Preparing Your Analytical Laboratory for a Regulatory Audit · PDF filePREPARING YOUR...
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Preparing Your Analytical Laboratory for a Regulatory Audit
Live Webinar
Paul Smith
May 2, 2014
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Webcast Notes
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PREPARING YOUR ANALYTICAL LABORATORY FOR A REGULATORY AUDIT
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Possible Audits – You May Face
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Laboratory
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Possible Audits – You May Face
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Health &Safety
Accreditation BodyISO:
13485 / 17025 / 9001
Customs &Excise
Financial
Internal(Self-Audits)
Customers
Environmental
Laboratory
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Possible Audits – You May Face
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PharmaceuticalRegulatory
Health &Safety
Accreditation BodyISO:
13485 / 17025 / 9001
Customs &Excise
Financial
Internal(Self-Audits)
Customers
Environmental
Rules Applied& Possible Actions…..
Vary Between Audits.... Industries
Laboratory
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Possible Audits – You May Face
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(Sometimes the Hardest !)
PharmaceuticalRegulatory
Health &Safety
Accreditation BodyISO:
13485 / 17025 / 9001
Customs &Excise
Financial
Internal(Self-Audits)
Customers
Environmental
Rules Applied& Possible Actions…..
Vary Between Audits.... Industries
CORPORATE
Laboratory
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… But, many of the same principles apply toALL AUDITS……………..
(Sometimes the Hardest !)
PharmaceuticalRegulatory
Health &Safety
Accreditation BodyISO:
13485 / 17025 / 9001
Customs &Excise
Financial
Internal(Self-Audits)
Customers
Environmental
Rules Applied& Possible Actions…..
Vary Between Audits.... Industries
CORPORATE
Laboratory
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Possible Audits – You May Face
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… But, many of the same principles apply toALL AUDITS……………..
(Sometimes the Hardest !)
PharmaceuticalRegulatory
Health &Safety
Accreditation BodyISO:
13485 / 17025 / 9001
Customs &Excise
Financial
Internal(Self-Audits)
Customers
Environmental
Rules Applied& Possible Actions…..
Vary Between Audits.... Industries
CORPORATE
Prepare Well Once – Then Update / Apply
Audits Preparation is a Strategic Priority !
Run as a Project !
Laboratory
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Compliance Drivers – All Industries
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Are Your Results Valid ? CommercialReasons
Analytical Service
Compliance Reasons
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Compliance Drivers – All Industries
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Are Your Results Valid ? CommercialReasons
Analytical Service
Compliance Reasons
Pharmaceutical GXP ISO 9001 ISO 17025
Influenced by – Where you:
- Manufacture- Supply
National Pharmacopeia's• USP• EP• JP
Influenced by:- Scope of Accreditation
Quality Management System Testing & CalibrationLaboratories
Influenced by:- Scope of Accreditation
EU GMP
CFR(Code of Federal Regulations)
• 4.2.4 – Control of Records• 7.4.3 - Materials• 7.6 – Measurement
Equipment
• 8.5.2 - Corrective Actions• 8.5.3 - Preventative Actions
• 4.13.1.2• 5.2.1• 5.2.3• 5.3.1• 5.4.6.1• 5.4.7.1• 5.5.2• 5.5.4…….Etc.
- Manufacture- Supply
Clauses
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How Do You Know Your Results are Valid ?
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• Instrument Was Qualified / Calibrated…. Etc.• Method Limits Were Validated
• Correct Reference Materials Were Used
• Training Records - The Analyst Was Trained
• System Suitability – The Method Was Working Correctly
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How Do You Know Your Results are Valid ?
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• Instrument Was Qualified / Calibrated…. Etc.• Method Limits Were Validated
• Correct Reference Materials Were Used
• Training Records - The Analyst Was Trained
• System Suitability – The Method Was Working Correctly
The above align with United States Pharmacopeia (USP) general chapter 1058 on Analytical Instrument Qualification (AIQ).
The Principles of This Data TriangleApply to All Labs!
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• Broad Knowledge - stay with inspector
• Technical Experts- Subject
• Records- Time asked
supplied
• Gets what's asked(Info. / People)
Managing The Audit – What to ExpectWho Has Been in an FDA Audit ?
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• Inspector
• Host
• Fronter
• Scribe
• Runner
Official Role
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Managing The Audit – What to ExpectWho Has Been in an FDA Audit ?
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• Inspector
• Host
• Fronter
• Scribe
• Runner
• ReadsInspector
• Believable
• Records- Actions
issues…..
• Spy(In – Out)
Strategic Role
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Managing The Audit – What to ExpectWho Has Been in an FDA Audit ?
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• Inspector
• Host
• Fronter
• Scribe
• Runner
AuditControlRoom
ExpertsDocumentation
Information
Runner
Suppliers
The Control Room is Staffedby experienced personnel who:• Keep calm under pressure• Know site & company systems well
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Managing The Audit – What to ExpectWho Has Been in an FDA Audit ?
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• Inspector
• Host
• Fronter
• Scribe
• Runner
AuditControlRoom
ExpertsDocumentation
Information
Runner
Suppliers
The Control Room is Staffedby experienced personnel who:• Keep calm under pressure• Know site & company systems well
Audit Decisions: • Live – Software Vs. Presentations / SimulatedFDA – Now LIVE (Agilent is Supporting Customer FDA Audits)
• Electronic or Paper Request System
The Control Room is Staffedby experienced personnel who:• Keep calm under pressure• Know site & company systems well
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Managing Document Requests
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• Have to Remain Compliant During The Audit
• With some inspections, such as the FDA, there may be SEVERAL Inspectors
• Original Approved “Master” Document provided to Inspectors
Requests from Audit …..Requests from Control Room….• What is requested?• Time of Request• Who is required (to Front/Present the Information)
Pad’sOf
Request Forms
1.
3.2.
4.
White Copy – Stays in Audit
Blue Copy – Stays in Control Room
Green Copy – Attached to Information
Pink Copy – Left in the Filing System(in case someone requests original)
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Audit Preparation Focus Area…..
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Area Subject
People
Equipment
Methods
Data
Audits
Observations
• Suitable for Use ?• Life Cycle Management• Return to Use
A. DebarmentA. TrainingB. Demographics
• Validation / Change Mgt.• Training / Uncertainty (ISO)
• Data Integrity• Life Cycle
• Internal• Observations
• Actions from Audits• Customer Complaints
Comments
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Audit Preparation Focus Area…..
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Area Subject Comments
People
Equipment
Methods
Data
Audits
Observations
• Suitable for Use ?• Life Cycle Management• Return to Use
A. DebarmentA. TrainingB. Demographics
A. FDA Web SiteB. Structure / “Proof”C. Justification of Resource
• Expected <1058> Changes• USP – General Chapters• GAMP – USP Harmonisation
• Validation / Change Mgt.• Training / Uncertainty (ISO)
• Data Integrity• Life Cycle
• Internal• Observations
• FDA Focus Area• 21CFR Part 11 • Chapter 4 / Annex 11
• Actions from Audits• Customer Complaints
• USP Stimulus Paper (QbD)(Method Validation & QbD
Pharmacopeiai Forum)
• Are you doing them ?• Resolution of Observations
• Have you resolved them?• HPLC – FDA Warning Letters (62)(28% Repeat, 38% Poor Response (CAPA)
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Audit Preparation Focus Areas
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People
Analytical Methods
Analytical Equipment
Procedures
Infrastructure
Supplier Approval
• Job Description / Training Records• Demographics / Age / Qualifications• Expertise / Skills Map• Audit Risk ? • Validation “Status”
• Technology Transfer• Registration• Review (e.g. OOS)• Suitability for Use
• Maintenance • Qualification / Calibration• Training (Technique / Instrument / SOP)
• Approved• In Date• Is the Ink Wet !• Justification• Housekeeping
• Electricity• Location of Instruments • Audit
• Questionnaires• Lab. Supplier Approval• Quality Agreement
Software / Computer Systems• Validation /
Qualification• Configuration Mgt.
• Reviews• Change
Control
+ Data Integrity
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What did You Mean ?
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What did You Mean ?
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Terms Used:
1. Calibration [21 CFR 211.160 (b) (4), FDA]
2. Qualification [USP, e.g. <1058>]
3. Validation [Method, Process, Software]
4. Verification [GAMP 5, ASTM E2500]
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TYPES OF AUDIT
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How The Audit is Performed.…
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Hierarchical
Hierarchical
Emphasis – Identify areas of non-compliance in the INFORMATION
Scope – Limited by where the inspection “starts” (e.g. which batch)
• Records Trace – Pedigree / History• Examine the Manufacturing Records• Examine the Lab. Results• Examine the Analyst Training Records• Examine the Instrument Details... Etc.
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How The Audit is Performed.…
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Hierarchical
Hierarchical
Emphasis – Identify areas of non-compliance in the INFORMATION
System Based Inspection
Generic SystemQuestions:
Emphasis – Identify areas of non-compliance in your QUALITY SYSTEM
• Examine Your Quality System • Examine Your - Analyst Training Process• Instrument Selection and Qualification• Batch Failures / Out of Specification Results• Your Trending and Quality CAPA System
Hierarchical Some Element of Luck(depending on where it “starts”)
System-Based Inspection
Prepare, Prepare, Prepare
Scope – Limited by where the inspection “starts” (e.g. which batch)
Scope – Your whole quality system – everything – WIDER RANGING
• Records Trace – Pedigree / History• Examine the Manufacturing Records• Examine the Lab. Results• Examine the Analyst Training Records• Examine the Instrument Details... Etc.
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Kinds of Audit
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ISO 9001
• Quality Management System• Some Component• Early Observation….• CAPA follow up
Is it Effective ?- Quality Mgt.
Emphasis – Evaluate if Quality System is Effective for - SCOPE of ACCREDITATION
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Kinds of Audit
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ISO 9001
• Quality Management System• Some Component• Early Observation….• CAPA follow up
Is it Effective ?- Quality Mgt.
Emphasis – Evaluate if Quality System is Effective for - SCOPE of ACCREDITATION
Is it Valid…… - Technical Evaluation
ISO 17025Accredited CalibrationAccredited Services
Emphasis – Problems & Technical Evaluation of What You Do Scope of A..
• Technical Review of What You Do• Examine Your Systems• Uncertainty of Measurement (not just pass / fail)
ISO 13485 – Medical Devices• CAPA• Adverse Effects• Control
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Kinds of Audit
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ISO 9001
• Quality Management System• Some Component• Early Observation….• CAPA follow up
Is it Effective ?- Quality Mgt.
Emphasis – Evaluate if Quality System is Effective for - SCOPE of ACCREDITATION
Is it Valid…… - Technical Evaluation
ISO 17025Accredited CalibrationAccredited Services
Emphasis – Problems & Technical Evaluation of What You Do Scope of A..
• Technical Review of What You Do• Examine Your Systems• Uncertainty of Measurement (not just pass / fail)
FDA
• Now Assume - You Are Fraudulent• Until You Can “Prove” Otherwise• Data Integrity (electronic data)• Independent Data Integrity Auditing
Is it Fraudulent ?
Emphasis – We don’t Trust / Believe You - EVIDENCE
ISO 13485 – Medical Devices• CAPA• Adverse Effects• Control
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PREPARE YOUR PEOPLE
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Prepare Your People
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Some inspectorsare HOSTILE,
“The Future ofthis site depends.. ”
ALL inspectors can be Intimidating…….
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Prepare Your People
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• BE CONFIDENT in what they say• ONLY answer questions on what they are knowledgeable• ONLY answer QUESTIONS ASKED (don’t provide additional information)
• SOME PEOPLE find audits very stressful and/or FIND 1 to 3 difficult
People who talk to the auditor must:
An inspector will:
• ASK you to describe…in your own words (to check you understand)• CHECK what you say Vs. the Standard Operating Procedure (SOP)• OBSERVE YOU doing the work• CHECK records of previous examples• CROSS-CHECK – with other departments• ASK QUESTIONS…
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Prepare Your People
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Everyday phrase …. Inspectors impression….
“I think this is what happens …”
“Normally, we would…..”
“That’s too expensive……”
“That’s not my problem…”
“To be honest…..”
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Prepare Your People
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Everyday phrase …. Inspectors impression….
“I think this is what happens …”
“Normally, we would…..”
“That’s too expensive……”
“That’s not my problem…”
“I would expect you to know whathappens …”
Care – this implies you don’t care
“So what happens when it’s notnormal …”
“If you can’t afford to have proper controls,you shouldn’t be doing this…”
“To be honest…..” Suggests you are not alwayshonest !
Provide a rational reason !
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Training
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Personnel – TrainingDocumented (Training File)Background / Experience (CV / Resume)GMP (Annual)Job / Task SpecificTraining Certificates“Testing” of Knowledge (Demonstration of Understanding)
Personnel must have the proper education, background, training and experience to perform their job function….
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INSTRUMENTATION
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4 Q Model for Instrument Qualification
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DQ IQ OQ PQDesign Qualification
Performance Qualification
Operational Qualification
Installation Qualification
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4 Q Model for Instrument Qualification
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DQ IQ OQ PQDesign Qualification
Performance Qualification
Operational Qualification
Installation Qualification
Does itWORK as YOU EXPECTED?
Has it beenINSTALLED
CORRECTLY?
There are no “Set Rules” on:
• WHAT – Some of The Stages Contain• HOW – Often an OQ should be Done• WHO – Performs Some of The Stages (OQ/PQ)
Does itMeet your USER
REQUIREMENTS?
Will itCONTINUE to work
CORRECTLY?
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What will an Auditor Look at ?
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DQ UseOQ
IQ Maintenance
Re-Qualification(Justification)
Breakdown
RepairRe-Qualification(Justification)
What do you want it to do:
- Write it down- Why is it suitable
Does it Work:
- Installed correctly- In your laboratory
What about:- The future
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What will an Auditor Look at ?
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DQ UseOQ
IQ Maintenance
Re-Qualification(Justification)
Breakdown
RepairRe-Qualification(Justification)
Is the Instrument Suitable for useAccuracy / UncertaintySensitivity / Science
Is it installedCorrectly
Is there an SOPAre people TrainedIs it Calibrated Method Validation
MaintenanceRoutine ?
Failure Mgt.Impact of FailureCAPA ?
Re-Qualification/ Calibration “As Found”
What do you want it to do:
- Write it down- Why is it suitable
Does it Work:
- Installed correctly- In your laboratory
What about:- The future
Audit Focus
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Laboratory Instrumentation …..
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Inventory Critical Instruments List
System URS DQ IQ OQ PQ Rationale Problems ActionsFT-IR
GC
HPLC
Dissolution
LC-MS
NIR
KF
pH Meters
Balances
……. etc • List all your “Critical Instruments” • Review the Qualification Status /
History (Maintenance / System Log Book) of Each Instrument
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Laboratory Instrumentation …..
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Inventory Critical Instruments List
System URS DQ IQ OQ PQ Rationale Problems ActionsFT-IR
GC
HPLC
Dissolution
LC-MS
NIR
KF
pH Meters
Balances
……. etc • List all your “Critical Instruments” • Review the Qualification Status /
History (Maintenance / System Log Book) of Each Instrument
QualificationRationale
AnyProblems ?
What is YourStrategy ?
User Requirements Specification/ Design Qualification
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Laboratory Instrumentation …..
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Inventory Critical Instruments List
System URS DQ IQ OQ PQ Rationale Problems ActionsFT-IR
GC
HPLC
Dissolution
LC-MS
NIR
KF
pH Meters
Balances
……. etc • List all your “Critical Instruments” • Review the Qualification Status /
History (Maintenance / System Log Book) of Each Instrument
QualificationRationale
AnyProblems ?
What is YourStrategy ?
User Requirements Specification/ Design Qualification
USP <1058> Includes Definitions of:• Roles:
• User• QA• Supplier
• Responsibilities• DQ / IQ / OQ / PQ
Work Flow Mapping / Data Integrity – Output to Source File…Independent “Data Integrity” Review – sample / checkData Integrity Detection Training
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Laboratory Instrumentation…. Status
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System URS DQ IQ OQCalib.
PQSSC
Rationale Problems Actions
FT-IR B test site…. Too Good !! Avoid in Audit ?
GC X X X USP, SSC URS, DQ, IQ Do OEM
HPLC X X Caffeine GAPS Do IQ Review
Dissolution OEM, USP Sets Std… USE in Audit
LC-MS X X X X X Non Routine From R & D Move
NIR X Calibration No URS Retrospective
KF X X X Daily Test IQ, PQ only System Suit.
pH Meters X X X X In House PQ only Hide !
Balances OEM Calib. Fail Review Results
……. etc ! ! X X Fragmented Mixture Panic !
= Present X = Absent
Rationale- Monitoring
AnyProblems ?
What is YourStrategy ?[about problems]
Does Your Laboratory Have These[or their equivalent steps ?]
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Laboratory Instrumentation…. Status
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Decisions – What do you do about…
System URS DQ IQ OQCalib.
PQSSC
Rationale Problems Actions
FT-IR B test site…. Too Good !! Avoid in Audit ?
GC X X X USP, SSC URS, DQ, IQ Do OEM
HPLC X X Caffeine GAPS Do IQ Review
Dissolution OEM, USP Sets Std… USE in Audit
LC-MS X X X X X Non Routine From R & D Move
NIR X Calibration No URS Retrospective
KF X X X Daily Test IQ, PQ only System Suit.
pH Meters X X X X In House PQ only Hide !
Balances OEM Calib. Fail Review Results
……. etc ! ! X X Fragmented Mixture Panic !
= Present X = Absent
Rationale- Monitoring
AnyProblems ?
What is YourStrategy ?[about problems]
Does Your Laboratory Have These[or their equivalent steps ?]
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Laboratory Instrumentation …
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People / Contacts
System “Owner” “User” “Expert” 2nd Expert Supplier (s)
FT-IR (1) Paul John Paul Derek A
GC (4) Clare Peter Ted Mark B
HPLC (11) James Mark Carole Mike A
Dissolution (1) Dave R John Derek Rob C
LC-MS (1) James R & D Mike Rob D
NIR (1) Paul Paul Paul Derek A
KF (3) James Andy Derek Mark E
pH Meters (2) Dave R Mark Mark Andrew E
Balances (6) Clare Richard Derek Andrew F
……. Etc…… Manager 7 5 4 7
Holiday Company Closed !Too Busy
Relationship with supplier – in an Audit…. (what would yours do ?)
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DATA INTEGRITY
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So, What is Data Integrity ?Data Integrity
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So, What is Data Integrity ?Data Integrity
Prove Your Data is Not Fraudulent !• You have it electronically• It is not tampered with• Implement reviews
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So, What is Data Integrity ?Data Integrity
Data
Prove Your Data is Not Fraudulent !
• ALCOA…. (understand)• Build lab workflow • Check results to electronic • Data integrity audits
• You have it electronically• It is not tampered with• Implement reviews
Data Traceability is EssentialIn Data Integrity….
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Example – Identification by FT-IR
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Sample
FT-IR SamplePreparation
InfraredSpectrum
SpectrumComparison
Result
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Example – Identification by FT-IR
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• ATR• Nujol Mull• KBr Disk• Film … Etc.
Only compare spectra recorded under the “same” conditions[equivalent scan and sample preparation
defined by Pharmacopeia Requirements]
Sample Preparation Influences:1. Spectrum Appearance2. Variability [Skill]3. Quality of Spectrum
[subjective decision]
• USP• EP• Registration• Procedures
Sample
FT-IR SamplePreparation
InfraredSpectrum
SpectrumComparison
Result
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Example – Identification by FT-IR
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• ATR• Nujol Mull• KBr Disk• Film … Etc.
Only compare spectra recorded under the “same” conditions[equivalent scan and sample preparation
defined by Pharmacopeia Requirements]
Spectrum Quality:[of the sample preparation – not the identification]
1. Is the Quality of the sample prep good enough ?
2. How managed / documented ?[ OOS for sample prep. or procedure explaining poor spectrum quality & how documented ]
Instrument Performance:[How Do You Manage It ?]1. Wavenumber [Accuracy]2. Resolution [of Instrument]3. Interference [contamination or water
vapour]4. Reproducibility [of Spectra – JP]5. % T [Scale – Not Linear]6. EP / JP / USP / IP / CP .. Etc.
Sample Preparation Influences:1. Spectrum Appearance2. Variability [Skill]3. Quality of Spectrum
[subjective decision]
• USP• EP• Registration• Procedures
Spectra – Do You:1. Saved electronically or2. Define print out as raw data[ FDA Data Integrity, Tamper Evident, Print Scan Conditions, Analyst… cGMP, Etc.]
Complete Data
Sample
FT-IR SamplePreparation
InfraredSpectrum
SpectrumComparison
Result
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Example – Identification by FT-IR
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• ATR• Nujol Mull• KBr Disk• Film … Etc.
Only compare spectra recorded under the “same” conditions[equivalent scan and sample preparation
defined by Pharmacopeia Requirements]
SpectralComparison:1. Electronically or2. Using Print Outs[ Reference material or Spectra ]
Spectrum Quality:[of the sample preparation – not the identification]
1. Is the Quality of the sample prep good enough ?
2. How managed / documented ?[ OOS for sample prep. or procedure explaining poor spectrum quality & how documented ]
Instrument Performance:[How Do You Manage It ?]1. Wavenumber [Accuracy]2. Resolution [of Instrument]3. Interference [contamination or water
vapour]4. Reproducibility [of Spectra – JP]5. % T [Scale – Not Linear]6. EP / JP / USP / IP / CP .. Etc.
Reference Spectra:1. Approval of FT-IR Identification Test2. Management of Suitability[ of the Reference spectra & Materials Used ]
File Management:Can Files Be:1. Re-named ?2. Manipulated ?3. Deleted ?
Sample Preparation Influences:1. Spectrum Appearance2. Variability [Skill]3. Quality of Spectrum
[subjective decision]
• USP• EP• Registration• Procedures
Spectra – Do You:1. Saved electronically or2. Define print out as raw data[ FDA Data Integrity, Tamper Evident, Print Scan Conditions, Analyst… cGMP, Etc.]
Complete Data
Sample
FT-IR SamplePreparation
InfraredSpectrum
SpectrumComparison
Result
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Example – Identification by FT-IR
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• ATR• Nujol Mull• KBr Disk• Film … Etc.
Only compare spectra recorded under the “same” conditions[equivalent scan and sample preparation
defined by Pharmacopeia Requirements]
SpectralComparison: 1. Electronically or2. Using Print Outs[ Reference material or Spectra ]
Spectrum Quality:[of the sample preparation – not the identification]
1. Is the Quality of the sample prep good enough ?
2. How managed / documented ?[ OOS for sample prep. or procedure explaining poor spectrum quality & how documented ]
Validation[for intended use]
Instrument Performance:[How Do You Manage It ?]1. Wavenumber [Accuracy]2. Resolution [of Instrument]3. Interference [contamination or water
vapour]4. Reproducibility [of Spectra – JP]5. % T [Scale – Not Linear]6. EP / JP / USP / IP / CP .. Etc.
Reference Spectra:1. Approval of FT-IR Identification Test2. Management of Suitability[ of the Reference spectra & Materials Used ]
Differences:1. How Manage and 2. Documented[ What level is significant ]
Training[& SOP]
File Management:Can Files Be:1. Re-named ?2. Manipulated ?3. Deleted ?
Sample Preparation Influences:1. Spectrum Appearance2. Variability [Skill]3. Quality of Spectrum
[subjective decision]
• USP• EP• Registration• Procedures
Spectra – Do You:1. Saved electronically or2. Define print out as raw data[ FDA Data Integrity, Tamper Evident, Print Scan Conditions, Analyst… cGMP, Etc.]
Complete Data
Sample
FT-IR SamplePreparation
InfraredSpectrum
SpectrumComparison
Result
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THE LABORATORY TOUR
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Plan The Lab. Tour
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Sample Receipt
Fume Hoods
LIMS
HPLC
KF
Sam
ple
Stor
age
/ Wei
ghin
g
Writ
e U
p
Writ
e U
p
Writ
e U
p
OfficeArea
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Plan The Lab. Tour
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Sample Receipt
Fume Hoods
LIMS
HPLC
KF
Sam
ple
Stor
age
/ Wei
ghin
g
Writ
e U
p
Writ
e U
p
Writ
e U
p
OfficeArea
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Plan The Lab. Tour
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Sample Receipt
Fume Hoods
LIMS
HPLC
KF
Sam
ple
Stor
age
/ Wei
ghin
g
Writ
e U
p
Writ
e U
p
Writ
e U
p
OfficeArea
Clipboard – with Flow Charts Sample Receipt – Paperwork Etc…
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Strategy For The Laboratory Tour
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Plan the Lab Tour Walk the route… Where would you “like” to stop ? Where will you explain your Instrument Control (Calibration)? What did your audit reveal ? Look in cupboards…! What is Visible – Housekeeping … Etc. Before the Audit – EMPTY Tree CYCLERS / Bins … Etc.
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Strategy For The Laboratory Tour
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Plan the Lab Tour Walk the route… Where would you “like” to stop ? Where will you explain your Instrument Control (Calibration)? What did your audit reveal ? Look in cupboards…! What is Visible – Housekeeping … Etc. Before the Audit – EMPTY Tree CYCLERS / Bins … Etc.
“…found unofficial batch records for approximately 75 batches of injectablefinished drug products torn in half in the waste area”
“ The investigator found a certificate of analysis (COA) for (b)(4) oz, lot number (b)(4), dated January 19, 2011, in a trash container in the office used by QC personnel ”
Care Over Material in Waste Bins !
ucm361928
ucm311326
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Questions ?
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Thank You!
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APPENDIXADDITIONAL INFORMATION
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During The Audit…
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As the audit progresses…… Concerns are documented by the Auditor (s):
• OOS• CAPA• …Etc
Flip ChartWall Chart…..
TheseAre Discussed
At the Daily “Wash Up”
The site will WORK on theseIssues - to try and get them
off the chart….
EstablishmentInspection
Report (EIR)Form 483
WarningLetter
2 Tier “Wash up” System
Inspector (s)• Valuable – if they will do• Limited the no of people• Plan Next Day• Clarify Concerns
Site / Company• Brief site management• Communication update – off site• What Went Well• Plan Next Day• Work on Concerns …..overnight
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Compliance - A Service Providers Perspective….
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We don’t supply to the US, so wedon’t have to worry about the FDA…..
Customer Statement Comments
We are an R&D laboratory, so wedon’t have to work to GMP
We have never had a problem withour paper qualification in audits before, so why should consider moving toelectronic now ?
Lab. Managers Will Often Say:
• Actually, you may have to…..• How familiar are you with the term “Mutual Recognition”
• Is your company involved in manufacturing generics• How is your company implementing QbD• Did you know QbD will be applied to methods• Appropriate GMP in R&D
• Data Integrity is a different kind of audit• A good audit is good news for a site, but a “perfect”
audit may not be ideal - as it’s harder to justify investment – do you ever find that a problem ?
• How do you justify new equipment / improvements
We use System Suitability, so wedon’t have to perform Qualificationor Calibration !
“Routine analytical tests do not constitute OQ testing”USP <1058>
- Justification Over Result Validity
Partnership Relationship Required….
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Who Owns The Audit Preparation ?
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IN OUR AUDITPLAN
• You NEED everyone to CARE about AUDIT PREPARATION ….• Motivation of Managers and all Personnel is Critical• The ability to motivate and inspire others is a Leadership Quality……
• The AUDIT PLAN is owned by the TEAM – NOT the MANAGER
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Example Sample Life Cycle….
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Electronic Vs. Paper
Sample Receipt
Booked into LIMS
Schedule Tests
Sample Preparation
Chromatograph Sample
Calculate Results
Compare Against Specification
Check / Report Results
“21 CFR Part 11 = Good Document Practice for Electronic Data”
Attributable[Who did it]
Legible[Can you read it]
Contemporaneous[Recorded in “Real Time”]
Original[Is it original]
Accurate[Is it Accurate]
Electronic Log Vs. Ink Signature
Print Vs. Handwriting
Electronic Log Vs. Written Data
Secure Electronic File Vs. Paper “Photocopy”
Validated Electronic Output Vs. Paper….
ElectronicVs. Paper
Greater Risk (easier to manipulate) ?More Secure
(harder to manipulate) ?
A
L
C
O
A
1.
2.
3.
4.
5.
6.
7.
8.
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Laboratory Instrument Check List
May 2, 2014
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• Qualificationo URS – Current Useo Vs Range of Useo Talk Through (VMP)
• Life Cycleo PMo Repairo Change
• Gap Analysis
• CAPA
• Impact
• Documentationo SOPo Calibrationo Trainingo USP Statuso Method Validation
• Appearanceo Clean – Leaks / Powdero Reagent Labelso Waste Containero Excessive Stickers
• Definitionso Dateso Critical Int.o Grace.....
•Day
•Week
•Month
• User / Expert
• Fail
• Holiday
• “Calibration” Historyo Status Labelling ?o On time / Gapso Recordso Log Book
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Knowledge Management
May 2, 2014
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Data
Data
Data
Data
Data
Data
Structure
Experience
• Store• Search • Organise
• Meaning
of the Audit Preparation Process
• Apply• Decisions
Information
Knowledge
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What Questions Will The FDA Ask – Software ?
May 2, 2014
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1. Do you have your source electronic data – or are your deleting it ?
2. Do you review your electronic source files ?
3. Does review include a review of meaningful metadata ?
4. Does your system configuration include clear segregation of duties ?
5. If “COTS” software – Is it validated for your intended use ?
- Independence of Administrator and User Roles, Shared Passwords… Etc.
- Authenticity of data
- Data integrity check – visibility of repeat work, integration and sequence files – data not reported
- Electronic files should be retained – they are the source data, paper is not
- Vendor documentation (including qualification) must be reviewed and may need augmenting