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Regulatory Requirements in Quality Assurance: What You Should Know

February 2, 2023 / by Frederid Palacios

regulatory requirements in quality assurance

In this blog, we’ll go over the regulatory requirements in QA to help organizations understand what they need to know to stay compliant. We’ll discuss the major regulations affecting QA, their specific requirements, and strategies for implementing these requirements in practice. 

Quality Assurance (QA) is the process of verifying that a product, service, or system meets specified requirements and is of the desired quality. It involves activities like testing, inspections, and audits to ensure that the product or service meets the requirements set forth by the organization. 

For industries that are regulated by government agencies or other organizations, QA is critical. These industries include but aren’t limited to, healthcare, finance, pharmaceuticals, and IT, where strict regulatory requirements must be met to ensure the safety and well-being of consumers. Failing to meet these requirements can result in significant financial penalties and reputational harm. 

 

Overview of Regulatory Requirements

Regulatory requirements are specific rules and guidelines set forth by government agencies and other organizations that companies must abide by in order to do business in their respective industries. These requirements are designed to ensure that products and services are safe, effective, and high-quality. 

Regarding IT, QA is the process of ensuring that IT products and services meet a set of quality standards and requirements. This includes verifying that software applications, hardware devices, and IT systems are functioning as intended and meet the needs of the organization and its customers. 

QA is critical to the IT industry as it helps to minimize the risk of software failures, reduce costs associated with rework, and improve the overall user experience. IT QA also helps organizations ensure that their products and services meet regulatory requirements and industry standards, such as those set forth by ISO 9001 and 21 CFR Part 11. 

To comply with regulatory requirements, IT organizations must ensure that their products and services meet a set of quality standards and requirements. This requires a focus on IT QA processes, including software testing, system validation, and user acceptance testing to verify that the IT products meet the needs of the organization and its customers. 

The specific processes involved in IT QA may vary depending on the type of product being developed. Still, they typically include software testing, system validation, user acceptance testing, and ongoing maintenance and support. These processes help ensure that the IT products and services function as intended. 

Unfortunately, the IT QA process can be complex and challenging, requiring significant effort and resources. Some of the key challenges associated with QA in the IT industry include

  • Lack of resources
  • Limited knowledge or expertise
  • Difficulty in ensuring consistency and reliability in testing

To address these challenges; organizations must have well-defined IT QA processes in place, as well as access to the necessary tools, resources, and personnel. 

 

Understanding the Regulations

In order to comply with the major regulations affecting QA, it’s essential to understand the specific requirements set forth by each regulation. 

Some relevant regulations and standards include:

  • ISO 9001: An international standard for quality management systems that sets out requirements for a quality management system. Organizations in the IT industry can use these standards as a guide for developing their IT QA processes and ensuring they meet the needs of their customers. 
  • 21 CFR Part 11: A regulation set forth by the US Food and Drug Administration (FDA) that sets standards for the use of electronic records and signatures in the pharmaceutical industry. Organizations in this industry must comply with these regulations to ensure the validity, integrity, and confidentiality of electronic records. 
  • GDPR: The General Data Protection Regulation (GDPR) is a regulation set forth by the EU that governs the processing of personal data within the EU. Organizations in the IT industry that process personal data must comply with this to ensure that they’re protecting the privacy and security of this information. 
  • SOC 2: The Service Organization Control 2 (SOC 2) is a set of standards for the security, availability, processing integrity, confidentiality, and privacy of customer data. Organizations in the IT industry can use this as a guide for developing and implementing security controls for their IT systems, ensuring that they meet the needs of their customers. 

Understanding the regulatory requirements and ensuring compliance with these regulations can significantly impact the QA process. For example, complying with 21 CFR Part 11 may require significant changes to an organization’s data management processes and systems. Similarly, ISO 9001 may require changes to an organization’s overall quality management system. 

 

 

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Implementing Regulatory Requirements in QA

Ensuring compliance with regulatory requirements requires a systematic approach, including the development of a compliance plan, the identification of areas where requirements must be met, and the implementation of processes and systems to meet these requirements. The specific steps involved may include developing a quality management system, implementing secure data management systems, and training employees on regulatory requirements. 

To ensure effective implementation of regulatory requirements, organizations can follow these best practices:

  • Involve key stakeholders
  • Engage in continuous improvement
  • Keep up to date with regulatory changes
  • Document compliance efforts

It’s important to keep in mind that documentation is a critical aspect of regulatory compliance and organizations must maintain accurate and up-to-date records of their compliance efforts. This includes documenting their quality management system, keeping recordings of training and employee certifications, and maintaining records of process and system changes. Proper documentation can help organizations demonstrate their compliance efforts and respond quickly and effectively to regulatory audits and inspections

 

Challenges and Risks of Non-Compliance

Failing to comply with regulatory requirements can have significant consequences, including financial penalties, legal action, and reputational damage. Additionally, non-compliance can also result in product recalls, increased liability, and decreased consumer trust in the organization’s products and services. 

As such, staying compliant with regulatory requirements is critical to ensure the safety and well-being of consumers and to maintain a strong reputation in the marketplace. Ultimately, it could make or break your business. Organizations must take proactive steps to ensure compliance and minimize risks associated with non-compliance. 

Fortunately, organizations can seek the guidance of experienced consultants who can help to identify areas of non-compliance and provide recommendations for improvement. 

 

Outsourcing QA to Meet Requirements

An ISO 27001-certified provider can help your organization meet regulatory requirements and maintain compliance on an ongoing basis. With specialized expertise in QA and information security, an IT services provider can help you improve your overall QA process while reducing your risk of non-compliance. 

QA and IT services providers can help organizations reduce costs associated with hiring and training in-house QA staff while providing you with the highest level of expertise and industry experience. With strict security controls to protect the confidentiality, integrity, and availability of information, your organization will significantly improve security. 

A provider will also already have the latest tools and techniques in QA, helping you stay compliant–and ahead of the competition. Finally, a provider offers you the means to be flexible in your QA processes, scaling resources up or down to fit your needs and budget. 

Overall, outsourcing QA processes to an ISO-certified IT services provider can help you meet regulatory requirements and compliance while giving a leg-up to your data and information security efforts.

 

Interested in learning more about how to handle regulatory requirements? Download our free guide, Top Challenges in GRC and How the Right Partner Can Help You Solve Them

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Tags: Quality Assurance, Test Engineering

Frederid Palacios

Written by Frederid Palacios

Fred Palacios is a seasoned software architect with more than 20 years of experience participating in the entire software development cycle across a host of different industries--from automotive and services to petroleum, financial, and supply chain. In that time, his experience working closely with high-level stakeholders has provided him with a strategic vision for developing the right solutions to flexibly meet critical business needs. As CTO of Intertec, he's continuing to focus on the creation of business-critical applications for large enterprise projects, particularly those that handle high concurrency and large datasets. He is passionate about using technology as a tool to solve real-world problems and also mentoring technical teams to achieve their maximum potential and deliver quality software.

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