小中大1、“Voluntary Action Indicated (VAI)” - Instructions
If IB has determined that significant objectionable conditions and practices were found, has assigned the “District Decision Type” of “Voluntary Action Indicated (VAI),” and determined that an “Untitled Letter,” a Regulatory Meeting, or other communication with the establishment to discuss the findings is warranted, the Supervisory Investigator will create a FACTS Compliance assignment and the Compliance Officer will link the inspection record to the assignment. If the Compliance Assignment is not created by the supervisory investigator, the Compliance Officer should create one and link the inspection record to it.
Compliance Branch will review the EIR, determine if the recommended action is appropriate, and whether adequate evidence has been provided to support the action. If Compliance Branch concurs, it will check off the “Final Decision” block, prepare the appropriate recommendation for the “Untitled Letter,” arrange a Regulatory Meeting, or otherwise communicate with the establishment in question. If Compliance Branch does not concur, it will change the “District Decision,” document the justification for the change per District procedures, check off the “Final Decision” block, and take or recommend any appropriate action.
“Official Action Indicated (OAI)” – Instructions
If IB has determined that significant objectionable conditions or practices found during a domestic or foreign inspection warrant a Warning letter or one of the other regulatory actions listed below, IB will assign the “District Decision Type” of “Official Action Indicated (OAI)”, and recommend an action. FACTS will automatically generate an assignment for Compliance Branch. Compliance Branch will review the EIR, determine if the recommended action is appropriate, and whether adequate evidence has been provided to support the action. If Compliance Branch concurs, it will prepare any recommendation required for Center, OCC, and HQ review per the RPM, CPGM, etc. If Compliance Branch does not concur, it will change the “District Decision,” document the justification for the change per District procedures, check off the “Final Decision” block, and take or recommend any appropriate action.
Whenever Untitled Letters or Regulatory Meetings are determined to be the appropriate action, an assessment of the firm’s response to these advisory actions should be made. If it is determined their response or proposed voluntary corrections are inadequate or require verification, a final classification or re-classification of OAI can be entered.
“Referred to Center (RTC)” – Instructions:
If IB has determined that the findings constitute a compliance area for which no clear policy has been established or significant technical issues exist which require Center review, and has entered the “District Decision” as “Referred to Center (RTC),” Compliance Branch will review the recommendation and determine if the referral is required. If Compliance does not concur, it will change the “District Decision,” document the justification for the change per District procedures, check off the “Final Decision” block, and take or recommend any appropriate action. If Compliance Branch concurs, they will inform the appropriate Center of the decision via email or memo, which shall be made part of the establishment file. These reports should be monitored to ensure that the “Inspection Conclusion,” “District Decision,” and “Final Decision” are entered into the data system under the fiscal year in which the inspection was made. NOTE: Do not use this decision for a report being forwarded to a Center for concurrence with a regulatory action being recommended by the district.
“Referred to State (RTS)” – Instructions
When the Supervisory Investigator/Team Leader has determined significant objectionable conditions or practices are present, but the Agency either cannot or exercises discretion not to take regulatory action, IB will assign a recommended “District Decision” of “Referred to State (RTS)”. Since the reason for a referral is usually to request the State to consider some action, Compliance Branch shall review and assess the recommendation. If Compliance Branch concurs, it will prepare a memorandum for referral to the State. Compliance is obligated to maintain contact with the State to monitor action taken. If Compliance does not concur, it will change the “District Decision,” document the justification for the change per District procedures, check off the “Final Decision” block, and take or recommend any appropriate action.
3、FACTS – “Final Decision” With the exception of instances where the compliance program reserves to a Center the right of “Final Decision” or the District has made the “District Decision” of RTC, the appropriate District unit may check off the “Final Decision” block in FACTS as follows:
IB must check off the “Final Decision” block for any inspections classified NAI or VAI, except when an Untitled Letter or a Regulatory Meeting has been recommended.
Compliance Branch must check off the “Final Decision” block for any “District Decisions” of VAI for which an Untitled Letter or a Regulatory Meeting has been recommended, OAI classifications, RTC for which the compliance program does not reserve the Final Decision for the Center, and any RTS classifications.
REGULATORY (ADVISORY, ADMINISTRATIVE, or JUDICIAL) ACTIONS:
Application Action: e.g. {Recommendation for Denial of Pending Application (NDA,
NADA, ANDA, PMA, etc.) Recommendation for Revocation of Approved Application (NDA,
NADA, ANDA, PMA, etc.)} Banning
Certification Withholding or Revocation
Citation
Civil Penalty
Demand for Destruction or other Disposition
Disqualification
Emergency Permit Disapproved
Injunction
License Action: e.g. {Denial, Suspension, or Revocation; Notice of Intent to Revoke License (for Biologics)}
Prosecution
Provisional Listing
Recall (FDA initiated recalls)
Remove from Shippers List
Seizure/Detention
Use Prohibited
Warning Letter
(See section “Compliance Branch Responsibilities” section b. above regarding classification of Untitled Letters or Regulatory Meetings as OAI)