UDI regulations kick in for Implantables and Class II devices in 2015.
Reed Tech subject matter expert Gary Saner is my go-to on this subject. He covered:
• Requirements of a GUDID submission system
• Process steps in selecting/launching a GUDID system and making submissions
• Data Fields – including those that are problematic
• Data Cleaning, Harmonization, and Validation tips
• Update on FDA’s changing GUDID guidance, e.g., convenience kits and implants
• Notes in setting up a FDA GUDID account
RELEVANT FOR:
• UDI Team Leaders/Members
• Regulatory Directors/Managers/Staff
• Manufacturing, Operations, and Supply Chain Logistics Personnel
• UDI IT Support Personnel
• Compliance Officers
• Distributors with UDI Submission Responsibilities
Video at http://medgroup.biz/UDI-in-2015
6. www.ReedTech.com 6
Reed Tech – Pharma Services
SPL Preparation, Submission, and Lifecycle Management for
Drug Establishment Registration and Drug Product Labeling/Listing
• Service provider for over 800 pharma companies
4 of the 5 largest pharma manufacturers in the world;
large (200+ labels) to small (1 label)
Over 33,000 SPLs created since FDA drug mandate in 2005
Most experienced SPL service provider in the industry
• Global customers
Over 70 companies in over 25 countries outside the U.S.
• FDA Electronic Submissions Gateway (ESG) service
ESG WebTrader and AS2 connections
Highest volume submitter of pharma SPLs (over 15,000)
Over 450 companies
• Experts in CDER, CBER, and CVM Drug SPLs
Data Transformation/Validation
SPL Build, ESG Submission, and FDA Acknowledgement
SPL Lifecycle Management
SPL
7. www.ReedTech.com 7
Reed Tech – Medical Device Services
SPL Preparation, Submission, and Lifecycle Management for
Medical Device product publication in FDA’s GUDID
• GUDID solution provider for over 25 manufacturers (to date)
1 of the 3 largest Medical Device manufacturers in the world
• Submitted over 6,700 Class III SPL records to the GUDID (to date)
100% acceptance (comprehensive pre‐submission quality check)
~20% of total GUDID records (~33,000)*
~34% of total GUDID records via SPL (~20,000)*
• Current contracts to submit over 500,000 additional SPL records (to date)
(Implantable/Life‐sustaining/Life‐supporting, Class II, Class I)
• Experts in CDRH Medical Device UDI SPL
Analysis, Data Aggregation/Transformation/Validation
SPL Build, ESG Submission, and FDA Acknowledgement
GUDID Data Life Cycle Management (SaaS and Outsourced model)
SPL
* Calculations based upon FDA statistics presented at Clarion UDI Conference, Baltimore, 28 Oct 2014
8. www.ReedTech.com 8
Reed Tech – Medical Device Services (continued)
• FDA Electronic Submissions Gateway (ESG) service
Participated in FDA Pilot Submissions Program in 2014 to assist
agency in high volume GUDID ESG load testing
ESG AS2 connection for automated, bulk SPL submissions
FDA Acknowledgment reporting
GUDID Publication status
(unpublished, grace period, published, off market)
• Global Roadmap
Support customers’ needs for international UDID submissions
as mandated
Reed Tech System is designed to readily accommodate:
Expanded data set of IMDRF and regional UDID attributes
Building UDI submissions per regional specifications
Submitting to international regulatory agencies
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Direct Marking (DM)
Multiple use and reprocessed devices
Permanently mark UDI on device
Label
UDI (Device Id + Production Id) on Device Label & Pkg
UDI in plain-text (human readable) and
Automatic Id and Data Capture (AIDC) technology
(1D/2D barcode, RFID, near-field communication…)
Date Format YYYY-MM-DD (2013-09-29)
FDA UDI Regulation Overview
FDA Global UDI Database (GUDID)
Submit DI and device attributes
Public access, global model
GUDID
Reporting – include UDI as available
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Recent UDI Regulatory News
FDA Advice to Industry
• FDA GUDID Guidance for Industry
“Structured input via the GUDID Web Interface – requires manual data entry and is geared
for low volume submitters.”
“Health Level 7 (HL7) Structured Product Labeling (SPL) submission via the FDA Electronic
Submissions Gateway (ESG) – allows for submission via xml files and is geared for high
volume submitters.”
• Indira Konduri: “Build data quality into all tenets of your process as you get organized for
GUDID submission.”
FDA Industry Letter Dated 2015‐01‐15
• “FDA’s experience and feedback from industry indicate that device labelers often take a
number of actions related to organizing, collecting and validating data—before they get a
GUDID account or submit device identifier (DI) records. We strongly encourage all device
labelers to take such actions to ensure their readiness to meet UDI requirements and
streamline the GUDID submission process.”
• FDA to accept GUDID account requests for “I/LS/LS” Labelers on 2015‐01‐26 (Class II later in 2015)
FDA UDI Extensions
• Single Use Implants that are sterilized before use
1 year Label Extension to 2016‐09‐24; GUDID Submission date remains 2015‐09‐24
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If you are submitting I/LS/LS UDI data to
the FDA, and taking into consideration the
September 24, 2015 deadline, when are you
anticipating making your submissions?
(268 responses)
Survey Results – Your GUDID Submission Status
How far along are you in identifying,
collecting and organizing the UDI data that
you will need to submit to the FDA GUDID?
(286 responses)
What device classes does your organization
manufacture (select all that apply)?
(286 responses)
If you are submitting Class II UDI data to the
FDA, and taking into consideration the
September 24, 2016 deadline, when are you
anticipating making your submissions?
(239 responses)
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12 Steps Summary
1. Create UDI Governance Team
2. Research/Identify FDA UDI Requirements for Your Products
3. Evaluate Your Situation
4. Define and Implement UDI Labeling Plan
5. Evaluate, Select, and Implement GUDID Solution
6. Create FDA Accounts (GUDID, ESG)
7. Collect Source GUDID Data
8. Normalize and Validate Source GUDID Data
9. Submit GUDID Data to FDA
10. Process ACK Messages
11. Initiate & Maintain Data and System
12. International Readiness
pUDI Prep
pGUDID Prep
Production
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Step 3 – Evaluate Your Situation
Evaluate your “Data Situation”
• Data location, gaps, owners, formats, etc.
Evaluate Internal Standards
• Product Identification / Batch / Serialization
• Issuing Agency (GS1, HIBCC, or ICCBBA) for Product Identification
• UDI Formats by FDA‐Accredited Issuing Agency
Evaluate Systems
• Existing MDM, Labeling System, etc.
• Existing AIDC Technology (1D, 2D, etc.) for UDI Presentation on Label
Evaluate Processes
• Workflow
• Compliance Documentation
• Training
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Step 4 – Define and Implement UDI Labeling Plan
Plan and Implement UDI Labeling (and Direct Marking) Process
• Revise Production Systems, e.g., MDM, ERP, PLM, Labeling, Inspection, Supply Chain
• Initiate Product / Batch / Serialization Identification Process
Select and implement Issuing Agency (GS1, HIBCC, or ICCBBA) standard
Assign Device Identifiers to Products (Primary, Secondary, Unit of Use, Direct
Marking, Package Levels)
Assign Production Identifiers to Batch / Lot / Serialization (ensure uniqueness)
Implement AIDC Technology (1D, 2D, etc.) for UDI Presentation
• Revise Labels: add Human Readable UDI, AIDC UDI, and Dates to templates
• Ensure dynamic data flows from production system to product label
• If Direct Marking is required, redesign product label
• Perform necessary System Validation and Training
• Create necessary Documentation (DHF, SOPs, Work Instructions, etc.)
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Step 5c – Evaluate, Select, and Implement GUDID Solution
Submission Method Comparison
Submission
Method
Description/Comments Technology Cost Operations Cost
FDA GUDID
Web
Interface
• You (or third party) enter data
directly into the FDA GUDID
• Best suited for low volume
• Transcription error concern
• Limited international reuse
• “No” software cost
• Your admin, data
entry, & QA labor
Internal
Software
• Buy / build / upgrade software (ERP,
PLM, MDM, Labeling or other) to
collect data and build SPLs
• Submit SPLs to FDA via the ESG
(AS2)
• “Own” software
(buy/build/upgrade,
install, validate,
train, maintain)
• ESG account (AS2)
• Your admin &
operations labor
Hosted
Software
(Software as
a Service)
• Use external software to collect
data, build, and submit SPLs to
FDA via the ESG
• High volume submissions
• “Rent” software
• Your admin &
operations labor
Outsourced
Service
• External provider accepts your data,
builds, and submits SPLs to FDA via
the ESG on your behalf
• “Rent” software
• “No” internal
Admin &
operations labor
• Service cost
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Step 7a – Collect Source GUDID Data
Collect Source Production GUDID data
• Collect data from multiple sources, such as:
Production Systems, e.g., PLM, MDM, ERP
Labeling System (label templates, dynamic data)
Regulatory Systems
• If necessary, capture data from Label (e.g., “single use” icon)
• Populate (55) GUDID Values into Records
Reed Tech GUDID Data Template is available to organize content
• Merge partial records from multiple data sources
• If desired, collect additional data fields for your internal purposes
and/or future UDI submissions to international Regulatory Authorities
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Step 7c – Collect Source GUDID Data
(http://go.reedtech.com/62-elements)
55 Submitted by Labeler
(some can have multiple values)
7 Populated by FDA GUDID System
Identification
Pri DI Issuing Agency
Primary DI #
Brand Name
Version/Model #
Catalog #
Device Description
Sec DI Issuing Agency
Secondary DI #
DM Exempt (Y/N)
DM DI Different (Y/N)
DM DI #
Labeler
Labeler DUNS #
Labeler Name*
Labeler Address*
Contact Phone
Contact Email
Regulatory
Publish Date
Distribution End Date
Distribution Status*
Premrkt Exempt (Y/N)
Premrkt Submission #
Supplement #
FDA Listing #
Product Code
Product Code Name*
GMDN Code
GMDN Name*
GMDN Definition*
Rx (Y/N)
OTC (Y/N)
Packaging
Device Count
Unit of Use DI #
Kit (Y/N)
Pkg DI #
Pkg Quantity
Pkg Contains DI #
Pkg Type
Pkg Discontinue Date
Pkg Status*
Production Control
Lot/Batch (Y/N)
Serial # (Y/N)
Mfg Date (Y/N)
Expiration Date (Y/N)
Donation Id # (Y/N)
Characteristics
Single Use (Y/N)
Combo Product (Y/N)
HCT/P (Y/N)
Contains Rubber (Y/N)
Not Made with Rubber (Y/N)
MRI Safety Info
Size Type
Size Value
Size Unit
Size Text
Storage & Handling Type
S&H Low value
S&H High Value
S&H Unit
Storage Conditions
Sterile Pkg (Y/N)
Sterile Req'd
Sterile Method
* Populated by FDA GUDID System
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Step 8a – Normalize & Validate Source GUDID Data
“Normalize” data to FDA GUDID specs
• Follow FDA Business Rules. For example:
GS1 GTINs must be 14 numeric characters
Date Format must be YYYY‐MM‐DD
• Where applicable, ensure values utilize Controlled Vocabularies. For example:
“cm” for Size Unit of Measure
“Cel” for Temperature (Degrees Celsius)
• For “grouped data,” all necessary related fields must be populated. For example:
Clinically Relevant Size Type = Length
Clinically Relevant Size Value = 25
Clinically Relevant Size Unit = cm
• For “dependent data,” all necessary related fields must be populated. For example:
If “Require Sterilization prior to use?” = “Yes,” then “Sterilization Method” must be populated
Validation of all content: the key to accuracy for your SPL submissions to the FDA
• “Problematic” Data Elements from our experience. For example:
Labeler DUNS Numbers
Device Identifiers assignment
GMDN or FDA Preferred Term Values
Packaging and Kit Configurations
Data Validation is a Reed Tech
core competency … we can help
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Step 8b – Normalize & Validate Source GUDID Data
(available upon request)
GUDID Data Record
55 Submitted Data Elements
Product ID Elements
(Pri DI, Sec DI, UoU DI, DPM DI,
GMDN)
Regulatory Elements
(FDA Listing #, Auth. #, ProCode)
Labeler and Contacts
Characteristics
(Sterile, Size, Production Control)
Package Elements (Pkg DI, Qty)
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Step 9 – Submit GUDID Data to FDA
“Go Live”
• Submit Production device records
• For Manual, Individual Record Entry:
Enter data via FDA GUDID Web Interface
Perform QC on Data Entry
• For Automated, Bulk Entry:
Create fully‐valid SPL UDI submissions per FDA business rules
Validate SPL XML per FDA schema requirements
Submit SPL UDIs to FDA via ESG
WebTrader – record‐by‐record manually driven process
AS2 (Applicability Statement 2) – communication protocol for automated bulk
transfer
SPL Validation and ESG Submission are
Reed Tech core competencies … we can help
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Step 11 – Initiate & Maintain Data and System
Start Manufacturing
• Confirm Device Record is Published in GUDID
• Cutover process to include UDI on Label (with direct marking
where applicable)
• Manage existing Inventory within 3 year allowed window
• Flow DI and PI from production systems to labels
Data Maintenance
• Update/retire Device Labels and GUDID records as appropriate
• Add Device Labels and GUDID records for new products
System Maintenance (for in‐house software only)
• Update, Validate, Train, and Document system changes
Knowledge Maintenance
• Monitor and Implement changing FDA Regulations and Guidance
(subscribe to FDA UDI/GUDID email notifications)
39. www.ReedTech.com 39
Step 12 – International Readiness
International Medical Devices Regulatory Forum (IMDRF)
• Cornerstone of global medical device regulatory direction
• Group of Medical Device Regulators (Australia, Brazil,
Canada, China, EU, Japan, Russia, U.S.)
A single worldwide UDID will not be implemented
Per Laurent Selles, Senior Coordinator for International Relations, EC; Munich, May 2014
• Regional UDIDs will contain core information and have varying regional content.
“Convergence, not Harmonization”
• EU Late 2015 / most likely 2016 – EU UDI Mandate
Other regulatory authorities actively involved in UDI
• EU
• Asia (China, Japan, Korea, Singapore)
• Australia
• Canada
• South America (Brazil, Argentina)
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UDI Resources
FDA
UDI “Home Page”
• UDI Rule, GUID Guidance, Compliance Dates, Resources
• http://www.fda.gov/MedicalDevices/DeviceRegulationandGuidance/UniqueDeviceIde
ntification/default.htm
UDI Help Desk
• http://www.fda.gov/MedicalDevices/DeviceRegulationandGuidance/UniqueDeviceIde
ntification/ucm368904.htm
GUDID Information
• Basics, Guidance, Account Request, GUDID Web Interface, HL7 SPL, GUDID Status
• http://www.fda.gov/MedicalDevices/DeviceRegulationandGuidance/UniqueDeviceIde
ntification/GlobalUDIDatabaseGUDID/default.htm
GUDID Web Interface (Login)
• https://gudid.fda.gov/gudid/
CDRH Resources (FDA Presentations: GUDID overview, account setup, etc.)
• http://www.fda.gov/MedicalDevices/DeviceRegulationandGuidance/UniqueDeviceIden
tification/ChangesbetweenUDIProposedandFinalRules/default.htm
IMDRF – www.imdrf.org
EC Medical Devices – http://ec.europa.eu/health/medical‐devices
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Medical Device UDI Glossary
AIDC Automatic Id and Data Capture – technology used for automated product identification (typically 1D/2D
barcode, RFID, near‐field communication, etc.)
DI Device Identifier – static product identification (uniquely identifies company and product version)
ESG Electronic Submissions Gateway – FDA agency‐wide secure solution for accepting electronic regulatory
submissions in electronic, bulk format
GUDID FDA Global UDI Database – registry of Medical Device DI and attributes
GS1 GS1 – an international, not‐for‐profit association that develops global standards (e.g., Global Trade Item
Number‐GTIN and Application Identifiers‐AI) to improve the efficiency and visibility of supply and demand
chains across sectors; www.gs1us.org
Issuing Agency FDA approved agency (standard) used to represent Medical Device UDI (GS1, HIBCC, and ICCBBA)
HIBCC Health Industry Business Communications Council – a non‐profit organization that develops electronic
exchange standards (e.g., Health Industry Bar Code‐HIBC) for health care trading partners; www.hibcc.org
HL7 Health Level Seven – standards developing organization providing international healthcare information
system interoperability standards for the exchange, integration, sharing, and retrieval of information
ICCBBA International Council for Commonality in Blood Banking Automation – international standards
organization (not‐for‐profit, nongovernmental) responsible for the ISBT 128 Standard (International
Standard for Blood and Transplant); www.iccbba.org
PI Production Identifier – dynamic manufacturing information (i.e. batch/lot #, serial #, mfg. date, expiration
date, and HCT/P code)
SPL Structured Product Labeling – document markup standard (XML) approved by HL7 and adopted by FDA as
a mechanism for exchanging product information
UDI Unique Device Identifier = Device Identifier (DI) + PI (Production Identifier) per approved Issuing Agency
XML Extensible Markup Language – markup language defining a set of rules for document encoding in both
human and machine readable language.