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GMP CHECKLIST
(Based on WHO Good Manufacturing Practices (GMP) for active pharmaceutical ingredients stated as per
Annex 2- WHO Technical report Series(TRS), No. 957, 2010; Good Manufacturing Practice guide for
Active Pharmaceutical Ingredients ICH Harmonised Triplicate Guideline stated as per ICH Q9; and GMP
requirements as per Directives No. 2001/83/EC latest amended vide Directive 2011/62/EU)
1
1.1
2
2.1
2.2
2.3
Self appraisal to
be filled by the
manufacturer
along with all
details (yes or no
type reply will not
be acceptable)
Observations to
be noted by the
inspecting team
at the time of
inspection
Remarks
Page 1
2.4
2.5
2.6
2.7
2.8
Page 2
2.9
2.10
3
3.1
3.2
3.3
4
4.1
Page 3
4.2
5
5.1
5.2
5.3
5.4
5.5
5.6
5.7
5.8
Page 4
5.9
5.10
5.11
5.12
5.13
5.14
5.15
5.16
Page 5
5.17
5.18
5.19
5.20
5.21
6
6.1
6.2
Page 6
6.3
6.4
7
7.1
7.2
7.3
7.4
Page 7
8
8.1
8.2
8.3
8.4
8.5
8.6
Page 8
8.7
8.8
8.9
8.10
9
9.1
9.2
9.3
9.4
9.5
9.6
9.7
10
Page 9
10.1
10.2
10.3
10.4
10.5
10.6
10.7
10.8
Page 10
11
11.1
11.2
11.3
11.4
11.4.1
11.4.2
11.4.3
11.4.4
11.4.5
11.4.6
11.4.7
Page 11
11.4.8
11.4.9
11.4.10
11.4.11
11.4.12
11.4.13
11.4.14
11.4.15
11.4.16
11.4.17
11.5
11.5.1
11.5.2
Page 12
11.5.3
11.5.3
11.5.4
12
12.1
12.2
12.3
12.4
12.5
12.6
12.7
12.8
12.9
12.10
12.11
12.12
Page 13
12.13
12.14
12.15
12.16
12.17
13
13.1
13.2
13.3
13.4
13.5
13.6
Page 14
13.7
13.8
13.9
14
14.1
14.2
14.3
14.4
14.5
15
15.1
15.2
Page 15
15.3
15.4
15.5
15.6
15.7
15.8
15.9
15.10
16
16.1
16.2
16.3
16.4
16.5
Page 16
17
17.1
17.2
17.3
17.4
17.5
18
18.1
18.2
18.3
18.4
18.5
18.6
18.7
18.8
18.9
18.10
Self Inspection and Quality Audit: Whether the firm has constituted a
self inspection team supplemented
with a quality audit procedure to
evaluate that GMP is being
followed. If no. How internal audits
are carried out.
What is the system of monitoring,
evaluation of self inspection.
How conclusion and recommended
correcting actions are followed and
adopted.
What is the frequency of selfinspection.
Is there any proforma for carrying
out the self-inspection.
Please indicate the date of last selfinspection.
Quality Control System: Please specify the details of quality
control system of the unit.
How the reference standards are
stored, evaluated and maintained.
Please provide list of reference
standard and reference impurities
procured from the authentic sources.
Please specify the procedures of
preparation of working standard
from the reference standards.
Whether SOPs for sampling,
inspecting, testing of Raw Materials,
Finish products, Packing Materials
and for monitoring environmental
conditions are available.
Whether approved specifications for
different materials, products,
reagents, solvents including test of
identity content, purity and quality
available.
How reference samples from each
batch of the products are maintained.
Who releases batch of the products
for sale
Whether there is check list for
release of a batch. Please specify
current SOP No. for batch release.
Please specify the sampling
procedures from various stages of
production.
How it is ensured that the sample
collected are representative of the
whole batch.
Page 17
18.11
18.12
18.13
18.14
18.15
18.16
18.17
18.18
18.19
18.20
18.21
18.22
18.23
19
19.1
Page 18
19.2
20
20.1
20.2
20.3
Page 19
21
21.1
Page 20
22
22.1
22.2
Page 21
23
24
24.1
25
25.1
Page 22
26
26.1
26.2
26.3
26.4
26.5
27
27.1
27.2
27.3
27.4
27.5
27.6
27.7
28
28.1
being performed?
Distribution records
Whether pre dispatch inspections are
carried out before release.
Whether periodic audits of
distribution center are carried out to
access warehousing practices
Whether distribution records are part
of the batch record. If not how batch
wise distribution record up to retail
levels are maintained.
Whether instruction for warehousing
and stocking of products like LVPs,
Heat sensitive etc are available in
store.
Whether Good Distribution
Practices followed
Validation and Process
Validation: Specify the validation policy of the
company.
Whether validation master plan has
been prepared.
Whether validation studies of
processing, testing and cleaning
procedures are conducted as per pre
defined protocol.
How records and conclusion of such
validation studies are prepared and
maintained.
Whether master formula is based on
approved process validation.
Specify how significant changes to
the manufacturing process
equipments material etc are
controlled.
Whether DQ,IQ,OQ & PQ are in
place for all major equipment and
facility.
Whether validation records of all
utilities and major equipments are
available.
Product Recalls: Specify the product recall system
followed by the firm.
How promptly recall operation at the
level of each distribution channel
up-to the retail level can be carried
out.
Whether there is a SOP for recall of
products clearly defining
responsibility, procedure, reporting,
Page 23
29
29.1
29.2
29.3
29.4
30
30.1
30.2
30.3
30.4
30.5
30.6
30.7
30.8
30.9
30.10
30.11
30.12
re-conciliation etc.
Complaints and Adverse Reactions:
Specify the review system for
complaints concerning the quality of
products.
How records of complaint
maintained.
Whether reports of serious
complaints with comments and
documents immediately sent to
Licensing Authority
Is there any criteria for action to be
taken on the basis of nature of
complaint.
Site Master file: Whether all the relevant information
have been included in the site master
file.
Whether quality policy has been
included in the site master file.
Please attach the current version
Is there a master plan (Master
validation plan) covering:
Resources and those responsible for
its implementation.
Identification of the systems and
processes to be validated
Documentation and standard
operating procedures (SOPs), Work
Instructions and Standards
(applicable national and
international standards)
Validation list: facilities, processes
(e.g. aseptic filling), products
Key approval criteria
Protocol format
Each validation activity, including
re-validation and reasonable
unforeseen events (power failures,
system crash and recovery, filter
integrity failurer. Please attach
validation calendar.
Pls specify whether the critical
processes validated Prospectively,
retrospectively or concurrently.
Whether validation of following
performed and documented:
Analytical methods, Production and
assay equipment, Sterile production
processes, Non-sterile production
processes, Cleaning procedures,
Critical support systems (purified
Page 24
30.13
30.14
30.15
30.16
31
31.1
31.2
31.3
Page 25
31.4
31.5
31.5.1
31.5.2
31.5.3
32
32.1
32.2
32.3
Page 26
32.4
32.5
32.6
33
33.1
33.2
33.3
33.4
33.5
34
34.1
34.2
(SOPs), Responsibilities,
Qualification acceptance criteria,
Data recording and reporting.
Whether report contains Summary,
Description of performed
tests/assays, Obtained data tables,
Results, Conclusions, Revision and
approval signatures.
Whether equipment performance
qualification (PQ) protocols contains
followings: Introduction,
Responsibilities, Performed assays,
Qualification acceptance criteria,
Data recording and reporting.
Whether report contains Summary,
Description of performed
tests/assays, Obtained data tables,
Results, Conclusions, Revision and
approval signatures.
Whether Preventive Maintenance
Schedule of the equipments is
followed and records available?
Analytical Method Validation
Please specify whether following
Characteristics are considered
during validation of analytical
methods:
specificity
linearity
range
accuracy
precision
detection limit
quantitation limit
Robustness.
Whether Paharmocopial methods are
also validated. If yes, how.
Whether system suitable testing is
included in testing protocols e.g.
HPLC, GC etc.
Whether the procedure covers all
aspects of impurity profiling
required
Whether procedure covers all
aspects of Organic Volatile
Impurities detection and
quantification
CLEANING
Is a validation performed to confirm
cleaning effectiveness?
Does the protocol define the
selection criteria for products or
Page 27
34.3
34.4
34.5
34.6
34.7
34.8
34.9
34.10
34.11
Page 28
35
35.1
35.2
36
36.1
36.2
36.3
36.4
36.5
37
37.1
37.2
37.3
37.4
37.5
37.6
37.7
Page 29
37.8
37.9
37.10
Page 30