11 — CSV 205: Over the River and Through Woods: Following the Audit Trail
Tuesday, 31 March 2020, 1:30 PM - 5:30 PM
RQAP re-registration units: 4.00 GCP, GLP
*Note: Participants must attend 100% of the training course to receive a certificate of attendance documenting RQAP re-registration units.
Prices
- Before 2 March 2020: Member Rate $305, Non-member Rate $405, Student Rate $145
- After 2 March 2020: Member Rate $365, Non-member Rate $465, Student Rate $175
Description
Electronic records in the GxP woods are “lovely, dark, and deep”, but impossible to navigate if you don’t have an audit trail. To assure data integrity, individuals involved in a process, as well as Quality Assurance Auditors, need to review audit trails. How are audit trails reviewed when filtering is difficult? Do study monitors routinely review audit trails? Does the QAU address their audit trail practices in an SOP (as per OECD guidance)? When is audit trail review useful or necessary? This training has been developed following a 2019 annual meeting 90 minute roundtable session. We will begin with an overview of the regulations covering audit trails and points made by regulators concerning audit trails and data integrity. This will be followed by more in-depth discussions covering many questions with which auditors struggle, including the difference between system logs and audit trails and how both are useful in study based audits and data integrity audits. The CVIC Data Integrity and Governance group has compiled several audit trail examples to use during discussions of scenarios. The examples, both real and fictitious, come from a variety of systems used in GLP, GMP, and GCP regulated industries. Individuals attending the training will leave with a greater understanding of points to consider concerning audit trails and more confidence in how to find compliance and data integrity problems when viewing audit trails.
Objectives
At the end of the course, the participants shall be able to:
- Describe requirements for electronic audit trails
- Explain how both system logs and audit trails can be used to assess data integrity
- Analyze a variety of compliant and non-compliant audit trails
- Summarize gaps in compliance for example data based on audit trail review and recommend corrective actions.
Target Audience
- GLP, GCP, and GMP auditors responsible for reviewing and inspecting electronic instruments, equipment and system records and data.
- Anyone responsible for data integrity in electronic systems
Agenda
10min - Introductions and Course Overview
40min plus 5 min Q&A - Data Integrity and Regulatory Requirements Overview
10min - Paper Records Compared to their Electronic Audit Trail Equivalent
20min plus 5 min Q&A - Managing the Audit Trail Review Process (Topics covered include: who reviews them, where is this process defined, where do the audit trails go, how to manage extensive audit trails)
20min plus 5 min Q&A - System Logs vs. Audit Trails
20min - Group work – Review of example audit trails and discussion
15min - BREAK
25min - Group Work – Review of example audit trails and discussions (continued)
30min plus 5 min Q&A - Audit Trails in Action (Topics include: audit trail use as a monitoring tool for data integrity and audit trails for analyzed data)
20min - Individual Work – Mock inspection and report on examples provided using electronic audit trails
30min - Discuss specific issues and questions submitted at the time of registration/Open Discussion