specifically, ***
7120 21 CFR 1250.95 1 Infestation by flies, mosquitoes, fleas, lice, other insects Failure to prevent, through generally accepted methods of control, an infestation by [flies] [mosquitoes] [fleas] [lice] [insects known to be vectors in the transmission of communicable diseases].  Specifically, ***
10011 21 CFR 1240.62(d)(1) 1 Exception -- bona fide purposes Failure to demonstrate that the [sale] [holding for sale] [offering for distribution] of [live turtles with a carapace of less than four inches in length] [viable turtle eggs] is for bona fide scientific, educational, or exhibitional purposes, other than use as pets.  Specifically, ***

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Human Tissue for Transplantation

Center Name Cite Id Ref No Frequency Short Description Long Description
Human tissue for transplantation 12221 21 CFR 1271.47(a) 32 Procedures for all steps Procedures for all steps performed in the [testing] [screening] [determining] of donor eligibility of HCT/Ps were not [established] [maintained] [defined] [documented] [implemented] [followed] [reviewed] [revised].  Specifically, ***
12230 21 CFR 1271.50(a) 17 Responsible person to determine, document The eligibility of an HCT/P donor was not [determined] [documented] by a responsible person, based on results of donor screening and donor testing.  Specifically, ***
12336 21 CFR 1271.180(a) 17 Procedures to meet core CTGP Procedures appropriate to meet core CGTP requirements for all steps that you perform in the manufacture of HCT/Ps were not [established] [maintained] [defined] [documented] [implemented] [followed] [reviewed] [revised].  Specifically, ***
12277 21 CFR 1271.75(a)(1) 15 Risk factors, clinical evidence Donors were not screened by a review of relevant medical records for [risk factors]  [clinical evidence] of communicable disease agents and diseases.  Specifically, ***
12247 21 CFR 1271.55(d)(2) 14 Accurate, indelible, legible Donor eligibility records are not [accurate] [indelible] [legible].  Specifically, ***
12286 21 CFR 1271.80(b) 11 Specimen collections not  timely Donor specimens used for testing of communicable disease agents were not collected at the appropriate time.  Specifically, ***
12416 21 CFR 1271.260(e) 10 Storage temperatures recorded, maintained Storage temperatures of HCT/Ps were not [recorded] [maintained].  Specifically, ***
12457 21 CFR 1271.320(a) 10 Procedures re complaints Procedures for the [review] [evaluation] [documentation] [investigation] of complaints relating to core CGTP requirements were not [established] [maintained] [defined] [documented] [implemented] [followed] [reviewed] [revised].  Specifically, ***
12492 21 CFR 1271.85(a) 10 Infection with communicable disease agents Donors were not tested for evidence of infection with communicable disease agents.  Specifically, ***
12435 21 CFR 1271.270(a) 8 Records maintained concurrently Records were not maintained concurrently with the performance of each step.  Specifically, ***
12437 21 CFR 1271.270(a) 8 Records incomplete Records [did not identify the person performing the work] [did not show the dates of entries] [were not detailed as necessary to provide a complete history of work performed] [did not relate to the HCT/P involved].  Specifically, ***
12213 21 CFR 1271.47(a) 7 Donor eligibility procedures Procedures for all steps performed in the [testing] [screening] [determining] of donor eligibility of HCT/Ps were not [established] [maintained] [defined] [documented] [implemented] [followed] [reviewed] [revised].  Specifically, ***
12229 21 CFR 1271.50(a) 7 Determination based on screening and testing HCT/P donors were not determined to be eligible based on the results of donor screening and testing.  Specifically, ***
12363 21 CFR 1271.195(c) 7 Monitoring--cross contamination, exposure to CD  Environmental conditions are not monitored when such conditions could cause [contamination or cross contamination of HCT/Ps or equipment] [the accidental exposure of HCT/Ps to communicable disease agents].  Specifically, ***
12429 21 CFR 1271.265(d) 7 Shipping conditions appropriate Appropriate shipping conditions were not [established] [maintained] [defined] [documented] [implemented] [followed] [reviewed] [revised] for each type of HCT/P.  Specifically, ***
12433 21 CFR 1271.265(f) 7 Return to inventory--procedures Procedures for determining if HCT/Ps that were returned to the establishment are suitable to be returned to inventory were not [established] [maintained] [defined] [documented] [implemented] [followed] [reviewed] [revised].  Specifically, ***
12283 21 CFR 1271.75(e) 6 Abbreviated procedure  The abbreviated donor screening procedure [was used for donors who had no complete donor screening procedure in the previous six months] [did not determine and document changes in the donor's medical history that would make the donor ineligible].  Specifically, ***
12311 21 CFR 1271.160(b)(1) 6 Ensuring appropriate core requirements followed The quality program has not ensured that appropriate procedures related to core CGTP requirements were  [established] [maintained] [defined] [documented] [implemented] [followed] [reviewed] [approved] [revised].  Specifically, ***
12369 21 CFR 1271.200(b) 6 Procedures inadequate Procedures for the [cleaning] [sanitizing] [maintenance] of equipment were not [established] [maintained] [defined] [documented] [implemented] [followed] [revised].  Specifically, ***
12325 21 CFR 1271.160(b)(6) 5 Deviations--evaluation, cause, corrective action Investigation of deviations related to core  CGTP requirements did not include [a review and evaluation of the deviation] [efforts to determine the cause of the deviation] [corrective action(s) to address the deviation and prevent recurrence].  Specifically, *** 
12417 21 CFR 1271.260(e) 5 Periodic review of temperatures Recorded storage temperatures were not periodically reviewed to ensure that temperatures have been within acceptable limits.  Specifically, ***
12222 21 CFR 1271.47(a) 4 Design of procedures to ensure compliance Procedures were not designed to ensure compliance with the donor eligibility requirements.  Specifically, ***
12280 21 CFR 1271.75(c) 4 Reproductive cells/ tissues- general Donors of reproductive cells or tissues not recovered by a method that ensures freedom from contamination were not screened by a review of relevant medical records for [risk factors] [clinical evidence] of communicable diseases of the genitourinary tract.  Specifically, ***
12301 21 CFR 1271.150(c)(1)(iii) 4 Ensurane of compliance You did not ensure that establishment(s) that  by contract, agreement or arrangement, perform manufacturing steps for you were in compliance with [applicable CGTP requirements prior to the initiation of the contract, agreement of arrangement] [applicable CGTP requirements after information became available that suggested the establishment was no longer in compliance].  Specifically, ***
12309 21 CFR 1271.160(a) 4 Program is appropriate for the HCT/Ps A quality program appropriate for the  HCT/Ps manufactured and manufacturing steps performed has not been [established] [maintained] [defined] [documented] [implemented] [followed] [reviewed] [revised].  Specifically, ***
12312 21 CFR 1271.160(b)(2) 4 Procedures for complaints and other information The quality program has not ensured that procedures exist for [receiving] [investigating] [evaluating] [documenting] information relating to core CGTP requirements, including complaints.
12326 21 CFR 1271.160(c) 4 Quality audits performed periodically Periodic quality audits of activities related to core CGTP requirements have not been performed.  Specifically, ***
12359 21 CFR 1271.195(a)(3) 4 Aseptic processing---cleaning, disinfecting Environmental controls do not provide for adequate [cleaning] [disinfecting] of [rooms] [equipment] to ensure aseptic processing.  Specifically, ***
12398 21 CFR 1271.230(a) 4 Validation & approval--established procedures Processes with results which could not be fully verified by inspection and tests, were not validated and approved according to established procedures.  Specifically, ***
12399 21 CFR 1271.230(a) 4 Process validation procedures Procedures to validate and approve processes that cannot be fully verified by inspection and tests were not [established] [maintained] [defined] [documented] [implemented] [followed] [reviewed] [revised].  Specifically, ***
12405 21 CFR 1271.250(a) 4 Controlling the labeling of HCT/Ps Procedures to control the labeling of HCT/Ps were not [established] [maintained] [defined] [documented] [implemented] [followed] [reviewed] [revised].  Specifically, ***
12411 21 CFR 1271.260(a) 4 Contamination, mix ups, improper release Storage areas and stock rooms were not controlled [to prevent mix-ups, contamination and cross contamination of HCT/Ps, supplies and reagents] [to prevent HCT/Ps from improperly being made available for distribution].  Specifically, ***
12421 21 CFR 1271.265(a) 4 Acceptance criteria designed to prevent CD  Incoming HCT/Ps were not [accepted] [rejected] [placed in quarantine] based on pre-established criteria designed to prevent communicable disease transmission.  Specifically, ***
12431 21 CFR 1271.265(e) 4 Procedures and release criteria Procedures including  release criteria for activities relating to  the [receipt] [shipment] [distribution] of HCT/Ps were not [established] [maintained] [documented] [implemented] [followed] [reviewed] [revised].  Specifically, ***
12494 21 CFR 1271.85(c) 4 Reproductive cells or tissues Donors of reproductive cells or tissues not recovered by a method that ensures freedom from contamination were not tested for communicable diseases of the genitourinary tract.  Specifically, ***
12223 21 CFR 1271.47(b) 3 Review and approval of procedures Donor eligibility procedures were not [reviewed] [approved] by a responsible person before implementation.  Specifically, ***
12236 21 CFR 1271.55(a)(2) 3 Eligibility statement--basis of determination After the completion of the donor-eligibility determination, HCT/Ps were not accompanied with a statement whether the donor has been determined to be eligible or ineligible, based on the results of screening and testing.  Specifically, ***
12237 21 CFR 1271.55(a)(3) 3 Summary--records used to make determination After completion of the donor-eligibility determination, HCT/Ps were not accompanied with the summary of the records used to make the donor-eligibility determination.  Specifically, ***
12246 21 CFR 1271.55(d)(1)(iii) 3 Documentation--determination, by whom, date Documentation of [the donor-eligibility determination] [the responsible person who made the donor-eligibility determination] [the date of the donor-eligibility determination] was not maintained.  Specifically, ***
12287 21 CFR 1271.80(c) 3 Kits not FDA approved, specifically labeled Communicable disease agent tests [were not FDA-licensed, approved or cleared donor screening tests] [were not specifically labeled for cadaveric specimens when such a test was available and cadaveric specimens were used].  Specifically, ***
12319 21 CFR 1271.160(b)(3) 3 Actions taken and documented The quality program has not ensured that appropriate corrective actions relating to core CGTP requirements are [taken] [documented].  Specifically, ***
12375 21 CFR 1271.210(a) 3 Use prior to verification  Supplies and reagents were used before they were verified to meet specifications designed to prevent the introduction, transmission, or spread of communicable disease.  Specifically, ***
12432 21 CFR 1271.265(e) 3 Documentation elements for activities Documentation for activities related to the [receipt] [shipment] [distribution] of HCT/Ps did not include [identification of the HCT/P and the establishment that supplied the HCT/P] [activities performed and the results of each activity] [date(s) of activity] [quantity of HCT/P subject to the activity] [disposition of the HCT/P (identity of consignee)].  Specifically, ***
12453 21 CFR 1271.290(e) 3 Documenting disposition of each HCT/P A method has not been [established] [maintained] [defined] [documented] [implemented] [followed] [reviewed] [revised] in the tracking system [to document the disposition of each HCT/P] [to permit the prompt identification of the consignee of the HCT/P, if any].  Specifically, ***
12239 21 CFR 1271.55(b)(2) 2 Listing and interpretation of CD tests performed The summary of records for HCT/Ps did not contain [a listing] [an interpretation of results] of all communicable disease tests performed.  Specifically, ***
12240 21 CFR 1271.55(b)(3) 2 Name and address on summary The summary of records for HCT/Ps did not contain the [name] [address] of the establishment that made the donor-eligibility determination.  Specifically, ***
12252 21 CFR 1271.60(a) 2 Completion of eligibility determination HCT/Ps were not kept in quarantine until completion of the donor-eligibility determination.  Specifically, ***
12254 21 CFR 1271.60(b) 2 Identified as quarantined, distinguishable HCT/Ps in quarantine  pending completion of the donor eligibility determination were [not clearly identified as quarantined] [not easily distinguishable from HCT/Ps available for release and distribution].  Specifically, ***
12279 21 CFR 1271.75(b) 2 Risk factors, leukocyte-rich cells or tissues Donors of leukocyte-rich cells or tissues were not screened by a review of relevant medical records for [risk factors] [clinical evidence] of cell-associated communicable disease agents and diseases. Specifically, ***
12282 21 CFR 1271.75(d) 2 Donors with risks not determined ineligible Donors were not determined to be ineligible that had [risk factors or clinical evidence of communicable disease agents] [communicable disease risks associated with xenotransplantation].  Specifically, ***
12290 21 CFR 1271.80(d)(1) 2 Reactive tests--not determined ineligible Donors whose specimens test reactive on screening tests for communicable disease agents were not determined to be ineligible.  Specifically, ***
12310 21 CFR 1271.160(a) 2 All core requirements covered in program A quality program which addresses all of the core CGTP requirements, appropriate for the HCT/Ps manufactured and the manufacturing steps performed, has not been [established] [maintained] [defined] [documented] [implemented] [followed] [reviewed] [revised].  Specifically, ***
12315 21 CFR 1271.160(b)(2) 2 Sharing of information (general) The quality program has not ensured that procedures exist for sharing of information pertaining to the possible contamination or communicable disease transmission of HCT/Ps.  Specifically, ***
12320 21 CFR 1271.160(b)(3) 2 Actions verified, short and long term solutions Corrective actions relating to core CGTP requirements [have not been verified to ensure effectiveness and compliance with CGTP] [did not include both short term corrective actions to address the immediate deficiency and long term corrective actions to prevent recurrence].  Specifically, ***
12322 21 CFR 1271.160(b)(4) 2 Training of personnel The quality program has not ensured the proper training and education of personnel involved in core GTP activities.  Specifically, ***
12324 21 CFR 1271.160(b)(6) 2 Deviations--Investigation, documenting, trending The quality program does not include [the investigation] [the documentation] [the trending] [the reporting] of HCT/P deviations relating to core CTGP requirements.  Specifically, ***
12328 21 CFR 1271.160(d) 2 Validation for intended use The performance of [custom computer software] [commercial computer software that has been customized or programmed], including changes to computer software, has not been validated for the intended use, when such software is relied upon to comply with core GTP requirements.  Specifically, ***
12338 21 CFR 1271.180(b) 2 Review and approval-responsible person Procedures for core CGTP requirements were not [reviewed] [approved] by a responsible person before implementation.  Specifically, ***
12339 21 CFR 1271.180(c) 2 Availability of procedures Procedures for core CTGP requirements were not available to personnel  in the area where operations are performed, or in a nearby area when such availability is impractical.  Specifically, ***
12364 21 CFR 1271.195(c) 2 Monitoring-microorganisms where appropriate Environmental conditions were not monitored for microorganisms.  Specifically, ***
12365 21 CFR 1271.195(d) 2 Documentation not maintained Documentation of environmental control and monitoring activities was not maintained.  Specifically, ***
12367 21 CFR 1271.200(a) 2 Design appropriate, suitably located Equipment used in the manufacture of HCT/Ps was [not of appropriate design for its use] [not suitably located to facilitate operations, cleaning and maintenance].  Specifically, ***
12370 21 CFR 1271,200(c) 2 Calibration procedures and schedules (general) The [procedures] [schedules] for the calibration of equipment used for [inspection] [measuring] [testing] were not [established] [maintained] [defined] [documented] [implemented] [followed] [reviewed] [revised].  Specifically, ***
12371 21 CFR 1271.200(a) 2 Cleaned, sanitized per established schedules Equipment used for manufacturing HCT/Ps was not [cleaned] [sanitized] [maintained]  according to established schedules.  Specifically, ***
12378 21 CFR 1271.210(d)(1) 2 Receipt documentation maintained Documentation of the receipt of [supplies] [reagents] was not maintained.  Specifically, ***
12384 21 CFR 1271.215 2 Potential problems with recovery HCT/Ps were not recovered in a way [that does not cause contamination or cross contamination during recovery] [that does not increase the risk of introduction, transmission or spread of communicable disease].  Specifically, ***
12387 21 CFR 1271.220(a) 2 Causing contamination, increasing risks HCT/Ps were not processed in a way [that does not cause contamination or cross contamination during processing] [that does not increase the risk of introduction, transmission, or spread of communicable disease].  Specifically, ***
12395 21 CFR 1271.225 2 Verification/validation Process changes were not [validated] [verified]  to ensure the change does not cause an adverse impact elsewhere in operations.  Specifically, ***
12415 21 CFR 1271.260(e) 2 Temperature limits Acceptable temperature limits were not established for the storage of HCT/Ps at each step of the manufacturing process to inhibit the growth of infectious agents.  Specifically, ***
12436 21 CFR 1271.270(a) 2 Accurate, indelible, legible Records were not [accurate] [indelible] [legible].  Specifically, ***
12443 21 CFR 1271.270(d) 2 Retention time (10 year rules) Records were not retained for the appropriate length of time,  [10 years after their creation] [at least 10 years after the date of administration of a particular HCT/P] [at least 10 years after the date of a particular HCT/Ps distribution, disposition, or expiration, whichever is latest, when the date of administration is not known] [10 years after the appropriate disposition of archived specimens of dura mater].  Specifically, ***
12447 21 CFR 1271.290(b) 2 Establishing a system A tracking system that enables the tracking of HCT/Ps back and forth from the donor to the consignee or final disposition was not [established] [maintained] [defined] [documented] [implemented] [followed] [reviewed] [revised].  Specifically, ****
12448 21 CFR 1271.290(c) 2 Identification code HCT/Ps were not assigned a distinct identification code that relates the HCT/Ps to the donor and all records related to the product.  Specifically, ***
12473 21 CFR 1271.350(b)(2) 2 Deviations not reported to FDA HCT/P deviations relating to core CGTP requirements that occurred [in your establishment] [at an establishment under contract, agreement, or arrangement with your establishment] were not reported to FDA.  Specifically, ***
12490 21 CFR 1271.85(b)(1) 2 Cell-associated CD  Donors of leukocyte-rich cells or tissues were not tested for cell-associated communicable diseases.  Specifically, ***
12224 21 CFR 1271.47(c) 1 Availability of procedures Donor eligibility procedures were not available to personnel in the area where operations are performed, or in a nearby area when such availability is impractical. Specifically, ***
12225 21 CFR 1271.47(d) 1 Departures: recording and justifying Departures from donor eligibility procedures relevant to preventing risks of communicable disease transmission were not [recorded] [justified].  Specifically, ***
12227 21 CFR 1271.47(e) 1 Adopting procedures from another organization Current donor eligibility procedures adopted from another organization were not verified to be [consistent with the donor eligibility requirements specified in the regulations] [appropriate for your operations].  Specifically, ***
12231 21 CFR 1271.50(b)(1) 1 Donor screening standards Donor screening of HCT/P donors considered eligible indicated that the donor was not free of [risk factors for infection due to communicable disease agents] [clinical evidence of infection due to communicable disease agents] [risk factors associated with xenotransplantation].  Specifically, ***
12232 21 CFR 1271.50(b)(2) 1 Donor testing not negative for CD agents Donor testing of HCT/P donors considered eligible was not negative  or nonreactive for relevant communicable disease agents.  Specifically, ***
12234 21 CFR 1271.55(a)(1) 1 Identification code affixed to container After the completion of the donor-eligibility determination, HCT/Ps were not accompanied with a distinct identification code affixed to the HCT/P container.  Specifically, ***
12238 21 CFR 1271.55(b)(1) 1 Statement re: certified testing lab The summary of records for HCT/Ps did not contain a statement that the communicable disease testing was performed by a laboratory certified to perform such testing on human specimens under the Clinical Laboratory Improvement Act of 1988 or has met equivalent requirements determined by the Centers for Medicare and Medicaid Services.  Specifically, ***
12241 21 CFR 1271.55(b)(4) 1 Reasons for ineligibility on summary The summary of records for HCT/Ps from donors determined to be ineligible based on screening and released for limited use did not contain a statement noting the reasons(s) for the  ineligibility.  Specifically, ***
12242 21 CFR 1271.55(c) 1 Name and personal info on accompanying records The accompanying records for HCT/Ps included [the donor's name] [personal information that might identify the donor].  Specifically, ***
12244 21 CFR 1271.55(d)(1)(i) 1 Documentation of CD testing and labs Documentation of [the results and interpretation of all relevant testing for communicable disease agents]  [the name and address of the communicable disease testing laboratory or laboratories] was not maintained.  Specifically, ***
12245 21 CFR 1271.55(d)(1)(ii) 1 Results, interpretation of CD screening Documentation of [the results] [the interpretation] of all donor screening for communicable diseases was not maintained.  Specifically, *
12253 21 CFR 1271.60(a) 1 Semen retesting quarantine  Semen from anonymous donors was not kept in quarantine until the completion of retesting.  Specifically, ***
12258 21 CFR 1271.60(c)(3) 1 Statement of restrictions HCT/Ps shipped in quarantine prior to the completion of the donor-eligibility determination were not accompanied by records that stated the product must not be implanted, transplanted, infused or transferred until completion of the donor-eligibility determination.  Specifically, ***
12270 21 CFR 1271.65(a) 1 Improper release prevention--storage, I.D. HCT/Ps from ineligible donors are not [stored] [identified] in a manner to prevent improper release.  Specifically, ***
12285 21 CFR 1271.80(a) 1 Birth mother sample not tested A sample from the birth mother of a donor one month of age or younger was not used for testing of communicable disease agents.  Specifically, ***
12289 21 CFR 1271.80(c) 1 Test lab not certified or equivalent Testing for communicable disease agents was not performed by a laboratory certified to perform such testing on human specimens under the Clinical Laboratory Improvement Act of 1988 or has met equivalent standards determined by the Centers for Medicare and Medicaid Services.  Specifically, ***
12314 21 CFR 217.160(b)(2)(iii) 1 Risk assessment, quarantine, recall, FDA The quality program has not ensured that procedures include provisions for [assessing the risk of] [quarantine of] [recall of] [reporting to FDA on] HCT/Ps that have been made available for distribution and for which there is information related to the possible contamination or communicable disease transmission.  Specifically, ***
12316 21 CFR 1271.160(b)(2)(i) 1 Other establishments - same donor involved The quality program has not ensured that procedures exist for sharing information pertaining to the possible contamination of the HCT/P, or the potential for transmission of a communicable disease by the HCT/P, with other establishments that are known to have recovered HCT/Ps from the same donor.  Specifically, ***
12317 21 CFR 1271.160(b)(2)(ii) 1 Other establishments--mfg steps same HCT/P The quality program has not ensured that procedures exist for sharing information pertaining to the possible contamination of the HCT/P, or the potential for transmission of a communicable disease by the HCT/P, with other establishments that are known to have performed manufacturing steps with respect to the same HCT/P.  Specifically, ***
12333 21 CFR 1271.170(b) 1 Not qualified, authorized for functions Personnel perform functions for which they are not [qualified] [authorized].  Specifically, ***
12337 21 CFR 1271.180(a) 1 Design adequate to bar spread of CD's Procedures were not designed to prevent circumstances that increase the risk of communicable disease introduction, transmission and spread through the use of HCT/Ps.  Specifically, ***
12340 21 CFR 1271.180(d) 1 Adopted from another organization Current standard procedures adopted from another organization were [not verified to be consistent with the requirements of the CGTP regulations] [not appropriate for your operations].  Specifically, ***
12344 21 CFR 1271.190(a) 1 Lighting, ventilation, plumbing Facilities did not provide adequate [lighting] [ventilation] [plumbing] [drainage] [access to sinks and toilets] to prevent the introduction, transmission or spread of communicable disease.  Specifically, ***
12346 21 CFR 1271.190(b)(2) 1 Sewage, trash removal Removal of [sewage] [trash or other refuse] was not done in a timely, safe and sanitary manner.  Specifically, ***
12348 21 CFR 1271.190(c) 1 Separate or defined operational areas Operations were not performed in a facility with separate or defined areas of adequate size to prevent [improper labeling] [mix-ups] [contamination] [cross contamination] [accidental exposure of HCT/Ps to communicable disease agents].  Specifically, ***
12351 21 CFR 1271.190(d)(1) 1 Procedures for cleaning, sanitation Procedures for facility cleaning and sanitation were not [established] [maintained] [defined] [documented] [implemented] [followed] [revised].  Specifically, ***
12356 21 CFR 1271.195(a) 1 Adequate control, proper conditions Environmental conditions existed in which [contamination or cross contamination of HCT/Ps or equipment] [the accidental exposure of HCT/Ps to communicable disease agents] could occur, and [environmental conditions were not adequately controlled] [proper conditions for operations were not provided].  Specifically, ***
12376 21 CFR 1271.210(b) 1 Use of non-sterile reagents Reagents used in the processing and preservation of HCT/Ps were not sterile.  Specifically, ***
12379 21 CFR 1271.210(d)(1) 1 Receipt documentation elements The documentation for the receipt of [supplies] [reagents] did not include [the type] [the quantity] [the manufacturer] [the lot number] [the date of receipt] [the expiration date].  Specifically, ***
12385 21 CFR 1271.150(c)(2) 1 Responsibility for review before distribution HCT/Ps were determined to meet all release criteria and made available for distribution without review of [manufacturing] [tracking] records to determine that all applicable requirements were met.  Specifically, ***
12389 21 CFR 1271.220(c) 1 Specified requirements for in-process controls Specified requirements for in-process controls were not met.  Specifically, ***
12401 21 CFR 1271.230(b) 1 Reduced risk representation Written representation that processing methods reduce the risk of transmission of communicable disease by HCT/Ps was not based on a fully validated or verified process.  Specifically, ***
12402 21 CFR 1271.230(c) 1 Changes to validated process A validated process that was changed was not [reviewed] [evaluated] [revalidated].  Specifically, **
12407 21 CFR 1271.250(b) 1 Verification of label accuracy, legibility, integrity Labeling procedures did not include verification of label [accuracy] [legibility] [integrity].  Specifically, ***
12408 21 CFR 1271.250(c) 1 All labeling requirements met Labeling procedures did not ensure that HCT/Ps are labeled in accordance with all labeling requirements.  Specifically, ***
12414 21 CFR 1271.260(d) 1 Corrective actions Corrective actions were not [performed] [documented] when proper storage conditions were not met.  Specifically, ***
12419 21 CFR 1271.265(a) 1 Evaluation--microorganisms, damage Incoming HCT/Ps were [not evaluated for the presence and significance of microorganisms] [not inspected for damage and contamination].  Specifically, ***
12423 21 CFR 1271.265(b) 1 Shipment in quarantine of HCT/Ps HCT/Ps shipped as pre-distribution shipments [within your establishment] [between establishments] which do not meet the criteria for being available for distribution were not shipped in quarantine.  Specifically, ***
12424 21 CFR 1271.265(c)(1) 1 Release criteria verified, documented  Release criteria were not [verified] [documented] to have been met through a review of manufacturing and tracking records before HCT/Ps were made available for distribution.  Specifically, ***
12438 21 CFR 1271.270(b) 1 Management system re: core CGTPs A records management system relating to core CGTP requirements was not [established] [maintained] [defined] [documented] [implemented] [followed] [reviewed] [revised].  Specifically, ***
12441 21 CFR 1271.270(c) 1 Back-up of electronic records Records stored on electronic systems are not backed up.  Specifically, ***
12444 21 CFR 1271.270(e) 1 Contract firms--identities and responsibilities The [name and address] [list of responsibilities] of establishment(s) that perform manufacturing steps for you [was not maintained] [was not made available to FDA during an inspection].  Specifically, ***
12458 21 CFR 1271.320(b) 1 Designated complaint file Complaints received were not maintained in a file designated for complaints.  Specifically, ***
12470 21 CFR 1271.350(a)(2) 1 15 day reporting timeframe Adverse reactions were not reported to FDA using form FDA 3500A within 15 calendar days of initial receipt of information.  Specifically, ***
12489 21 CFR 1271.90(b)(1) 1 Autologous use only--labeling HCT/Ps for autologous use and for which the donor eligibility determination was not performed were not labeled for autologous use only.  Specifically, ***
12496 21 CFR 1271.85(b)(2) 1 SOP for release; reactive for CMV A standard operating procedure for the release of HCT/Ps from donors that test reactive for cytomegalovirus (CMV) was not [established] [maintained] [defined] [documented] [implemented] [followed] [reviewed] [revised].  Specifically. ***
15019 21 CFR 1271.160(d) 1 Computer software verification The performance of computer software has not been verified.  Specifically, ***
15020 21 CFR 1271.200(e) 1 Documentation of maintenance and cleaning Documentation of equipment maintenance, cleaning, sanitization, and calibration was not maintained.  Specifically, ***
15025 21 CFR 1271.85(b)(2) 1 Cytomegalovirus (CMV) Donors of viable, leukocyte-rich cells or tissue were not tested for evidence of infection due to cytomegalovirus (CMV).  Specifically, ***

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Radiological Health

Center Name Cite Id Ref No Frequency Short Description Long Description
Radiological health 5007 21 CFR 1002.13 2 Failure to submit You did not submit an annual report [by the September 1 deadline] for products requiring one.  Specifically, ***
5034 21 CFR 1010.2(c) 1 Certification not based on adequate test/testing program Certification was not based upon [a test, in accordance with the standard] [a testing program in accordance with good manufacturing practices].  Specifically, ***
5150 21 CFR 1040.10(f)(3) 1 Remote interlock connector Each laser system classified as a Class IIIb or Class IV laser product [was not incorporated with a readily available remote interlock connector having an electrical potential difference of no greater than 130 root-mean-square volts between terminals.] [had no means to prevent, when the terminals of the connector are not electrically joined, human access to all laser and collateral radiation from the laser product in excess of the accessible emission limits of Class I and table VI.]  Specifically, ***
5151 21 CFR 1040.10(f)(4) 1  Key control Each laser system classified as a Class IIIb or Class IV] laser product [did not incorporate a[key-actuated master control] [did not have a removable key] [was operable when the key was removed.]   Specifically, ***
5197 21 CFR 1040.10(h)(1)(i) 1 User information, adequate instructions Adequate instructions for each laser product were not provided or caused to be provided for [assembly] [operation] [maintenance] [clear warnings concerning precautions to avoid possible exposure to laser and collateral radiation in excess of the accessible emission limits specified in the regulations] [a maintenance schedule  necessary  to keep the product in compliance with the standard].  Specifically, ***
5200 21 CFR 1040.10(h)(1)(iv) 1 User info - list controls, etc. The manufacturer did not provide or cause to be provided  a listing of [all controls] [all adjustments] [all procedures for operation and maintenance] [the warning: "Caution --- use of controls or adjustments or performance of procedures other than those specified herein may result in hazardous radiation exposure."]. Specifically, ***
5358 21 CFR 1040.10(f)(6)(i) 1 Beam attenuator Each laser system classified as a Class II, III, or IV laser product, was not provided with one or more permanently attached means, other than laser energy source switch(es), electrical supply main connectors, or the key-actuated master control, capable of preventing access by any part of the human body to all laser and collateral radiation in excess of the accessible emission limits of Class I and table VI.  Specifically, ***
5518 21 CFR 1020.31(e)(2) 1 Numerical indication of size/ field indication and alignment The beam-limiting device did not numerically indicate the field size in the plane of the image receptor to which it is adjusted.  Specifically, ***
5519 21 CFR 1020.31(e)(3) 1 Field size dimensions/field indication and alignment Indication of field size dimensions and SID's [were not specified in centimeters and/or inches] [were not such that aperture adjustments resulted in x-ray field dimensions in the plane of the image receptor which corresponded to those indicated by the beam-limiting device to within 2 percent of the SID when the beam axis is indicated to be perpendicular to the plane of the image receptor].  Specifically, ***
5813 21 CFR 1002.30(a)(2) 1 Methods, devices, procedures for testing You have not [established] [maintained] records of the [methods] [devices] [procedures] used in tests for electronic product radiation safety.  Specifically, ***

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