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TGA presentation: Adoption of PIC/S Guide to GMP PE009-13 - Overview of changes and adoption process, 13 December 2017

Overview of changes and adoption process

19 January 2018


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  • Presented by: Matt Davis
  • Presented at: Cosmetics And Pharmaceuticals Special Interest Group (CAPSIG)
  • Presentation date: 13 December 2017
  • Presentation summary: The TGA presented to CAPSIG on the adoption of the PIC/S Guide to GMP PE009-13 in December 2017


Adoption of PIC/S Guide to GMP PE009-13 - Overview of changes and adoption process

Matt Davis
Senior GMP Inspector
Manufacturing Quality Branch
Cosmetics And Pharmaceuticals Special Interest Group (CAPSIG)

Slide 1 - Why adopt the latest PIC/S Guide to GMP?

  • Australia is highly respected and regarded on an international level due to our involvement and innovation with respect to GMP
  • GMPs are routinely updated in response to identified risks:
    • Risks to patient health
    • Ambiguity leading to misinterpretation and compliance risks
  • Relevant to our Mutual Recognition Agreements
  • Provides assurance of equivalence to international markets
  • GMP, science and innovation never stands still.

Slide 2 - MQB Adoption Timeline for PE009-13

image illustrating the timeline for PE009-13

Timeline made accessible as text

September 2017

  • 1st notification for industry
  • APVMA notification

November 2017

  • 2nd notification for industry
    • Main changes table
    • Adoption strategy
    • Deficiency reporting

1 January 2018

  • Adopt New GMP Guide
  • Publish Q&A for GMP

31 June 2018

1 January 2019


12m Transition Period

  • Assess & establish
  • Implement
  • Full Compliance

Slide 3 - PIC/S Guide to GMP PE009 Version History

image illustrating the version history of the PIC/S guide to GMP PE009

GMP PE009 version history and dates implemented

  1. PE008-8 -15/1/2009
  2. PE008-9 -1/9/2009 (Annex 3)
  3. PE008-10 -1/1/2013 (Chapter 4, Annex 6, 7,11 & 13)
  4. PE008-11 -1/3/2014 (Part II (QRM) Annex 2 & 14)
  5. PE008-12 - 1/10/2015 (Annex 15)
  6. PE008-13-1/1/2017 9 (Chapters 1, 2, 6 & 7 (Part I))
  7. Proposed changes – (Chapters 3, 5 & 8 Annexes 1, 13, 16, 17, 21?)

Slide 4 - Chapter 1 - Pharmaceutical Quality System

Chapter 1 - Pharmaceutical Quality System
Clause Interpretation
1.7 The Pharmaceutical Quality System should be defined and documented. A Quality Manual or equivalent documentation should be established and should contain a description of the quality management system including management responsibilities. Quality manual required (ICH Q10)

What’s in a quality manual?

  1. The quality policy (see clause 2.4);
  2. The scope of the pharmaceutical quality system;
  3. Identification of the pharmaceutical quality system processes, as well as their sequences, linkages and interdependencies. Process maps and flow charts can be useful tools to facilitate depicting pharmaceutical quality system processes in a visual manner;
  4. Management responsibilities within the pharmaceutical quality system.

Slide 5 - Chapter 1 – Management Reviews

Chapter 1 – Management Reviews
New Text: Interpretation
Clause 1.6 There should be periodic management review, with the involvement of senior management, of the operation of the Pharmaceutical Quality System to identify opportunities for continual improvement of products, processes and the system itself. New PQS element to be developed

ICH Q10 principles expected

Slide 6 - Chapter 1 - Pharmaceutical Quality System

Chapters 1 & 2 – Senior Management
New Text: Interpretation
Clause 1.5: Senior management has the ultimate responsibility to ensure an effective Pharmaceutical Quality System is in place, adequately resourced and that roles, responsibilities, and authorities are defined, communicated and implemented throughout the organisation. Senior management’s leadership and active participation in the Pharmaceutical Quality System is essential. This leadership should ensure the support and commitment of staff at all levels and sites within the organisation to the Pharmaceutical Quality System. New emphasis on the involvement of senior management

Also reflected in Ch 2

Clause 2.4: … Senior management should establish a quality policy that describes the overall intentions and direction of the company related to quality and should ensure continuing suitability and effectiveness of the Pharmaceutical Quality System and GMP compliance through participation in management review. Quality Policy should be available and endorsed by senior management

Slide 7 - Chapter 2 – Responsibilities for the PQS

Chapter 2 – Responsibilities for the PQS
New Text: Interpretation
2.9 The heads of Production, Quality Control and where relevant, Head of Quality Assurance or Head of Quality Unit, generally have some shared, or jointly exercised, responsibilities relating to quality including in particular the design, effective implementation, monitoring and maintenance of the Pharmaceutical Quality System. These may include, subject to any national regulations:
  1. Participation in management reviews of process performance, product quality and of the Pharmaceutical Quality System and advocating continual improvement;
  2. Ensuring that a timely and effective communication and escalation process exists to raise quality issues to the appropriate levels of management.
Additional responsibilities for Quality and Production nominees

Updated job descriptions

Slide 8 - Chapter 2 – Consultants

Chapter 2 – Consultants
New Text: Interpretation
2.23 Consultants should have adequate education, training, and experience, or any combination thereof, to advise on the subject for which they are retained. Records should be maintained stating the name, address, qualifications, and type of service provided by these consultants.

Associated records required where consultants are utilised.

Contracts (Ch7) should be in place for consultants.

Slide 9 - Chapter 4 – Document Definitions

Chapter 4 – Document Definitions
New Text: Interpretation
Site Master File: A document describing the GMP related activities of the manufacturer. SMF is now a required GMP document
Records: Provide evidence of various actions taken to demonstrate compliance with instructions, e.g. activities, events, investigations, and in the case of manufactured batches a history of each batch of product, including its distribution. Records include the raw data which is used to generate other records. For electronic records regulated users should define which data are to be used as raw data. At least, all data on which quality decisions are based should be defined as raw data. CSV/DI considerations

Slide 10 - Chapter 4 – Document Definitions

Chapter 4 – Document Definitions
New Text: Interpretation
4.11 Specific requirements apply to batch documentation which must be kept for one year after expiry of the batch to which it relates or at least five years after certification of the batch by the Authorised Person, whichever is the longer… Potential increase/change in retention periods
4.12 For other types of documentation, the retention period will depend on the business activity which the documentation supports. Critical documentation, including raw data (e.g. relating to validation or stability), which supports information in the Marketing Authorisation should be retained whilst the authorisation remains in force. Risk based approach to retention for documents other than batch records

Slide 11 - Chapter 6 – Out of Specification / Trend

Chapter 6 – Out of Specification / Trend
New Text: Interpretation
6.9 Some kinds of data (e.g. tests results, yields, environmental controls) should be recorded in a manner permitting trend evaluation. Any out of trend or out of specification data should be addressed and subject to investigation.

No significant change to inspection process

OOT procedures should be verified

Slide 12 - Chapter 6 – Reference Standards

Chapter 6 – Reference Standards
New Text: Interpretation
6.20 Reference standards should be established as suitable for their intended use. Their qualification and certification, as such, should be clearly stated and documented. Whenever compendial reference standards from an officially recognised source exist, these should preferably be used as primary reference standards unless fully justified (the use of secondary standards is permitted once their traceability to primary standards has been demonstrated and is documented). These compendial materials should be used for the purpose described in the appropriate monograph unless otherwise authorised by the National Competent Authority. Where compendial RS are available – these should be used (unless justified)

Slide 13 - Chapter 6 – Tech Transfer

Chapter 6 – Tech Transfer
New Text: Interpretation
Technical transfer of testing methods

6.37 Prior to transferring a test method, the transferring site should verify that the test method(s) comply with those as described in the Marketing Authorisation or the relevant technical dossier. The original validation of the test method(s) should be reviewed to ensure compliance with current ICH/VICH requirements. A gap analysis should be performed and documented to identify any supplementary validation that should be performed, prior to commencing the technical transfer process.

Additional guidance

Slide 14 - Chapter 7 – Outsourced Activities

Chapter 7 – Outsourced Activities
New Text: Interpretation

Any activity covered by the GMP Guide that is outsourced should be appropriately defined, agreed and controlled in order to avoid misunderstandings which could result in a product or operation of unsatisfactory quality.

All outsourced activities need to be covered by a contract
7.1 There should be a written contract covering the outsourced activities, the products or operations to which they are related, and any technical arrangements made in connection with it. All outsourced activities need to be covered by a contract
7.4.3 The Contract Giver should monitor and review the performance of the Contract Acceptor and the identification and implementation of any needed improvement. Need processes for monitoring of outsourced providers

Slide 15 - Key Changes to Annex 11– Computerised Systems

  • Formalisation of risk management in both computer validation and change management
  • Greater emphasis on system management and validation throughout computer system lifecycle
    • Periodic evaluation, security, incident management defined
  • Detailed requirements for management of electronic records:
    • Data transfer requirements b/w systems
    • Handling of printouts, audit trails, change & configuration mgt
    • Electronic signatures, batch release & archiving detailed
    • Disaster management & recovery proceduralised

Slide 16 - Annex 15 – Validation

Annex 15 – Validation
New Text: Interpretation
1.5 The VMP or equivalent document should define the qualification/validation system and include or reference information on at least the following:
  1. Qualification and Validation policy;
  2. The organisational structure including roles and responsibilities for qualification and validation activities;
  3. Summary of the facilities, equipment, systems, processes on site and the qualification and validation status;
  4. Change control and deviation management for qualification and validation ;
  5. Guidance on developing acceptance criteria;
  6. References to existing documents
  7. The qualification and validation strategy, including requalification, where applicable.

Clarification of existing requirements

Potential updates to VMP required

Slide 17 - Annex 15 – Validation

Annex 15 – Organising and planning
New Text: Interpretation
1.8 Appropriate checks should be incorporated into qualification and validation work to ensure the integrity of all data obtained. Need to incorporate appropriate checks for data integrity

Slide 18 - Annex 15 – Annex 15 – Qualification stages

  • DQ/IQ/OQ/PQ process supplemented with URS, FAT, SAT
  • Note the following statement in 3.1 allows flexibility of approach:
Annex 15 – Qualification stages
New Text: Interpretation
3.1 Qualification activities should consider all stages from initial development of the user requirements specification through to the end of use of the equipment, facility, utility or system. The main stages and some suggested criteria (although this depends on individual project circumstances and may be different) which could be included in each stage are indicated below: Flexible approach to qualification

Slide 19 - Annex 15 – Process Validation – The options

Annex 15 – Process Validation – flowchart options are:
2 approaches are 1) Traditional approach and 2) CPV approach (QbD).

Slide 20 - Annex 15 – Process Validation – Concurrent Validation

Annex 15 – Process Validation – Concurrent Validation
New Text: Interpretation
5.16 In exceptional circumstances, where there is a strong benefit-risk ratio for the patient, it may be acceptable not to complete a validation programme before routine production starts and concurrent validation could be used. However, the decision to carry out concurrent validation must be justified, documented in the VMP for visibility and approved by authorised personnel. Concurrent only where justified

VMP states circumstances in which it is used

Permitted for listed medicines

5.17 Where a concurrent validation approach has been adopted, there should be sufficient data to support a conclusion that any given batch of product is uniform and meets the defined acceptance criteria. The results and conclusion should be formally documented and available to the Authorised Person prior to certification of the batch. Conclusion from PV made available to AP

Slide 21 - Annex 15 – Process Validation – Traditional Approach (Option 1)

Annex 15 – Process Validation – Traditional Approach (Option 1)
New Text: Interpretation
5.19 The number of batches manufactured and the number of samples taken should be based on quality risk management principles, allow the normal range of variation and trends to be established and provide sufficient data for evaluation. Each manufacturer must determine and justify the number of batches necessary to demonstrate a high level of assurance that the process is capable of consistently delivering quality product. Flexibility to PV approach

3 batch approach acceptable (5.20)

Justification required for less

5.20 Without prejudice to 5.19, it is generally considered acceptable that a minimum of three consecutive batches manufactured under routine conditions could constitute a validation of the process …  

Slide 22 - Annex 15 – Process Validation – Continuous Process Verification (Option 2)

Annex 15 – Process Validation – Continuous Process Verification (Option 2)
New Text: Interpretation
Continuous process verification

5.23 For products developed by a quality by design approach, where it has been scientifically established during development that the established control strategy provides a high degree of assurance of product quality, then continuous process verification can be used as an alternative to traditional process validation.

5.24 The method by which the process will be verified should be defined. There should be a science based control strategy for the required attributes for incoming materials, critical quality attributes and critical process parameters to confirm product realisation. This should also include regular evaluation of the control strategy. Process Analytical Technology and multivariate statistical process control may be used as tools. Each manufacturer must determine and justify the number of batches necessary to demonstrate a high level of assurance that the process is capable of consistently delivering quality product.

5.25 The general principles laid down in 5.1 – 5.14 above still apply.

Applies to products developed by QbD approach

Control strategy

In-process monitoring

May be used for “hybrid” approach

Slide 23 - Annex 15 – Process Validation – Hybrid Approach (Option 3)

Annex 15 – Process Validation – Hybrid Approach (Option 3)
New Text: Interpretation
Hybrid approach

5.26 A hybrid of the traditional approach and continuous process verification could be used where there is a substantial amount of product and process knowledge and understanding which has been gained from manufacturing experience and historical batch data.

5.27 This approach may also be used for any validation activities after changes or during ongoing process verification even though the product was initially validated using a traditional approach.

CPV may be applied to products validated by the traditional approach

Used normally to demonstrate re-validation of the process (not for new products)

Slide 24 - Annex 15 – Ongoing Process Verification

Annex 15 – Ongoing Process Verification
New Text Interpretation:

5.28 Paragraphs 5.28-5.32 are applicable to all three approaches to process validation mentioned above, i.e. traditional, continuous and hybrid.

New requirement - OPV applies to all validated processes

5.29 Manufacturers should monitor product quality to ensure that a state of control is maintained throughout the product lifecycle with the relevant process trends evaluated.

Uses SPC tools to detect issues

Focus on process control

5.30 The extent and frequency of ongoing process verification should be reviewed periodically. At any point throughout the product lifecycle, it may be appropriate to modify the requirements taking into account the current level of process understanding and process performance.

Additional review and trending of batch process data required

New products monitored at higher frequency.

Slide 25 - Annex 15 – Transportation

Annex 15 – Transportation
New Text Interpretation:

6.1 Finished medicinal products, investigational medicinal products, bulk product and samples should be transported from manufacturing sites in accordance with the conditions defined in the marketing authorisation, the approved label, product specification file or as justified by the manufacturer.

Evidence that transport chain is appropriate

Cannot transport ‘outside’ label conditions

6.2 …transportation routes should be clearly defined. Seasonal and other variations should also be considered during verification of transport

Evidence of transport routes required

6.4 …continuous monitoring and recording of any critical environmental conditions to which the product may be subjected should be performed, unless otherwise justified.

Data loggers should be used unless justified

Slide 26 - Annex 15 – Cleaning Validation

Annex 15 – Cleaning Validation
New Text Interpretation:
10.6 Limits for the carryover of product residues should be based on a toxicological evaluation[2]. The justification for the selected limits should be documented in a risk assessment which includes all the supporting references. Limits should be established for the removal of any cleaning agents used. Acceptance criteria should consider the potential cumulative effect of multiple items of equipment in the process equipment train. Toxicological evaluations required based on HBEL (PDE) calculations


  1. EMA/CHMP/ CVMP/ SWP/169430/2012 Guideline on setting health based exposure limits for use in risk identification in the manufacture of different medicinal products in shared facilities.

Slide 27 - Adoption Plan – Examples

Adoption Plan – Examples
PIC/S GMP Requirement Between 1 January and 30 June 2018 Between 1 July 2018 and 31 December 2018 From 1 January 2019
Part I, Chapter 1
Clause 1.6 Management Reviews

Approved policy

Documented assessment of which data will be collated and reported.

Commenced amending and drafting procedures

Commenced training staff in Management Reviews

Initial management review meetings held.

Mechanisms for resolving issues formalised and implemented

Schedule for management reviews finalised.

Full implementation

Part I, Chapter 7
Outsourced activities
Medium Risk Item

Approved policy

Commenced drafting procedures

Risk assess/Determine list of all service providers implicated.

Develop priority list for evaluation and approval of providers

Approved procedures

Commenced amending/drafting new contracts

Full implementation

All outsourced activities approved and covered by an appropriate contract.

Slide 28 - Summary

  • PE009-13 live from 1 January 2018
    • Refer to PIC/S Guide for all updates (Ax 2, 3, 6, 7, 11, 13)
    • 12 month transition plan on TGA website
    • Refer to changes table on TGA website
    • We encourage feedback and discussion (use Audit feedback form - interpretation of requirements)
    • Refer queries to
  • TGA will honour existing guidance documents until amended
  • TGA will continue to work with industry on adoption of future changes

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