Regulatory Affairs Certification (Drugs) : Candidate Guide
Regulatory Affairs Certification (Drugs) : Candidate Guide
org/RAC
Regulatory Affairs
Certification
(Drugs)
Candidate Guide
May 2020
CONTENTS
WELCOME
RAC-credentialed professionals
are among the current and
rising leaders in the regulatory
profession. To date, more than
8,500 individuals have earned
the RAC, some holding multiple
credentials.
*Based on data from the RAPS’ 2018 Scope of Practice & Compensation survey of the Regulatory Profession
1
Defining Features of Quality Certification and Assessment-Based Certificate Programs. (2010) The Institute for Credentialing Excellence.
Knowledge Required and Regulatory Basis Assess the scope and depth of your knowledge and experience.
Use the test content outline as a checklist and evaluate your
• Knowledge of the full product development and areas of strength and weakness. This will help focus your study
lifecycle for pharmaceutical and medicinal and related on the areas you need most.
products, APIs, biologics and biotechnology products.
• Knowledge of US FDA requirements (30%); European Build and implement your plan. Allow sufficient time to build your
regulations and guidances from the European knowledge base in areas where you have limited experience and
Commission, EMA, and competent authorities (30%); to expand your knowledge in areas more familiar to you. Use
and globally applicable regulatory practices* (40%). reference materials to supplement your knowledge.
(*ICH, IGDRP (Generics) and WHO guidelines and
standards).Critical thinking and analytical skills. Question Types
• Critical thinking and analytical skills.
The examinations consist of 100 multiple-choice questions,
answered in a two-hour time limit. There are three question
formats which may be used in the RAC Exams.
SCHEDULE
TAKE EXAM
RECERTIFY
EXAMINATION SCHEDULING
ON EXAMINATION DAY
What to Bring to the Testing Center* Items Prohibited at the Testing Center
You should arrive at the testing center at least 15 minutes Candidates are expressly prohibited from bringing the
before your scheduled appointment for check in. You must following items to the test center:
bring a copy of the examination appointment confirmation • cameras, cell phones, optical readers or other electronic
email with you. devices that include the ability to photograph, photocopy
or otherwise copy test materials
To be admitted to the testing center you must bring current,
valid government-issued identification (ID). Your identification • notes, books, dictionaries or language dictionaries
must include your name (in English characters or translation to • book bags,luggage, purses or handbags
compare with your RAC application information), photograph • iPods, mp3 players, tablets, headphones or pagers
and signature. • calculators, computers, PDAs or other electronic devices
with one or more memories
You are required to present a valid, government-issued photo
• personal writing utensils (i.e., pencils, pens and
ID (e.g., driver’s license, passport, state-issued ID card) on
highlighters)
exam day; please ensure that your first and last name on the
valid, government-issued photo ID EXACTLY match your first • watches and other jewelry except wedding or
and last name as they appear on the scheduling screens. If engagement rings
your first and last names are incorrect, please contact RAPS • food and beverages
immediately at (301) 7702920, ext. 200. If you have more than • coats and jackets
one last name listed on your government-issued ID, the same • weapons
last names must be reflected on your confirmation email. If you
• Hats, hoods or other headwear are not permitted in the
do not provide appropriate and/or matching identification, you
examination room unless required for religious purposes.
will not be permitted to take the examination and will forfeit all
All items are subject to inspection by the proctor if
examination fees.
suspicious behavior is detected.
The following are acceptable forms of government-issued • Please note that sweaters and sweatshirts without
identification: pockets or hoods are permitted.
• driver’s license
• military ID
• passport
• national identification card
RAC Recognition
A list of all active RAC-credentialed professionals is available
online at RAPS.org/RAC. Newly credentialed professionals are
added after all candidates are notified of their status. If you do
not wish to be included in the online listing, please contact the
RAC program office.
RECERTIFY
Individuals who hold more than one RAC designation are only Scantron
required to submit a single recertification application with a 6001 Hospitality Court, #100
total of 36 credits. The recertification cycle is based on the Morrisville, NC 27560
initial RAC certification and the related recertification cycle. USA
You can find detailed information about maintaining and
renewing your RAC in the RAC Recertification Guide. Tel: +1 919 572 6880
Email: [email protected]
Appendix A
RAC (Drugs) Detailed Examination Content Outline
Each examination is based on a survey of the scope of practice and Task 13: Develop strategies for regulatory authority interactions
specific roles and responsibilities of regulatory professionals in the (e.g., FDA/CA meetings, correspondence, documenting
workplace with at least three years of regulatory experience. Each verbal communication or commitments) to guide product
examination is reviewed and revised annually and content is updated development life cycle management.
for the October/November exam cycle. Examination content for the Task 14: Ensure regulatory compliance of company standard
RAC (Drugs) exam is based on regulations and guidelines in: operating procedures impacting internal stakeholders.
Domain I: Strategic Planning—Exam Weighting approximately 24% Task 15: Provide internal trainers with information on regulatory
requirements to incorporate in ongoing training programs.
Task 1: Evaluate the regulatory environment and provide internal
advice throughout the life cycle of the product (e.g., concept, Domain II: Pre-marketing—Exam Weighting approximately 37%
development, manufacturing, marketing) to ensure compliance.
Manufacturing Section
Task 2: Perform risk/benefit analysis on product development
concept for initial product viability. Task 1: Determine applicable regulatory requirements for
Task 3: Determine endpoints for safety and efficacy testing at the manufacturing and/or development of drug products.
feasibility phase to determine the ability to comply with
Task 2: Review documentation of raw materials to ensure
regulatory standards.
compliance with regulatory requirements (e.g., API/drug
Task 4: Advise research and development programs to ensure substance, novel excipients, animal-derived materials).
regulatory compliance.
Task 3: Review documentation (e.g., stability data, specifications,
Task 5: Provide regulatory intelligence to develop local, regional,
and global regulatory strategies that include determination investigational labeling) for adequacy to support IND/CTA
of regulatory classification, submission type (e.g., eCTD, submission.
electronic, paper) for regulatory applications, due diligence, Task 4: Ensure regulatory compliance of manufacturing and release
and internal/external license opportunities.
of investigational products for clinical use.
Task 6: Evaluate the regulatory outcomes of initial product
concepts and make recommendations for future actions. Nonclinical Section
Task 7: Evaluate and interpret regulatory decisions in a similar product Task 5: Determine nonclinical test requirements (e.g., GLP, toxicology
category to assess regulatory implications for approval. studies) and ensure compliance with applicable guidance,
Task 8: Identify and engage appropriate regulatory authorities for standards, and regulations for product-specific requirements.
submission of data concerning the product being developed. Task 6: Evaluate adequacy of nonclinical data and risk management
Task 9: Assess impact of local, regional, and global requirements activities to support initiation of clinical trials.
and considerations on the regulatory dossiers.
Clinical Section
Task 10: Consult with multidisciplinary teams to develop indications
for use, intended use, and product claims (e.g., target Task 7: Determine requirements for clinical development and
product profile, product requirements). ensure compliance with applicable guidance, standards,
Task 11: Evaluate the regulatory merits of domestic versus regional and regulations for product-specific requirements (e.g.,
or global submission strategies (e.g., simultaneous filings, ICH, GCPs, monitoring, auditing, ethics committee, safety
joint reviews, mutual recognition agreements, assessment reporting, informed consent, financial disclosure).
of similarity or dissimilarity of requirements) to define
market feasibility. Task 8: Ensure that reporting procedures are in place to
report adverse events that occur during clinical trials/
Task 12: Anticipate regulatory issues arising from trade-related
investigations to appropriate regulatory bodies.
matters (e.g., applicable treaty law, international
conventions, “for export only” status). Task 9: Generate and ensure regulatory compliance of product labeling.
Task 10: Inform stakeholders of regulatory implications regarding Task 3: Submit notifiable changes and supplemental dossiers and
ongoing clinical trials/ investigations (e.g., protocol follow up with the appropriate regulatory authorities to
amendments, ICF amendments). achieve compliance.
Task 4: Ensure that appropriate standard operating procedures are
General Section
in place to manage product-associated events, complaints,
Task 11: Advise stakeholders of regulatory requirements for quality, adverse drug reports, recalls, market withdrawals, and
nonclinical, and clinical data to meet applicable regulations. vigilance reports in accordance with regulatory requirements.
Task 12: Assess the acceptability and completeness of quality, Task 5: Provide regulatory input for risk management strategy to
be presented to stakeholders and implement appropriate
nonclinical, and clinical documentation for submission filing
regulatory steps for selected options (e.g., consumer
to comply with applicable regulations (e.g., IND/CTA, NDA/ information, advertising, or labeling changes, warnings or
BLA/MAA submission, manufacturing transfer). alerts, product changes, recalls, withdrawals).
Task 13: Initiate and monitor the process to obtain nonproprietary Task 6: Implement regulatory strategy for handling communication
(e.g., USAN, INN) and proprietary names. to stakeholders for notifiable product-associated events,
complaints, adverse drug reports, and recalls (e.g., dear
Task 14: Manage outsourcing strategy (e.g., contract research healthcare provider letters, patient letters, distributor
organizations, subcontractors, test facilities, consultants) letters, health authorities).
using appropriate communication tools throughout the Task 7: Report notifiable manufacturing product-associated events
product development life cycle. (e.g., failures, recalls, corrective actions resulting from
Task 15: Compile and review regulatory submission packages in inspections) to regulatory authorities to maintain compliance.
accordance with applicable regulations. Task 8: Report product safety issues/failures to regulatory authorities
to comply with local, regional, and global regulations.
Task 16: Prepare or review study data and manufacturing
Task 9: Engage regulatory authorities and comply with product
information to ensure compliance with local, regional,
post-marketing commitments and requirements to meet
national, and international regulatory requirements. conditions of approval.
Task 17: Maintain authorization for ongoing clinical trials/investigations Task 10: Participate in crisis/issue management team (e.g., product
(e.g., amendments, annual reports, updates) and monitor the recall, counterfeiting) and assess the regulatory impact and
progress of the regulatory authority review process. resolution of product-related events.
Task 18: Evaluate proposed manufacturing changes on nonclinical and Task 11: Review regulatory aspects (e.g., quality, product complaints,
clinical development and regulatory submission strategies. recalls, vigilance) of contracts for product manufacturing
and distribution to ensure compliance.
Task 19: Facilitate the development of appropriate and timely
Task 12: Control access to regulatory documentation to ensure
responses to regulatory authority queries and actions to confidentiality and protection of proprietary information.
ensure compliance with company procedures.
Task 13: Maintain licenses (e.g., registration and listings, narcotics,
Task 20: Participate in developing a risk management system controlled substances) and submit renewals as required.
(e.g., vigilance) to ensure that local, regional, and global Task 14: File new and amended patent/trademark forms to update
regulatory requirements as applicable are met for the information with applicable regulatory authorities to meet
development program. regulations.
Task 21: Identify, monitor, and submit applicable reports (e.g., serious Task 15: Provide required information (e.g., clinical data) in support
of product reimbursement requests.
adverse events) or notifications (e.g., changes in manufacturing)
to regulatory authorities to comply with regulations. Task 16: Ensure compliance with regulatory requirements for lot
distribution and release.
Task 22: Participate in audits/inspections by regulatory authorities
Task 17: Provide regulatory oversight of quality system compliance
and contribute to responses to audit findings as required.
(e.g., ISO, GXPs, SOPs).
Domain III: Post-marketing—Exam Weighting approximately 28%
Task 18: Comply with import and export requirements.
Task 1: Evaluate advertising and promotional materials for
Task 19: Ensure compliance with applicable market controls and
adherence to regulations, guidelines, and standard
requirements (e.g., controlled substances, veterinary use only).
operating procedures to ensure compliance.
Task 20: Ensure adequacy of product traceability systems.
Task 2: Generate and evaluate product labeling (e.g., package insert,
instructions for use) for adherence to regulations, guidelines,
and standard operating procedures to ensure compliance.
Domain IV: Interfacing—Exam Weighting approximately 11% Task 6: Advise stakeholders on the impact of current and proposed
legislation, regulations, guidelines, and standards and
Task 1: Advise on regulatory strategy for risk management process provide training when necessary to facilitate regulatory
to mitigate impact to company. compliance.
Task 2: Coordinate company presentations and development of Task 7: Communicate with legal counsel and company officials
briefing documentation for regulatory advisory committee, when appropriate to minimize exposure to legal liability.
agency representatives, and other government agencies to
facilitate regulatory compliance. Task 8: Participate on cross-functional product development teams
(e.g., individuals from CMC, quality, labeling, research
Task 3: Provide input on proposed legislation, regulations, and development, clinical, nonclinical, marketing, legal) to
guidelines, and/or standards to be followed by industry provide regulatory affairs expertise.
and regulatory authorities to ensure consistent and clear
application of requirements.
Task 4: Manage regulatory authority inspections to ensure All Tasks may be examined under the following knowledge or skill areas:
company personnel are well-prepared and understand a. Regulatory intelligence
inspection processes. b. Product development
Task 5: Evaluate legislation, regulations, guidelines, standards, and c. Risk management
related issues to facilitate compliance on regulated products d. Licensing, registration, and maintenance
and to support strategic planning. e. Post-market activities
Appendix B
Special Accommodations Request
The Regulatory Affairs Certification Board (RACB) may provide accommodations to candidates with a disability as defined by the
Americans with Disabilities Act (ADA). Please review the RAC Candidate Guide before submitting this form to be sure you quality
for special accommodations.
First Last MI
Name
RAC (US) RAC (EU) RAC (CAN) RAC (Global) RAC (Devices) RAC (Drugs)
Have you previously received accommodations in any educational or testing situation? Yes No
If yes, please describe the accommodations received
Signature Date
Appendix C
Documentation of Disability-Related Needs
To the Professional: The individual identified below is requesting accommodations for the Regulatory Affairs Certification (RAC)
examination. The Regulatory Affairs Professionals Society requires that candidates requesting testing accommodations provide
documentation of the disability from a person qualified to assess the disability.
By completing and signing this form, you are verifying that the individual named below has been diagnosed with the stated
disability and the recommended accommodation is required to fairly demonstrate the candidate’s ability on the examination.
1. Diagnosis (note: mental and emotional disabilities must include a diagnosis from the DSM-IV)
2. Description of the candidate’s disability and how the disability affects the candidate’s major life activities (e.g., hearing,
seeing, walking, talking, performing manual tasks)
3. Recommended Accommodations:
Signature Date
Appendix D
Code of Ethics
As the international leader for the healthcare regulatory profession, Fundamental Principles
RAPS has initiated and supported the development of this code of As a regulatory professional I aspire to:
ethics for the profession. Following a series of surveys and focus
• To ensure my employer’s activities are conducted in compliance
groups held over two years, a task force of volunteers was convened
with the laws and regulations of the authorities under which we
in February 2003. Their work, reviewed and shaped by many
operate, consistent with advancing, preserving and protecting
regulatory professionals, forms this code.
public health.
The task force identified eight core values that regulatory • Be competent to perform the services I have been hired or
professionals embrace. The principles embodied by these core values retained to perform. As a regulatory professional, I hereby
are outlined in the section (below) entitled “Fundamental Principles.” commit myself to continual learning while being able to
Following that, each core value is presented with suggested behaviors acknowledge areas outside my expertise.
that should be encouraged or discouraged. • Act in an objective manner. As a regulatory professional, I
RAPS believes that this is a living document and encourages your will base decisions on factual information. I will not be unduly
feedback. Use this code of conduct in your work and share it with influenced by competing or conflicting interests and I will
your colleagues and employer. clearly communicate competing or conflicting interests when
appropriate.
Statement of Personal Responsibility • Have integrity. As a regulatory professional, I must be principled
Regulatory professionals have the professional and ethical responsibility and consistent in applying my views. I must live up to my
to maintain the highest standards of professional conduct as they commitments, and be trustworthy and scrupulous at all times.
exercise their professional duties of upholding and clarifying the laws • Be honest in all dealings with my employers and others with
and regulations of the authorities under which we operate. whom I interact. As a regulatory professional, I must ensure all
As individual regulatory professionals, we are making a positive information and communications, whether oral or written, are
contribution to public health and we aspire to embody this code of accurate and complete. I acknowledge and affirm personal and
ethics in our words, actions and deeds. institutional credibility is crucial to my success.
• Have the courage to make difficult decisions. As a regulatory
As regulatory professionals, we play a pivotal role in ensuring professional, I will present all relevant information to my
compliance with applicable laws and regulations in the development organization to promote wise decisions. I must be able to
and commercialization of healthcare products. We are a diverse withstand challenges to my views, while at the same time being
profession: we work in healthcare companies, for government accountable for my mistakes.
regulatory agencies, for contract research organizations and as
• Be fair in my dealings with all parties. As a regulatory
independent consultants around the world. Our profession includes
professional, I must apply legal and regulatory standards
attorneys, engineers, managers, nurses, pharmacists, physicians and
equitably. I must be just in considering the interests of all parties
scientists, among others. We are a growing profession and we are
in decision processes.
developing and continually exploring our core values in an increasing
complex global regulatory environment. We do this in the hope that • Be respectful of others. I must treat all individuals with dignity
everyone who practices in this field will aspire to these principles. and courtesy.
We do this also in the hope that those whom we serve will hold these
Duty
principles as inviolable.
Our role as regulatory professionals is defined by our duty to advise
The following eight core values defined below are maintained from
individuals and organizations regarding the appropriate regulatory
the original code:
context for actions they may want to take.
• Regulatory Compliance
Our role is further defined by our obligations as employees of
• Competency
companies making important medical products for patients, as
• Objectivity members of teams conducting nonclinical and clinical studies, as
• Integrity regulators and as members of our profession.
• Honesty/Credibility
Regulatory professionals have a duty to:
• Accountability
• Disseminate and interpret relevant governmental regulations,
• Equitability industry standards and good practice guidelines without bias.
• Dignity and Respect
Addendum
Live Online Proctor Exams
To increase flexibility and exam availability for candidates taking the º Your desk must be clear except for two pieces of scratch
RAC during the summer 2020 exam window, the RAC program is paper and a writing implement. You may be asked to show the
pleased to offer Live Online Proctoring (LOP) as an additional method paper to the proctor and the scratch paper will be destroyed
of testing. This will allow candidates the possibility of taking the RAC after the exam is completed.
exam from their home or office and is in addition to regularly available º There are no breaks during the exam and you are not
testing that takes place at our testing centers across the globe. permitted to leave your seat
LOP is offered during the summer 2020 exam window as a pilot º No talking is permitted except to the proctor.
scheme. At this stage, no determination has been made whether LOP º No food or drink
will be offered in future exam windows. º No hats, hoods, or other headgear, other than for religious use
Live online-proctored (LOP) test administration allows candidates º No coats or jackets
to complete their examinations from their own computers via an
• Authentication:
internet connection at a time and place of their choosing (during the
exam window). Testing sessions are available 24/7/365, based on º You will need a government-issued photo ID with signature
that matches your name as registered.
seating availability. The RAC program’s testing vendor, Scantron, uses
its proprietary software, Scantron PASS™, to deliver examinations º Username, password, and exam password from your
to candidates. Scantron partners with Examity for online, real-time scheduling confirmation email to start the exam.
monitoring of testing candidates. The candidate’s computer must What Candidates Will Need to Take an LOP Test
have webcam capability as well as a microphone and speakers, and the
environment should be quiet to avoid distractions and to ensure that The candidate’s computer must have webcam capability as well as
the online proctor can hear everything at the candidate’s ___location. a microphone and speakers, and the environment should be quiet
There are technical requirements, such as an adequate internet to avoid distractions and to ensure that the online proctor can hear
connection, to ensure that the proctor can access the candidate’s everything at the candidate’s ___location.
computer and that the session can proceed without internet You can run a basic test on your system at https://prod.examity.com/
disruption. Candidates are informed of the computer specifications in systemcheck/check.aspx
advance of the testing session.
Full Specifications
Basic List of Candidate Rules and Requirements
System requirements to run Scantron PASS™ for LOP test
• Computer Requirements:
administration:
º Desktop computer or laptop (tablets, Chromebook and cell
phones are not suitable) • Hardware:
º A working webcam, microphone, and speakers. You must be º 2 GHz or faster 32-bit (x86) or 64-bit (x64) processor
able to rotate the webcam and show the entire room and desk º 2 GB RAM (32-bit) or 2 GB RAM (64-bit)
surface. º 16 GB available disk space (32-bit) or 20 GB (64-bit) -- just
for the OS, not applications or data files
º Internet speed must be at least 2 Mbps download and 2 Mbps
upload. º Audio output capability
º Browser with pop-up blockers disabled º Webcam and microphone
º No dual monitors º Screen resolution:
– For best experience, use 1920 x 1080 or higher
*See full specifications section for detailed list of technology
– Minimum acceptable is 1024 x 768
requirements. Check your computer configuration before
your scheduled examination at https://prod.examity.com/ • Software:
systemcheck/check.aspx º Minimum Windows 7 or Mac OS X v10.6
º Latest version of mainstream web browser: i.e., Microsoft
• Room Environment: Internet Explorer (version 11), Microsoft Edge (latest
º You must be alone in a quiet room available versions), Mozilla Firefox (latest available versions),
º Your computer must be in working order, match the provided or Google Chrome (latest available versions)
specifications, and be powered on and connected to a power – NOTE: Internet Explorer 10 is no longer supported by
source. Microsoft after January 31, 2020. Customers are advised
º Cell phones, headphones and other electronic devices are not to move to another supported browser to avoid any
permitted potential testing difficulties.