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Supported by
a sector group of
Presented by
The APIC Audit Programme
Thursday, 13 October 2005
Parallel SessionParallel Session
The APIC Audit The APIC Audit ProgrammeProgramme
presented byDr Tom Buggy, DSM-Anti-Infectives B.V., The Netherlands
Dr. Barbara Jentges, Concept GmbH, Germany
Supported by
a sector group of
Presented by
The APIC Audit Programme
• API GMP Audits – Regulatory Framework Directive 2001/83/EC as amended Restructuring of the EG GMP Guide API Audit expected by Competent Authorities in the Future?
• API GMP Audits - Need for Standardisation API GMP Audits – Problems with ... APIC/CEFIC Guidance Document APIC Auditing Guide
• Solution: The APIC AUDIT Programme Coordination by API Compliance Institute Steps in Managing an Audit Qualified and Certified Auditors Conclusions
• Discussion: Major Issues to look for in a GMP API Audit
The APIC Audit Programme – Overview
Supported by
a sector group of
Presented by
The APIC Audit Programme
• API GMP Audits – Regulatory Framework Directive 2001/83/EC as amended Restructuring of the EG GMP Guide API Audit expected by Competent Authorities in the Future?
• API GMP Audits - Need for StandardisationAPI GMP Audits - Need for Standardisation API GMP Audits – Problems with ... API GMP Audits – Problems with ... APIC/CEFIC Guidance Document APIC Auditing GuideAPIC/CEFIC Guidance Document APIC Auditing Guide
• Solution: The APIC AUDIT ProgrammeSolution: The APIC AUDIT Programme Coordination by API Compliance InstituteCoordination by API Compliance Institute Steps in Managing an Audit Steps in Managing an Audit Qualified and Certified AuditorsQualified and Certified Auditors ConclusionsConclusions
• Discussion: Major Issues to look for in a GMP API AuditDiscussion: Major Issues to look for in a GMP API Audit
The APIC Audit Programme – Overview
Supported by
a sector group of
Presented by
The APIC Audit Programme
_________*) see Consolidated Directive 2001/83/EC of the European Parliament and of the Council of 6 November 2001 on the Community code relating to medicinal Products for human use as amended by Directive 2002/98/EC, Directive 2004/24/EC and Directive 2004/27/EC and Commission Directive 2003/63/EC (amending Dir 2001/83/EC, e.g. replacing is Annex 1) and Consolidated Directive 2001/82/EC of the European Parliament and of the Council of 31 March 2004 amending Directive 2001/82/EC on the community code relating to veterinary medicinal products.
Prerequisite for placing on the market ...
QualityQuality
EfficacyEfficacy
SafetySafety
Placing on the Market *)
Chapter 1 Marketing Authorisation1. No medicinal product (veterinary product) may be placed on the market of a Member State unless a marketingauthorisation has been issued by theCompetent authorities of that Member State (...)“
Placing on the Market *)
Chapter 1 Marketing Authorisation1. No medicinal product (veterinary product) may be placed on the market of a Member State unless a marketingauthorisation has been issued by theCompetent authorities of that Member State (...)“
GMPGMP
API GMP Audits – Regulatory Framework
Supported by
a sector group of
Presented by
The APIC Audit Programme
Responsibilities of the ‚Holder of a MA‘ - 1 -
API GMP Audits – Regulatory Framework
For Medicinal Products for Human Use seeDirective 2001/83/EC as amendedArticle 46 (f) *)
‚The holder of a manufacturing authorisation shall at least be obliged(f) to comply with the principles and guidelines of good manufacturing practicefor medicinal products and to use as starting materials only active substances,which have been manufactured in accordance with the detailed guidelineson good manufacturing practice for starting materials.This point shall also be applicable to certain excipients, the list of which as well asthe specific conditions of application shall be established by a Directive adoptedby the Commission (...)‘‘
*) Citation from the Consolidated Directive 2001/83/EC of the European Parliament and of the Council of 6 November 2001 on the Community code relating to medicinal products for human use as amended by Directive 2002/98/EC, Directive 2004/24/EC and Directive 2004/27/EC______MA = Manufacturing Authorisation
For Medicinal Products for Human Use seeDirective 2001/83/EC as amendedArticle 46 (f) *)
‚The holder of a manufacturing authorisation shall at least be obliged(f) to comply with the principles and guidelines of good manufacturing practicefor medicinal products and to use as starting materials only active substances,which have been manufactured in accordance with the detailed guidelineson good manufacturing practice for starting materials.This point shall also be applicable to certain excipients, the list of which as well asthe specific conditions of application shall be established by a Directive adoptedby the Commission (...)‘‘
*) Citation from the Consolidated Directive 2001/83/EC of the European Parliament and of the Council of 6 November 2001 on the Community code relating to medicinal products for human use as amended by Directive 2002/98/EC, Directive 2004/24/EC and Directive 2004/27/EC______MA = Manufacturing Authorisation
Supported by
a sector group of
Presented by
The APIC Audit Programme
Responsibilities of the ‚Holder of a MA‘ - 2 -
For Veterinary Medicinal Products seeDirective 2001/82/EC as amended
Article 50 (f) *)
‚The holder of a manufacturing authorisation shall at least be obliged(f) to comply with the principles and guidelines of good manufacturing practicefor medicinal products and to use as starting materials only active substances,which have been manufactured in accordance with the detailed guidelineson good manufacturing practice for starting materials.
*) Citation from the Consolidated Directive 2001/82/EC of the European Parliament and of the Council of 6 November 2001 on the Community code relating to veterinary medicinal products as amended byDirective 2004/28/EC.______MA = Manufacturing Authorisation
For Veterinary Medicinal Products seeDirective 2001/82/EC as amended
Article 50 (f) *)
‚The holder of a manufacturing authorisation shall at least be obliged(f) to comply with the principles and guidelines of good manufacturing practicefor medicinal products and to use as starting materials only active substances,which have been manufactured in accordance with the detailed guidelineson good manufacturing practice for starting materials.
*) Citation from the Consolidated Directive 2001/82/EC of the European Parliament and of the Council of 6 November 2001 on the Community code relating to veterinary medicinal products as amended byDirective 2004/28/EC.______MA = Manufacturing Authorisation
API GMP Audits – Regulatory Framework
Supported by
a sector group of
Presented by
The APIC Audit Programme
Responsibilities of the Distributors - 1 -
For Medicinal Products for Human Use seeDirective 2001/83/EC as amendedArticle 46a *)
1. ‚For the purposes of this Directive, manufacture of active substances used asstarting materials shall include both total and partial manufacture or import ofan active substance used as a starting material as defined in Part I, point 3.2.1.1 (b) Annex I**), and the various processes of dividing up, packaging orpresentation prior to its incorporation into a medicinal product, including repackaging or re-labelling, such as are carried out by distributor of startingmaterials.‘*) Citation from the Consolidated Directive 2001/83/EC of the European Parliament and of the Council of 6 November 2001 on the Community code relating to medicinal products for human use as amended by Directive 2002/98/EC, Directive 2004/24/EC and Directive 2004/27/EC**) see Annex I of Commission Directive 2003/63/EC of 25 June 2003, amending Directive 2001/83/EC of the European Parliament and of the Council on the Community code relating to medicinal products for human use.
For Medicinal Products for Human Use seeDirective 2001/83/EC as amendedArticle 46a *)
1. ‚For the purposes of this Directive, manufacture of active substances used asstarting materials shall include both total and partial manufacture or import ofan active substance used as a starting material as defined in Part I, point 3.2.1.1 (b) Annex I**), and the various processes of dividing up, packaging orpresentation prior to its incorporation into a medicinal product, including repackaging or re-labelling, such as are carried out by distributor of startingmaterials.‘*) Citation from the Consolidated Directive 2001/83/EC of the European Parliament and of the Council of 6 November 2001 on the Community code relating to medicinal products for human use as amended by Directive 2002/98/EC, Directive 2004/24/EC and Directive 2004/27/EC**) see Annex I of Commission Directive 2003/63/EC of 25 June 2003, amending Directive 2001/83/EC of the European Parliament and of the Council on the Community code relating to medicinal products for human use.
API GMP Audits – Regulatory Framework
Supported by
a sector group of
Presented by
The APIC Audit Programme
Responsibilities of the Distributors - 2 -
For Veterinary Medicinal Products seeDirective 2001/82/EC as amendedArticle 50a *)
1. ‚For the purposes of this Directive, manufacture of active substances used asstarting materials shall include the complete or partial manufacture or the import of an active substance used as a starting material as defined in Part 2, Section C of Annex I, and the various processes of dividing up, packaging orpresentation prior to its incorporation in a veterinary medicinal product, including repackaging or re-labelling, such as are carried out by a starting material distributor.‘
*) Citation from the Consolidated Directive 2001/82/EC of the European Parliament and of the Council of 6 November 2001 on the Community code relating to veterinary medicinal products as amended byDirective 2004/28/EC.
For Veterinary Medicinal Products seeDirective 2001/82/EC as amendedArticle 50a *)
1. ‚For the purposes of this Directive, manufacture of active substances used asstarting materials shall include the complete or partial manufacture or the import of an active substance used as a starting material as defined in Part 2, Section C of Annex I, and the various processes of dividing up, packaging orpresentation prior to its incorporation in a veterinary medicinal product, including repackaging or re-labelling, such as are carried out by a starting material distributor.‘
*) Citation from the Consolidated Directive 2001/82/EC of the European Parliament and of the Council of 6 November 2001 on the Community code relating to veterinary medicinal products as amended byDirective 2004/28/EC.
API GMP Audits – Regulatory Framework
Supported by
a sector group of
Presented by
The APIC Audit Programme
Article 47*) / Article 51**)
‚The principles of good manufacturing practice for active substances used a starting materials referred to in point (f) of Article 46 (in Article 50(f)) shall be adopted in the form of detailed guidelines.
*) Citation from the Consolidated Directive 2001/82/EC of the European Parliament and of the Council of 6 November 2001 on the Community code relating to veterinary medicinal products as amended byDirective 2004/28/EC.**) Citation from the Consolidated Directive 2001/83/EC of the European Parliament and of the Council of 6 November 2001 on the Community code relating to medicinal products for human use as amended by Directive 2002/98/EC, Directive 2004/24/EC and Directive 2004/27/EC
Article 47*) / Article 51**)
‚The principles of good manufacturing practice for active substances used a starting materials referred to in point (f) of Article 46 (in Article 50(f)) shall be adopted in the form of detailed guidelines.
*) Citation from the Consolidated Directive 2001/82/EC of the European Parliament and of the Council of 6 November 2001 on the Community code relating to veterinary medicinal products as amended byDirective 2004/28/EC.**) Citation from the Consolidated Directive 2001/83/EC of the European Parliament and of the Council of 6 November 2001 on the Community code relating to medicinal products for human use as amended by Directive 2002/98/EC, Directive 2004/24/EC and Directive 2004/27/EC
Detailed Guidelines on GMP for APIs
Annex 18 of EG GMP Guide
API GMP Audits – Regulatory Framework
Supported by
a sector group of
Presented by
The APIC Audit Programme
In order to fulfil the requirements laid down in article 47 of Directive 2001/83/EC as amended by Directive 2004/27/EC (relating to human medicinal products) and Article 51 of Directive 2001/82/EC as amended by Directive 2004/28/EC (relating to veterinary medicinal products), the Member States have now agreed – after discussion at EMEA’s ad hoc inspections Services group – that ‘Annex 18 will no longer be considered as annex, but it will form a new, Part II of the EU GMP Guide’ (see Ad Hoc GMP Inspections Services, Concept Paper on the revision of some annexes to the European GMP Guide in the context of the GMP for active substances, May 2005).
Within this restructuring the EU GMP Guide will be presented in 2 Parts: Part I dealing with finished products Part II dealing with active substances used as starting materials
(applicable for medicinal products for both, human and veterinary use).
Restructuring of EU GMP Guide - 1 -
API GMP Audits – Regulatory Framework
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a sector group of
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The APIC Audit Programme
Annex 18 EG GMP Guide: Good Manufacturing Practice for Active Pharmaceutical Ingredients
1.3 ScopeThis Guide applies to the manufacture of APIs for use in human drug
(medicinal) products.
Draft revision of the introductory section of the current GMP annex 18. (According to that, the current Annex 18
is foreseen to become Basic Requirements Part II, while thecurrent Basic Requirements are to become Part I).
1.2 ScopeThese guidelines apply to the manufacture of active substances for medicinal
products for both human and veterinary use with the exception of ectoparaciticides.
Restructuring of EU GMP Guide - 2 -
API GMP Audits – Regulatory Framework
Supported by
a sector group of
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The APIC Audit Programme
Need for Supplier Qualification
Good Manufacturing PracticesChapter 5 – Production
(from: The rules governing medicinal products in theEuropean Union, Volume 4, Good Manufacturing Practices; http://dg3.eudra.org)
API GMP Audits – Regulatory Framework
Supported by
a sector group of
Presented by
The APIC Audit Programme
GMP Audits – Tool for Supplier Qualification
Good Manufacturing PracticesChapter 5 – Production
(from: The rules governing medicinal products in theEuropean Union, Volume 4, Good Manufacturing Practices; http://dg3.eudra.org)Conducting a GMP Audit is
a major tool forsupplier qualification and gives
information about the GMP status
Conducting a GMP Audit is a major tool for
supplier qualification and gives information about the GMP status
API GMP Audits – Regulatory Framework
Supported by
a sector group of
Presented by
The APIC Audit Programme
API GMP Audits – Regulatory Framework
Draft Guidance on the occasions when it is appropriate for CompetentAuthorities to conduct inspections at the premises of Manufacturers of Active Substances used as starting materials
Principle‚(...) When an application for a marketing authorisation, or variation to change or add a new active substances manufacturer, is submitted, the applicant will be required to include a declaration from the manufacturing authorisation holderthat the active substance(s) concerned has/have been manufactured in accordance with the detailed guidelines on good manufacturing practicefor starting materials.‘
*) Citation from Draft Guidance on the occasions when it is appropriate for Competent Authorities to conduct inspections at the premises of Manufacturers of Active Substances used as starting materials; http://dg3.eudra.org/F2/pharmacos/docs/Doc2005/03_05/ASM%20Inspections%20Guidance%20_final_20050303.pdf)
Draft Guidance on the occasions when it is appropriate for CompetentAuthorities to conduct inspections at the premises of Manufacturers of Active Substances used as starting materials
Principle‚(...) When an application for a marketing authorisation, or variation to change or add a new active substances manufacturer, is submitted, the applicant will be required to include a declaration from the manufacturing authorisation holderthat the active substance(s) concerned has/have been manufactured in accordance with the detailed guidelines on good manufacturing practicefor starting materials.‘
*) Citation from Draft Guidance on the occasions when it is appropriate for Competent Authorities to conduct inspections at the premises of Manufacturers of Active Substances used as starting materials; http://dg3.eudra.org/F2/pharmacos/docs/Doc2005/03_05/ASM%20Inspections%20Guidance%20_final_20050303.pdf)
Competent Authorities expect API Audits - 1-
Supported by
a sector group of
Presented by
The APIC Audit Programme
API GMP Audits – Regulatory Framework
Draft Guidance on the occasions when it is appropriate for CompetentAuthorities to conduct inspections at the premises of Manufacturers of Active Substances used as starting materials
Principle‚It is expected that the holder of the manufacturing authorisation will basesuch a declaration on carrying out, or having carried out on his behalf,an audit of the manufacturers/distributors of the active substances concerned. Examinination, by inspectors, of the audit programmes usedby authorisation holders for conducting regular audits (every 2 – 3 years))including review of audit reports, is one of the primary means by whichCompetent Authorities will determine if manufacturing authorisationholders are in compliance with the above articles (...)‘
*) Citation from Draft Guidance on the occasions when it is appropriate for Competent Authorities to conduct inspections at the premises of Manufacturers of Active Substances used as starting materials; http://dg3.eudra.org/F2/pharmacos/docs/Doc2005/03_05/ASM%20Inspections%20Guidance%20_final_20050303.pdf)
Draft Guidance on the occasions when it is appropriate for CompetentAuthorities to conduct inspections at the premises of Manufacturers of Active Substances used as starting materials
Principle‚It is expected that the holder of the manufacturing authorisation will basesuch a declaration on carrying out, or having carried out on his behalf,an audit of the manufacturers/distributors of the active substances concerned. Examinination, by inspectors, of the audit programmes usedby authorisation holders for conducting regular audits (every 2 – 3 years))including review of audit reports, is one of the primary means by whichCompetent Authorities will determine if manufacturing authorisationholders are in compliance with the above articles (...)‘
*) Citation from Draft Guidance on the occasions when it is appropriate for Competent Authorities to conduct inspections at the premises of Manufacturers of Active Substances used as starting materials; http://dg3.eudra.org/F2/pharmacos/docs/Doc2005/03_05/ASM%20Inspections%20Guidance%20_final_20050303.pdf)
Competent Authorities expect API Audits - 2-
Supported by
a sector group of
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The APIC Audit Programme
Emphasis on Compliance
MAA*)
GMP-Documentation
_______________________*) Marketing Authorisation Applicaton and accompanying documents
API Manufacture
Regulatory Compliance?
API GMP Audits – Regulatory Framework
Supported by
a sector group of
Presented by
The APIC Audit Programme
• API GMP Audits – Regulatory FrameworkAPI GMP Audits – Regulatory Framework Directive 2001/83/EC as amendedDirective 2001/83/EC as amended Restructuring of the EG GMP GuideRestructuring of the EG GMP Guide API Audit expected by Competent Authorities in the Future?API Audit expected by Competent Authorities in the Future?
• API GMP Audits - Need for Standardisation API GMP Audits – Problems with ... APIC/CEFIC Guidance Document APIC Auditing Guide
• Solution: The APIC AUDIT ProgrammeSolution: The APIC AUDIT Programme Coordination by API Compliance InstituteCoordination by API Compliance Institute Steps in Managing an Audit Steps in Managing an Audit Qualified and Certified AuditorsQualified and Certified Auditors ConclusionsConclusions
• Discussion: Major Issues to look for in a GMP API AuditDiscussion: Major Issues to look for in a GMP API Audit
The APIC Audit Programme – Overview
Supported by
a sector group of
Presented by
The APIC Audit Programme
WHO GMP Guideline – Chapter 5 General advice on how to conduct audits in pharmaceutical companies
Principle Items for Self-inspection Frequency of Self-inspection Follow-up Action Quality Audit Supplier Audit
Guidance for conducting GMP Audits
API GMP Audits – Regulatory Framework
Supported by
a sector group of
Presented by
The APIC Audit Programme
ISO 19011:2002 Guidelines for quality and/or environment
management systems auditingThis international standard provides guidance on the management of audit programmes, the conduct of internal or external audits of quality and/or environmental management systems, as well as on the competence and evaluation of auditors. It is intended to apply to a broad range of potential users, including auditors, organizations implementing quality and/or environmental management systems, organisations needing to conduct audits of quality and/or environmental management systems for contractual reasons, and organizations involved in auditor certification or training, in certification/registration of management systems, in accreditation or in standardization in the area of conformity assessment.
Standard for Quality Audits
API GMP Audits – Regulatory Framework
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a sector group of
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Problems may arise from ... - 1 -
Audit preparation!??
Flow chart of audit activities
API GMP Audits – Need for Standardisation
... a lack of standardisation for planning, conducting, and documenting the audit observations.
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a sector group of
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The APIC Audit Programme
EDQM Inspection
Problems may arise from ... - 2 -
Audit Plan
2006
Audits/Inspections expected from:
Customers
Authorities, e.g. FDA,
EDQM, EMEA
etc.
API GMP Audits – Need for Standardisation
... an audit overflow
Supported by
a sector group of
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The APIC Audit Programme
Is the documented
cleaning validation sufficient?
Does this water quality
fulfil therequirements
?
Problems may arise from ... - 3 -
API GMP Audits – Need for Standardisation
... untrained and helpless auditors
Supported by
a sector group of
Presented by
The APIC Audit Programme
Problems may arise from ... - 4 -
API GMP Audits – Need for Standardisation
... unqualified conclusions documented in the audit report
Supported by
a sector group of
Presented by
The APIC Audit Programme
API GMP Audits – Need for Standardisation
Problems may arise from ... - 5 -
... unqualified conclusions documented in the audit report
Supported by
a sector group of
Presented by
The APIC Audit Programme
API GMP Audits – Need for Standardisation
Problems may arise from ... - 6 -
... unqualified conclusions documented in the audit report
Supported by
a sector group of
Presented by
The APIC Audit Programme
ACTIVE PHARMACEUTICAL INGREDIENTS COMMITTEE (APIC)
Auditing Guide
API GMP Audits – Need for Standardisation
Solution: APIC Auditing Guide
APIC Auditing Guide(including 4 Annexes):
– Secrecy Agreement– Questionnaire– Aide Memoire– Audit Report
August 2002
Supported by
a sector group of
Presented by
The APIC Audit Programme
http://apic.cefic.orghttp://apic.cefic.org
Supported by
a sector group of
Presented by
The APIC Audit Programme
• API GMP Audits – Regulatory FrameworkAPI GMP Audits – Regulatory Framework Directive 2001/83/EC as amendedDirective 2001/83/EC as amended Restructuring of the EG GMP GuideRestructuring of the EG GMP Guide API Audit expected by Competent Authorities in the Future?API Audit expected by Competent Authorities in the Future?
• API GMP Audits - Need for StandardisationAPI GMP Audits - Need for Standardisation API GMP Audits – Problems with ... API GMP Audits – Problems with ... APIC/CEFIC Guidance Document APIC Auditing GuideAPIC/CEFIC Guidance Document APIC Auditing Guide
• Solution: The APIC AUDIT Programme Coordination by API Compliance Institute Steps in Managing an Audit Qualified and Certified Auditors Conclusions
• Discussion: Major Issues to look for in a GMP API AuditDiscussion: Major Issues to look for in a GMP API Audit
The APIC Audit Programme – Overview
Supported by
a sector group of
Presented by
The APIC Audit Programme
APIC Audit Programme is the realisation of the APIC Auditing Guide
Supported by
a sector group of
Presented by
The APIC Audit Programme
Coordination of the APIC Audit Programme
For the purpose of managing the auditsIn the framework of the APIC audit Programme, the ‚API Compliance
Institute‘ was founded on 19 Dec 2002
http://www.api-compliance.org
For the purpose of managing the auditsIn the framework of the APIC audit Programme, the ‚API Compliance
Institute‘ was founded on 19 Dec 2002
http://www.api-compliance.org
The APIC Audit Programme
Supported by
a sector group of
Presented by
The APIC Audit Programme
Standardized GMP Audits in compliance with the
principles laid down in the CEFIC/APIC Auditing Guide Experienced and trained auditors that are registered as
APIC certified auditors Standardized process for preparing and conducting audits Release of audit report
Controlled Costs Standardized audit costs
What are the aims?
The APIC Audit Programme
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a sector group of
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The APIC Audit Programme
Steps in Managing an Audit
Pre Audit Information Preparation of the Audit Performing the Audit Reporting and Response Follow up Possible Breakdown
Phases of an Audit
The APIC Audit Programme
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a sector group of
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The APIC Audit Programme
Appendix A: Secrecy Agreement
§ 1 The purpose of disclosure of the information is to enable the Auditors to conduct their audit in the facilities of the customer with a view into the quality related procedures.
§ 2The Auditor herewith declares his independence and assures the Auditee of not being employed or supported by a competing company of the Auditee.
§ 3The audit will be conducted in a way that is in accordance with the European Competition Law. It has to be taken care during the audit that no sensitive and/or technical information is given to the Auditors if the latter are working for a competing company. The Auditee reserves the right to refuse to disclose requested confidential information by the Auditor.
Purpose of this agreement is to protect theknowledge of the auditee to not be abused
by the auditor.
Purpose of this agreement is to protect theknowledge of the auditee to not be abused
by the auditor.
The APIC Audit Programme
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a sector group of
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The APIC Audit Programme
Appendix B: Pre-Audit Questionnaire... It is the purpose of the questionnaire to facilitate the preparation of the auditors for the audit at your company and to make it as efficient as possible. (...) Every information provided (...) will be treated strictly confidential ...
Chapters of Appendix B:
A. General Information about the companyB. Quality related informationC. Product related informationD. GMP related informationE. Comments from the auditeeF. Requested documents (e.g. CEP, DMF)
Chapters of Appendix B:
A. General Information about the companyB. Quality related informationC. Product related informationD. GMP related informationE. Comments from the auditeeF. Requested documents (e.g. CEP, DMF)
The APIC Audit Programme
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a sector group of
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The APIC Audit Programme
Appendix C: Aide Mémoire
General remark Chapters 1 to 19 of this Aide Mémoire refer to the appropriate chapters of ICH Q7a. Chapter 20 relates to aspects of Quality Management Systems according to ISO.
General remark Chapters 1 to 19 of this Aide Mémoire refer to the appropriate chapters of ICH Q7a. Chapter 20 relates to aspects of Quality Management Systems according to ISO.
The APIC Audit Programme
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a sector group of
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The APIC Audit Programme
Appendix D: Audit Report Template - 1 -
The APIC Audit Programme
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The APIC Audit Programme
UrgencyClassification rating
The condition will seriously affect the quality of products, regulatory compliance. The condition violates essential GMP-rules and basic quality assurance practices. Immediate action should be taken.Example: Violation of regulatory documents, e.g. DMF or CEP. All observations that will lead to failure of an authority inspection.
The condition may affect the quality of the product, regulatory compliance. The condition violates GMP-rules and quality assurance practices. Action is recommended.Example: Not following own procedures and SOPs.
The condition may not affect the quality of the product, , regulatory compliance. The condition violates current GMP-rules.Example: Violation of formal aspects of documentation, e.g. missing sugnature in batch record
RRecommendation for quality, safety or efficiency improvement. No GMP violation.Example: Industry best practices, e.g. APIC How to do ICH Q7a - Document
Appendix D: Audit Report Template - 2 -
Serious
Major
Minor
Recommendations
Key for Classification of observations
The APIC Audit Programme
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a sector group of
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The APIC Audit Programme
Participation Voluntary basis Open to all API manufacturers, API
contract manufacturers, contract laboratories, API traders world-wide
Who can participate?
The APIC Audit Programme
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a sector group of
Presented by
The APIC Audit Programme
IMPORTANT:The auditee is free to use the audit
report without limitations.The audit report can not be received by(and/or bought from) APIC or Concept!
IMPORTANT:The auditee is free to use the audit
report without limitations.The audit report can not be received by(and/or bought from) APIC or Concept!
Supported by
a sector group of
Presented by
The APIC Audit Programme
Prerequisites for conducting an audit:
• Educational background and professional experience• Participation in special Auditor
Training Courses Auditor Seminar Refresher Seminar
• Valid contract between auditor CONCEPT HEIDELBERG
• Certification as APIC Auditor
Qualified and certified Auditors
The APIC Audit Programme
Supported by
a sector group of
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The APIC Audit Programme
Educational Background and Experience
Educational Background and Experience
Participation in the Auditor Seminar
Participation in the Auditor Seminar
Database with Qualified APIC Auditors
Database with Qualified APIC Auditors
Participation in Refresher Seminar within 3 years after qualifying as APIC auditor Valid Contract with Concept Heidelberg
Participation in Refresher Seminar within 3 years after qualifying as APIC auditor Valid Contract with Concept Heidelberg
Selection for execution of
an audit
Selection for execution of
an audit
Database with Certified
APIC Auditors
Database with Certified
APIC Auditors
Interested PersonInterested Person
Qualified vs Certified Auditors
The APIC Audit Programme
Important: Employees of authority and/orgovernment can’t be certified as APIC
Auditors because of conflict of interests !!
Important: Employees of authority and/orgovernment can’t be certified as APIC
Auditors because of conflict of interests !!
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Practical Part
The APIC Audit Programme
Auditors (First qualification seminars in January 2003):
- 40 qualified Auditors
- 13 certified Auditors
Conducted Audits so far (all of them were initiated by API manufacturers):
- 1 Pilot Audit conducted in September 2003
- 3 Audits in 2004
- further audits are being conducted in 2005
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a sector group of
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The APIC Audit Programme
Critical Remarks
The APIC Audit Programme
API manufacturers are not sure whether the pharmaceutical industry and the authorities will accept these audit reports for their supplier qualification.
The pharmaceutical companies on the other hand have their own audit policy and internal staff who is responsible for conducting supplier audits
More information is needed about the advantages of the APIC Audit Programme communicated to both, the pharmaceutical industry and the authorities.
Supported by
a sector group of
Presented by
The APIC Audit Programme
• API GMP Audits – Regulatory FrameworkAPI GMP Audits – Regulatory Framework Directive 2001/83/EC as amendedDirective 2001/83/EC as amended Restructuring of the EG GMP GuideRestructuring of the EG GMP Guide API Audit expected by Competent Authorities in the Future?API Audit expected by Competent Authorities in the Future?
• API GMP Audits - Need for StandardisationAPI GMP Audits - Need for Standardisation API GMP Audits – Problems with ... API GMP Audits – Problems with ... APIC/CEFIC Guidance Document APIC Auditing GuideAPIC/CEFIC Guidance Document APIC Auditing Guide
• Solution: The APIC AUDIT ProgrammeSolution: The APIC AUDIT Programme Coordination by API Compliance InstituteCoordination by API Compliance Institute Steps in Managing an Audit Steps in Managing an Audit Qualified and Certified AuditorsQualified and Certified Auditors ConclusionsConclusions
• Discussion: Major Issues to look for in a GMP API Audit
The APIC Audit Programme – Overview
Supported by
a sector group of
Presented by
The APIC Audit Programme
Major Issues to look for in a GMP API Audit
Discussion
Question:
What are the major issues to look for in a GMP Audit of an API Manufacturer?
Supported by
a sector group of
Presented by
The APIC Audit Programme
• API GMP Audits – Regulatory FrameworkAPI GMP Audits – Regulatory Framework Directive 2001/83/EC as amendedDirective 2001/83/EC as amended Restructuring of the EG GMP GuideRestructuring of the EG GMP Guide API Audit expected by Competent Authorities in the Future?API Audit expected by Competent Authorities in the Future?
• API GMP Audits - Need for API GMP Audits - Need for StandardisationStandardisation API GMP Audits – Problems with ... API GMP Audits – Problems with ... APIC/CEFIC Guidance Dcoument APIC Auditing GuideAPIC/CEFIC Guidance Dcoument APIC Auditing Guide
• Solution: The APIC AUDIT ProgrammeSolution: The APIC AUDIT Programme Coordination by API Compliance InstituteCoordination by API Compliance Institute Steps in Managing an AuditSteps in Managing an Audit Qualified and Certified AuditorsQualified and Certified Auditors ConclusionsConclusions
The APIC Audit Programme – Overview
Thank you for your attention.