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Transcript of Lead Auditors Training Course
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LEAD AUDITORS’ TRAINING COURSE
Darren Freestone
Senior Consultant
SeerPharma (Singapore) Pte, Ltd
Aug. 1-2, 2012 @ FDA Alabang ECHO SEMINARAugust 17, 2012
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Training Course Outline
Audit ProgramAudit ProceduresLead Auditors
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REFERENCE GUIDELINES
Inspectorates PIC/S PI 037-1
Companies (Manufacturers) PIC/S PE 009-9 ICH Q9 ICH Q10
GMP Guideline Harmonized Tripartite Guidelines
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INSPECTORATE
Two Roles:
2. Companies (Manufacturers) program meets requirements of PIC/S PE 009-9
1. Inspectorates meets requirements of
PIC/S PI 037-1
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PIC/S Expectations for Audits
Principles for Internal Audit
All aspects of GMP should be audited periodically and thoroughly by an independent competent person, team or consultant, according to a written program
A “rolling” audit of individual sections that nevertheless covers all aspects in a prescribed time is preferred to a single, exhaustive audit
A written report of each audit should be prepared. Evidence should be available that the program is written and followed and that follow-up activity results
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Q9 Expectations for Audits
Principles for Internal Audit
All aspects of GMP activities should be assessed for risk to product quality. This include Supply Chain and Distribution Chain
Audit frequency, duration and allocation of resources to be based on risk
Deficiencies should be assessed in terms of risk to the product and customer, not just against GMP clauses. Deficiencies and appropriate escalation should be in place
Residual risk should be assessed upon completion of corrective actions
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Q10 Expectations for Audits
Principles for Internal Audit
Demonstrated management commitment to effective implementation of Internal Audit program (commitment clearly communicated, provision of adequate resources, authority of auditor/team)
Regular management review of the effectiveness of the Internal Audit Program
Results of reviews and recommendations / actions are documented
Follow-up from previous recommendations / actions are documented
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Audits types
Regulatory by Legal Agencies (FDA, HSA, EMEA,… etc)
Vendor / Supplier and Sub-contractor audits
Internal Audits or Self Inspections GMP Compliance Specific / focused (e.g. deviation or
customer complaint) Analyzing process, environmental data Corporate
External, e.g. Customers
Certification Audits – Certification bodies (TUV, BSI, ISO, HALAL, etc)
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Audit intent and Purpose
Irrespective of the audit type, the purpose is:
To establish and monitor the implementation and compliance of the quality assurance systems and to ensure that the requirements of cGMP are met
To propose necessary corrective and preventive actions
To improve the quality systems One way to demonstrate commitment to
continuous improvement
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Responsibility (1)
Senior Management (Q10)
Set direction (Formal Policy)
Provide Authority
Provide resources
Require the establishment of a program
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Responsibility (2)
Quality Assurance (Q9)
Define and formalize program methodology (SOPs)
Allocate program resources Establishes competencies base Determine measures Implements the program Monitor performance
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Responsibility (3)
Lead Auditor (PIC/S and Q9)
Reviews and implements program based on risk
Plans and implements audits Allocates audit resources Ensures auditor competencies Documents metrics Reviews performance
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Responsibility (3.1)
Additional Responsibilities (outside audits)
Organizing the logistics
Travel Accommodation Liaising with the
Auditee Working out time
and costs of the audit
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Vendor / Supplier Audits
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Scope of Vendor / Supplier Assurance Programs
Audits/evaluation are typically carried out on:
API manufacturers Sub-contract manufacturers Contract test laboratories Excipient suppliers Warehouse and distribution train – cold chain system Pre-printed (coded) matter suppliers Component/packaging suppliers Processing aids providers (filters, resin…) Calibration service providers Contract research organizations Software developers Etc..
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Purpose of Vendor / Supplier Assurance Programs
Regulatory Requirement Clause 5.26 “Starting materials should only be purchased from
approved suppliers…….And, where possible directly from the producer. It is recommended that the specifications established by the manufacturer for the starting material be discussed with the supplier…”
Contract Manufacture Clause 7.3 “The contract giver is responsible for assessing the
competence of the contract acceptor to carry out successfully the work required for ensuring….that the principles and guidelines of GMP…”
Clause 7.5 “The Contract giver should ensure that all products and materials delivered by the Contract acceptor comply with their specifications or….”
To monitor the implementation and compliance of the suppliers quality assurance systems and to ensure that suppliers meet the requirements of cGMP, product quality, and
To propose necessary corrective and preventive measure.
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Who should assess vendors?
Quality Assurance oversight the program
QA responsible to conduct internal reviews and external audits
Lead Auditor usually part of QA QA assign status to GMP related
vendors Purchasing (PIC/S 5.25)
* Should be supported by a company procedure
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Requirements of Vendor / Supplier Assurance Programs
Must include the identification, evaluation and approval of suppliers and subcontractors: ‘New’ supplier assessment and evaluation – sample
testing and preliminary evaluation eg quality survey
Qualification, requalification and disqualification SOPs
Establishment of GxP “Technical Agreements” / contracts
Ongoing evaluation of supplier and material / service / components by combination of testing and site audits
The comprehensive testing of goods is no substitute for an efficient site supplier audit program
Vendor program must be planned and ongoing
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Strategies for Vendor / Supplier Assurance Programs
Vendor /Suppliers assurance programs typically encompass one or combination of Quality and GxP Surveys Monitoring of incoming materials Site audits (do not always have to audit) Feedback into CAPA and Purchasing systems
The type / method is dependent on the product and process risk
Program of vendor performance trending (quality, cost and timeliness)
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Vendor / Supplier Rating Example
Categories of Vendors (Vendor Rating System) Disqualified New Approved Preferred Certified
Monitoring programs adjusted based on rating and performance
Vendor rating responsibility: both QA and Purchasing
Rate their “weighted” performance annually Quality x Delivery Performance x Cost
Vendor / Supplier rating can be influenced by the results of Inwards Goods Surveillance and other Vendor/Supplier assurance programs
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Quality Surveys typically include requests for information on:
Company profiles (size, sites) and management structure
Types of products manufactured on site Dedicated or multi-product plant Manufacturing history Regulatory Licenses Regulation Audit History References to DMFs and Site Information
Files Quality System Information – List of SOPs,
Manuals Subcontracting / other sites arrangements Quality Control Policies to allowing clients to audit
operations
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Outcomes of Vendor Surveys (QA report)
Vendor surveys should lead to an initial risk rating for the supplier.
Document decisions / risk mitigations e.g. Should more information be requested Whether a direct qualifying audit is
required Whether initial samples should be
evaluated What level of inward goods sampling
and test should initially occur
Should the vendor be dis-qualified
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Building a PROFILE
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Workshop # 1
As applicable to your own experience, list down as many examples as you can in the left-hand column- under each of the headings/titles below:
Contract (Toll) Manufacturer API Manufacturer Excipient Manufacturer Contract Laboratory Printed Matter Suppliers Unprinted Primary Packaging Suppliers
And enter these into the 2012 Profiles (workbook provided)
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Must Use Risk-Based Decision Making
To Determine: What type of audit Frequency of audit Team composition Duration of the audit
In order to: Prepare the schedule
Which must be: Authorized by all Department Heads Adhered- to absolutely Under Change Management
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Workshop # 2
Using the example “Supply Chain Quality Factors” (next slide) and the example “Risk Matrix Vendors/Suppliers – Recommended Actions” in your workbook, complete the 2012 profile for each of the manufacturers previously identified.
Contract (Toll) Manufacturer API Manufacturer Excipient Manufacturer Contract Laboratory Printed Matter Suppliers Component Suppliers
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Possible Supply Chain Quality Risk Factors
Patient Risk Factor
Patient Risk Factor
Patient Risk Factor
5. Parenteral / Sterile / Biotech4. Rx / prescription product3. OTC2. Complementary (HRP, Food Supplement)1. Excipient
5. Known poor quality4. Unknown history / New vendor3. Known quality - OK2. > 10 batches, all OK1. Long good supply history
5. No site assessment4. No international GMP audits3. International GMP audits2. QA reviewed1. QA vendor audited > 1 cycle
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Workshop #3 Audit Schedule
Now we know:
Manufacturer (Workshop #1) Associated Risk Audit type Audit frequency Audit Team Composition Audit Duration
Determine the audit schedule of your vendors and suppliers based on risk.
Enter each into applicable Audit schedule for 2012/2013
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Audit Frequency and Scheduling
“The frequency of audit of manufacturers of therapeutic gods is based on the degree of risk to patients and consumers”
Ongoing basis, the risk factors taken into account when scheduling audits are:
Result of previous GxP audit [ no NCs vs. critical NCs] Regulatory Agency Intelligence:
Product recalls since last audit Medicine adverse reaction reports Adverse comments from other agencies that have an
impact on GMP Product complaints since last audit Deviations Trend reviews Significant changes within the company
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Workshop #4 Metrics
What metrics could we use for the schedule?
How do we rate these metrics?
Example….
On-time Audits 1, 2, 3, 4, 5
Missed Audits 5, 4, 3, 2, 1
Closed on Time 1, 2, 3, 4, 5
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Supplier Audit Programs – in summary
Must have SOP + schedule under GMPs Based on “risk management” Define term “supplier” vs “manufacturer” Define term “audit” and “assessment”
carefully Direct site visit by QA Inward goods QC program Surveys and profiles
Document the supplier qualification results in records
Must be annually reviewed for effectiveness and opportunity for improvement
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Internal Audits
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Common Mistake
Manufacturers have the advantage of time. Should not try to audit everything in one large auditing “session”
WHY? Break it up and spread it out over the
year Prioritize according to risk Some areas may be required to be
audited 2, 3 or more times per year (if high risk)
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Be specific
Try to avoid auditing areas like: Production Facilities Quality Systems
Scope is LARGE, need a lot of experience
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For Example…..Quality System Elements (QSEs)
HVAC Equipment Personnel and Training Customer Complaints Market Authorization Cleaning / Sanitation Materials Storage and
Handling Production Controls Validation Programs Laboratory Controls Computer Systems Solid Dose Sterile – aseptic filling Preventive
maintenance Change Control Purified water Calibration
Movement of Personnel Document Control CAPA Product Quality Review Validation Master Plan Out of specification Inwards Good receipt Release for supply Stability Retention samples
management Control of NCP Housekeeping Deviations Risk Management Sampling Supplier Management
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Use Risk-Based Decision Making
To determine: What QSE to audit Frequency to audit Team composition Duration of the audit
In order to: Prepare the schedule
Which must be: Authorized by all Department Heads Adhered-to absolutely Under Change Management
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Workshop #5
Assume that the following QSEs are applicable to your manufacturing operations:
o Inwards Good and Samplingo Validationo Trainingo Laboratoryo Calibrationo Maintenanceo Release for supplyo Purified watero Deviations and CAPAo Process Controlso Marketing Authorizationo Customer Complaints
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Workshop #5 - continued
Refer to: “QSE Quality Risk Factors” (next
slide) “Risk Matrix (QSE) – Recommended
Actions (workbook)
1. Complete the Audit Team Schedule 2012/2013 in your workbook
2. Using the completed Audit Team Schedule 2012/2013, develop the final Internal audit schedule for 2012/2013 in your workbook
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QSE Quality Risk Factors (examples)
Category 1
Category 2
Category 3
Parenteral/ Sterile / BiotechProcess is Complex in natureAcross all/most departmentsNo previous assessmentPoor previous assessmentHistory of Deviations / Complaints
Rx/Prescription productsProcess not overly complexPrevious assessment satisfactoryOccasional deviation/complaint
OTC / Complimentary productsSimple in complexityPrevious assessment excellentNo deviations / complaints
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Prioritizing GxP Audits based on Risk
Compliance Product
Exposure
Assessment
CAPATrends / History
Consequences
Likelihood
Schedules/Priority
Mgmt
Facility Control Direct Impact
Equipment Personnel /
Training Quality
Systems Market
Authorization Cleaning /
Sanitation Materials /
Supply Production
Control Validation
Programs Laboratory
Controls Computer
Systems Specific Dosage
Forms
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Write This Down !!
Make sure ALL concerned parties:
Includes: Quality Assurance
Area Head
Area Head of audit
team members
sign-off the Audit Team Schedule!!!
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Audit Programme Written Procedures (1)
Audit program procedures should address the following:
a) Planning and scheduling audits
b) Assuring the competence of auditors and audit team leaders
c) Selecting audit teams assigning their roles and responsibilities
d) Conducting audits
e) Conducting audit follow-up, if applicable
f) Maintaining audit program records
g) Monitoring performance/effectiveness of the audit program
h) Reporting to top management on the overall achievements of the audit program
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Audit Programme Written Procedures (2)
Audit program procedures should address the following:
a) Identifying operations/objectives and assessing the risk
b) Monitoring implementation of schedule
c) Escalation of findings
d) Linkage to CAPA
e) Assessing / classifying deficiencies
f) Monitoring effectiveness of corrective actions
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Lead Auditor Competencies
Suite of SOPs to describe the Audit Program
Basis to develop Lead Auditor Training Needs Analysis
Establish Competencies of Team and Lead
Defines the scope of the program
Defines how the program is implemented
Requires review of effectiveness (performance)
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So far….Vendor and Internal Audits
Pre-requisites in place:
Company Policies (Commitment)
SOPs (System) Competencies
(Resources) Schedule (Plan)
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Internal Audits
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GxP Compliance Audit Processes
Irrespective of the audit type or reason, all audits are generally structured in the following sequence:
1. Determine audit scope and Intent
2. Define the Audit Team – select specialist(s)
3. Develop and Audit Plan
4. Identify audit standards (establish criteria)
5. Formally notify the auditee
6. Conduct the audit
7. Categorize deficiencies
8. Conduct exit meeting
9. Finalize the audit report
10. Request a documented auditee CAPA response
11. Verify closure (linked to CAPA) if warranted
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Why do we conduct internal audits?
To verify compliance
To improve systems
Compliance Audit Systems Audit
Document Deficiencies
Document Improvement
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System and Compliance Audits
Referenced Regulatory Standards
Standard Operating Procedures
Practices and Records
Verify Complian
ce
Verify System
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A. Systems Audit Prepare list of required SOPs Compare SOPs to Regulations, Policies,
Guidelines Verify system is documented
B. Compliance Audit
Choose SOPs of particular interest*
Review related or exhibit records
Verify compliance (evidence) of records to SOPs
*These could be used as checklists
Audit Methodology – Systems and Compliance
Has the system been
deployed
C. Training Records
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5 Key Steps for Internal Auditing
1. Audit Intent and Purpose
2. Audit Planning3. Conducting the
audit4. Analyzing results
and preparing audit report
5. Response : Present results (CAPA)
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1. Audit Intent and Purpose
5 Key Steps for Internal Auditing
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Audit Intent & Purpose of Internal Audits
The intent and purpose of the audit will define the audit scope:
Routine scheduled GMP audit (surveillance or full) – verify compliance
Audit culminating from nonconformities, customer complaints, etc
Audit to investigate a specific product or problem
Preparative audit for upcoming regulatory audit
Verification audit to close-out non-conformities
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2. Audit Planning
5 Key Steps for Internal Auditing
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Planning –Utilizing Audit Standards
Regulations and Codes- Codes of GMP- Industry Guidance Docs. e.g. FDA OOS Guidance, PIC/S Utilities- Standards: Laboratory or ISO Standards
Internal Documents- Company Quality Policies- Standard Procedures- Master Instructions
Product and Material Specifications – EP/BP/USP
Product Registration Documents
The auditing process
compares an aspect of quality
performance against a
recognized standard
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Lead Auditor : Audit Team Selection
Audit must be objective – independence of audit team members from activities being audited
Ensure there is no potential conflict of interest
Ensure auditor and auditees can work co-operatively
Ensure auditors comply with confidentiality Determine numbers of auditors and skills
needed Two auditors, if possible, works best Appoint one as the Lead Auditor Technical expertise in the area – need
experience to identify and rate issues Consider including auditors in training (under
direction)
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Checklists
Advantages Provide a guide to the auditor Provide a “memory jogger” Focuses the auditor and auditee on
the issues Provides background for future
audits Disadvantages
Can breed lazy (blurr) auditors – focus on checklist only
Standard checklists may not “fit” Can narrow the audit focus too much Must be supplemented with
observation/judgement
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Audit Plan Structure
1. Choose the “System” to review.1. For example, by QSE2. Alternatively….industry issues exist, like “How
effective is our cleaning program?”, “Have we justified our incoming and in-process sampling?”
2. Document the audit scope and the objectives3. Select the team – technical specialists needed?4. Define the standards to be applied5. Work out the “critical
questions…..Checklist/SOPs6. Decide which documents and records to review7. Decide the audit approach8. Agree proposed audit plan and date(s) with the
auditee9. Finalise and document the audit plan
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Understanding the Process
o Plan to audit the process, not the individual, or department
o Map the process before you starto Use SOPs, Wi’s, illustrations,
drawings, etc.
What is the design? Procedural Engineering Drawing Manufacturing instruction HACCP Analysis Specification
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One Page Audit Plan for Change Control
“Critical” Questions Is there a documented change control program in place? Are there “silos” or one integrated system? Do change update decisions involve cross-functional areas for
significant changes? Does change maintain validation, training and registration integrity? Management of change control records?
Scope: To evaluate the scope and effectiveness of the site change control program. The audit covers Equipment, Processes, Quality Control, Materials and GMP Procedures. It does not cover computerized systems
Doc#
Title Record
Title
CFR 820 – Part 30 – Design Control
Engineering Change Notes
FDA Guide QSIT – Section xxx
Change Register 2004
Policy # - Change Management
Selected change Note(s)
SOP # xxxx – Change Control
Validation reports
Reference Standards and Record Review
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“Critical Question”Construction and Development
Critical questions should be probing,
Must be structured around the audit intent and scope,
Regulatory guidance documents are useful in developing questions.
Questions usually begin with ‘Is’, ‘Does’, ‘Are’, and usually the following:
Effectiveness or adequacy The presence / availability or
absence Responsibilities Mechanisms
Questions may be linked or stand alone.
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Scope The purified water system that
provides purified water to the oral liquids manufacturing
Example QSE – Purified water (1)
USP 34 – <1231> Water for Pharmaceutical Purposes
Standards PIC/S Code of GMP Part 1 and
applicable annexes
FDA Guide to inspections of high purity water systems
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Records System description As-built drawings Specifications of the water, for Conductivity and TOC Qualification and re-qualification reports and protocols Trend reviews micro, chemical, conductivity, TOC SOPs for operation, sanitation, maintenance + training records SOPs for establishment and monitoring of Alert and Action
Limits Questions
Who “owns” the PW system? Who has the responsibility for ongoing quality and routine
monitoring? How do you know water is performing appropriately? How is the release for sale function notified of an OOT or OOS? How do you manage OOS or OOT? Any recent changes to the PW system? Can you show me previous 2 years data trending reports? Can you show me the raw data for the previous 12 months?
Example QSE – Purified water (2)
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Refer to your workbook.
The following internal audit has been scheduled:
QSEs to be audited: Equipment Inwards Good Receipt Sampling Testing Storage and Handling
Workshop #6.1
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Refer to your workbook.
1. Work in groups of 2-4
2. Nominate a Lead Auditor
3. Lead Auditor responsible to Identify Team Composition
4. Team to prepare a one-page audit plan for each area
5. Lead auditor responsible to prepare an agenda to cover the entire audit
By the way, you only have one (1) day to complete the audit.
Workshop #6.2
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Check Site Master File Manufacturing license /
certification…scope Review registration dossiers ADR reports, Post marketing
surveillance reports Previous inspections, including
Regulatory and Customer Records Complaints, Deviations and
Recalls
Preparation for Audit
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…may bring specialists eg. Laboratory, Microbiology, IT – you should too!
… have special interests and views
…have the authority to audit to registration information and to verify marketing authorization
…may include industry issues on the audit agenda
…are also assessing the attitude of management, and company GMP culture
Manufacturers should be aware that the Inspectorate…..
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3. Conducting the Audit – Tips and Common Mistakes
5 Key Steps for Internal Auditing
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Some useful audit tools
1 Audit Plan
2 Clipboard
3 Note pad and pens
4 Copy of cGMP or other standards
5 Sharp mind!
6 Good Humor!
7 Audit checklist
8 Calculator
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Auditor Attributes (competencies)
1 Objective and independent
2 Competent and experienced
3 Friendly but firm
4 Basic understanding of Technology
5 Thorough and methodical
6 Atmosphere of environment (Can handle Conflict)
7 Communication and Interpersonal skills
8 Clear and established Authority
9 Understanding of Quality Systems / Code Requirements
10 Leadership
11 Excellent Time Management Skills
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Lead Auditor Attributes
Time Management Delegation of auditing activities and
STRICT adherence to timelines described in the agenda
Avoidance of “scope-creep” Communication
Agreement of audit agenda by all parties Clear explanations of deficiencies at the
time of observance Communications to QSE owner
Experience and Authority Understands the difference between facts
and opinions Knows when to “move-on” during an
audit Professional and *systems* focused
* ”It’s business, not personal”
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If a serious / critical observation is made, IMMEDIATELY make sure that the Area Head and Quality Assurance Head are made aware of the issue Write this down in your notes.
If you cannot associate a deficiency with a specific clause in the Code, then its likely to NOT be a deficiency (opportunity for improvement?). The procedure process is not efficient… I don’t like the template you are using… The equipment was too old…
Be specific in your observations during the audit and point out the evidence clearly to the auditees. The warehouse was overcrowded Sampling was inadequate The equipment was dirty Training records were not detailed enough
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4. Analyzing Results and Preparing Audit Report
5 Key Steps for Internal Auditing
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Analyse Observations and Results
1 Allow time to summarize findings
2 Group observations that are related
3 Many observations are symptoms of system failure
4 Focus on critical items first
5 Classify issues as critical, major and other
6 Be balanced – state positives!!
7 Be clear on deficiencies – give evidence!!
8 Listen to responses
9 Be prepared to change findings
10 Avoid personal statements – system focusNote : These will form the basis of the ‘draft’ report
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GMP Audit Deficiencies
•Consumer Safety issue (identity, purity, performance/strength or
safety)• Directly observable
Critical
• May impact safety “related or indirect”
• Non compliance with basic GMP principles
Major
• General Housekeeping• Unlikely to impact
product quality
Minor/Other
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5. RESPONSE: Present Results Corrective & Preventive Actions
5 Key Steps for Internal Auditing
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Corrective Action
Do the Actions meet the following: Address the root cause and
contributing factors
Measurable (Corrective Action did in fact occur)
“All improvement will require change, but not all change will result in improvement”
Specific Easily understood and
implemented Developed by process owners
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Audit Closure
Follow-up corrective actions: VERIFY Actions completed (Critical,
Major) Everything verified as closed
Pro-active follow-up Report missed timeliness to
management Target dates are set for completion
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Auditing a PRINTER
Generally: Printers are NOT
required to follow GMP Printers are NOT
required to have any Quality certification
Good “quality” printers are Sometimes hard to find Generally more
expensive
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Auditing a PRINTER
Generally, Printers need to:
Understand company requirements
Understand the RISKS for customers and company
Be educated / guided / assisted to implement the controls needed to be in place
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Auditing a PRINTER
What are the risks: Death, serious injury
to consumers
Continuity of supply Rejected deliveries Company profits
Customer complaints Product recalls
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Auditing a PRINTER
What are the hazards: Mix-ups with other
products Mix-ups with different
strength of same product
Wrong version /text Incorrect counts Batch variation (Color,
missing text, faded, illegible)
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Auditing a PRINTER
Some points to consider: Control of Master Plates and
specifications Control of color standards Version control Line clearances Program of Maintenance Print-run records and in-process checks Segregation and control of WIP (un-cut
and cut) Verification of count Release to customer Training / competencies
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Auditing a PRINTER
IMPORTANT!!!
Don’t forget Capability of the process (variation)
Discuss your critical attributes and variables
Agree on % defect level allowable (critical defects) Agree on % defect level allowable (minor defects) Agree on allowable color variation (light and dark)
Inwards Goods and In-process sampling strategies will be based on this.
Don’t forget: Bring along someone from PURCHASING.
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INSPECTORATE
Inspectorate program meets
requirements of PI 037-1
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Overview: PI 037-1
Published 1 January 2012 A recommended model for scheduling
routine inspections based on risk Methodology to assign a “risk rating”
then use this to assign a frequency for routine inspections
The intrinsic risk associated with a site and the compliance risk (based on the last inspection);… is used to assign a risk rating
The risk rating is then used to recommend a frequency for routine inspections at the site
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Intrinsic Risk (1st page)
A combination of: Complexity (of site, process and product)
Large/small sites Number of different operations on site Dedication of facility and equipment Organizational (# staff) Contract manufacturer or not Sterile process Number of unit operations and critical steps Extent of rework and repackaging Special storage
Criticality Manufactures as essential product not readily
available elsewhere Major or sole supplier of essential product Service (eg. Testing) cannot be performed
elsewhere
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Intrinsic Risk (1st page)
After these points are considered:Rated: Complexity: 1, 2, or 3 Criticality: 1, 2, or 3
Criticality
Complexity 1 2 3
1 1 (low) 2 (low) 3 (med)
2 2 (low) 4 (med) 6 (high)
3 3 (med) 6 (high) 9 (high)
Intrinsic risk: Low, Medium, High
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Compliance Risk (1st page)
Simple Rating:
From the most recent inspection: Low : No critical or major
deficiencies Medium : 1-5 Major deficiencies High : 1 or more Critical
deficiencies or more than 5 Major deficiencies
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Risk Rating andFrequency
Intrinsic risk
Compliance risk
Low Medium High
Low Risk Rating = A
Risk Rating = A
Risk Rating = B
Medium Risk Rating = A
Risk Rating = B
Risk Rating = C
High Risk Rating = B
Risk Rating = C
Risk Rating = C
Risk Rating:A: Reduced frequency, 2 – 3 yearsB: Moderate frequency, 1 – 2 yearsC: Increased frequency, <1 year
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Workshop for PIC/S PI 037-1
JM Tolmann Laboratories, Inc One site (QC) Manufacturer of own range and a specialty Toll
Manufacturer Approximately 130 people Approximately 100 different products Approximately 250 SKUs Solid Dose, liquid preparations (Prescription,
OTC and Household remedies) Vitamins/Supplements
Most Recent Inspection ResultsCritical – 1Major – 3Minor – 5
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Scope of Inspection
Part F of PI 037-1Recommendations of Lead Auditor for
the next routine inspection: Focus and depth
Where deficiencies where found Areas not inspected Areas inadequately resourced at site Areas where LA believes a more detailed
inspection is needed for next inspection Duration Number of inspectors Specific expertise
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Thank you for listening
What you want to be confident of is usually more important than
how confident you want to be