De EMA heeft op haar site melding gemaakt van de update van de ICH Q7 "GMP for APIs":

Commission Européenne, B-1049 Bruxelles / Europese Commissie,B-1049 Brussel – Belgium, Telephone: (32-2) 299 11 11

EUROPEAN COMMISSION
ENTERPRISE AND INDUSTRY DIRECTORATE-GENERAL
Consumer goods
Pharmaceuticals
Brussels, 03 February 2010
ENTR/F/2/AM/an D(2010) 3374
EudraLex
The Rules Governing Medicinal Products in the European Union
Volume 4
Good Manufacturing Practice
Medicinal Products for Human and Veterinary Use
Part II: Basic Requirements for Active Substances used as Starting Materials
Document History
An amendment is made to Part II of the GMP Guide to incorporate
principles of Quality Risk Management in line with the ICH Q9
guideline on Quality Risk Management.

Amendments correspond to
similar changes made to Part I Chapter 1 of the Guide and published
in February 2008. A new section on Quality Risk Management is
introduced as section 2.19. The remaining sections of chapter 2 are
renumbered. A minor change is made to section 2.21. No other
changes have been made.
September 2007
Public consultation April 2008 until
October 2008
Adopted by the European Commission 31 January 2010
Deadline for coming into operation 31 July 2010
Commission Européenne, B-1049 Bruxelles / Europese Commissie,B-1049 Brussel – Belgium, Telephone: (32-2) 299 11 11

Table of Contents
1 Introduction
1.1 Objective
1.2 Regulatory Applicability
1.3 Scope
2 Quality Management
2.1 Principles
2.2 Quality Risk Management
2.3 Responsibilities of the Quality Unit(s)
2.4 Responsibility for Production Activities
2.5 Internal Audits (Self-Inspection)
2.6 Product Quality Review
3 Personnel
3.1 Personnel Qualifications
3.2 Personnel Hygiene
3.3 Consultants
4 Buildings and Facilities
4.1 Design and Construction
4.2 Utilities
4.3 Water
4.4 Containment
4.5 Lighting
4.6 Sewage and Refuse
4.7 Sanitation and Maintenance
5 Process Equipment
5.1 Design and Construction
5.2 Equipment Maintenance and Cleaning
5.3 Calibration
5.4 Computerized Systems
6 Documentation and Records
6.1 Documentation System and Specifications
6.2 Equipment Cleaning and Use Record
6.3 Records of Raw Materials, Intermediates, API Labelling and Packaging
Materials
6.4 Master Production Instructions (Master Production and Control Records)
6.5 Batch Production Records (Batch Production and Control Records)
6.6 Laboratory Control Records
6.7 Batch Production Record Review
7 Materials Management
7.1 General Controls
7.2 Receipt and Quarantine
7.3 Sampling and Testing of Incoming Production Materials
7.4 Storage
7.5 Re-evaluation
8 Production and In-Process Controls
8.1 Production Operations
8.2 Time Limits
8.3 In-process Sampling and Controls
8.4 Blending Batches of Intermediates or APIs
8.5 Contamination Control
9 Packaging and Identification Labelling of APIs and Intermediates
9.1 General
9.2 Packaging Materials
9.3 Label Issuance and Control
9.4 Packaging and Labelling Operations
10 Storage and Distribution
10.1 Warehousing Procedures
10.2 Distribution Procedures
11 Laboratory Controls
11.1 General Controls
11.2 Testing of Intermediates and APIs
11.3 Validation of Analytical Procedures
11.4 Certificates of Analysis
11.5 Stability Monitoring of APIs
11.6 Expiry and Retest Dating
11.7 Reserve/Retention Samples
12 Validation
12.1 Validation Policy
12.2 Validation Documentation
12.3 Qualification
12.4 Approaches to Process Validation
12.5 Process Validation Program
12.6 Periodic Review of Validated Systems
12.7 Cleaning Validation
12.8 Validation of Analytical Methods
13 Change Control
14 Rejection and Reuse of Materials
14.1 Rejection
14.2 Reprocessing
14.3 Reworking
14.4 Recovery of Materials and Solvents
14.5 Returns
15 Complaints and Recalls
16 Contract Manufacturers (including Laboratories)
17 Agents, Brokers, Traders, Distributors, Repackers, and Relabellers
17.1 Applicability
17.2 Traceability of Distributed APIs and Intermediates
17.3 Quality Management
17.4 Repackaging, Relabelling and Holding of APIs and Intermediates
17.5 Stability
17.6 Transfer of Information
17.7 Handling of Complaints and Recalls
17.8 Handling of Returns
18 Specific Guidance for APIs Manufactured by Cell Culture/Fermentation
18.1 General
18.2 Cell Bank Maintenance and Recordkeeping
18.3 Cell Culture/Fermentation
18.4 Harvesting, Isolation, and Purification
18.5 Viral Removal/Inactivation Steps
19 APIs for Use in Clinical Trials
19.1 General
19.2 Quality
19.3 Equipment and Facilities
19.4 Control of Raw Materials
19.5 Production
19.6 Validation
19.7 Changes
19.8 Laboratory Controls
19.9 Documentation
20 Glossary

1 Introduction
This guideline was published in November 2000 as Annex 18 to the GMP Guide
reflecting the EU’s agreement to ICH Q7A and has been used by manufacturers and
GMP inspectorates on a voluntary basis. Article 46 (f) of Directive 2001/83/EC and
Article 50 (f) of Directive 2001/82/EC; as amended by Directives 2004/27/EC and
2004/28/EC respectively, place new obligations on manufacturing authorisation holders
to use only active substances that have been manufactured in accordance with Good
Manufacturing Practice for starting materials. The directives go on to say that the
principles of Good Manufacturing Practice for active substances are to be adopted as
detailed guidelines. Member States have agreed that the text of former Annex 18 should
form the basis of the detailed guidelines to create Part II of the GMP Guide.
1.1 Objective
These guidelines are intended to provide guidance regarding Good Manufacturing
Practice (GMP) for the manufacture of active substances under an appropriate system for
managing quality. It is also intended to help ensure that active substances meet the
requirements for quality and purity that they purport or are represented to possess.
In these guidelines “manufacturing” includes all operations of receipt of materials,
production, packaging, repackaging, labeling, relabelling, quality control, release,
storage and distribution of active substances and the related controls. The term
“should” indicates recommendations that are expected to apply unless shown to be
inapplicable, modified in any relevant annexes to the GMP Guide, or replaced by an
alternative demonstrated to provide at least an equivalent level of quality assurance.
The GMP Guide as a whole does not cover safety aspects for the personnel engaged in
manufacture, nor aspects of protection of the environment. These controls are inherent
responsibilities of the manufacturer and are governed by other parts of the legislation.
These guidelines are not intended to define registration requirements or modify
pharmacopoeial requirements and do not affect the ability of the responsible
competent authority to establish specific registration requirements regarding active
substances within the context of marketing/manufacturing authorisations. All
commitments in registration documents must be met.
1.2 Scope
These guidelines apply to the manufacture of active substances for medicinal products
for both human and veterinary use. They apply to the manufacture of sterile active
substances only up to the point immediately prior to the active substance being rendered
sterile. The sterilisation and aseptic processing of sterile active substances are not
covered, but should be performed in accordance with the principles and guidelines of
GMP as laid down in Directive 2003/94/EC and interpreted in the GMP Guide including
its Annex 1.
In the case of ectoparasiticides for veterinary use, other standards than these
guidelines, that ensure that the material is of appropriate quality, may be used.
These guidelines exclude, whole blood and plasma, as Directive 2002/98/EC and the
technical requirements supporting that directive lay down the detailed requirements for
the collection and testing of blood, however, it does include active substances that are
produced using blood or plasma as raw materials. Finally, these guidelines do not apply
to bulk-packaged medicinal products. They apply to all other active starting materials
subject to any derogations described in the annexes to the GMP Guide, in particular
Annexes 2 to 7 where supplementary guidance for certain types of active substance may
be found. The annexes will consequently undergo a review but in the meantime and only
until this review is complete, manufacturers may choose to continue to use Part I of the
basic requirements and the relevant annexes for products covered by those annexes, or
may already apply Part II.
Section 19 contains guidance that only applies to the manufacture of active substances
used in the production of investigational medicinal products although it should be noted
that its application in this case, although recommended, is not required by Community
legislation.
An “Active Substance Starting Material” is a raw material, intermediate, or an active
substance that is used in the production of an active substance and that is incorporated as
a significant structural fragment into the structure of the active substance. An Active
Substance Starting Material can be an article of commerce, a material purchased from
one or more suppliers under contract or commercial agreement, or produced in-house.
Active Substance Starting Materials normally have defined chemical properties and
structure.
The manufacturer should designate and document the rationale for the point at which
production of the active substance begins. For synthetic processes, this is known as the
point at which "Active Substance Starting Materials" are entered into the process. For
other processes (e.g. fermentation, extraction, purification, etc), this rationale should be
established on a case-by-case basis. Table 1 gives guidance on the point at which the
Active Substance Starting Material is normally introduced into the process. From this
point on, appropriate GMP as defined in these guidelines should be applied to these
intermediate and/or active substance manufacturing steps. This would include the
validation of critical process steps determined to impact the quality of the active
substance. However, it should be noted that the fact that a manufacturer chooses to
validate a process step does not necessarily define that step as critical. The guidance in
this document would normally be applied to the steps shown in grey in Table 1. It does
not imply that all steps shown should be completed. The stringency of GMP in active
substance manufacturing should increase as the process proceeds from early steps to final
steps, purification, and packaging. Physical processing of active substances, such as
granulation, coating or physical manipulation of particle size (e.g. milling, micronising),
should be conducted at least to the standards of these guidelines. These guidelines do not
apply to steps prior to the first introduction of the defined "Active Substance Starting
Material".
In the remainder of this guideline the term Active Pharmaceutical Ingredient (API) is
used repeatedly and should be considered interchangeable with the term “Active
Substance”. The glossary in section 20 of Part II should only be applied in the context
of Part II. Some of the same terms are already defined in Part I of the GMP guide and
these therefore should only be applied in the context of Part I.

Table 1: Application of this Guide to API Manufacturing

2 Quality Management
2.1 Principles
2.10 Quality should be the responsibility of all persons involved in manufacturing.
2.11 Each manufacturer should establish, document, and implement an effective system
for managing quality that involves the active participation of management and
appropriate manufacturing personnel.
2.12 The system for managing quality should encompass the organisational structure,
procedures, processes and resources, as well as activities necessary to ensure confidence
that the API will meet its intended specifications for quality and purity. All quality
related activities should be defined and documented.
2.13 There should be a quality unit(s) that is independent of production and that fulfills
both quality assurance (QA) and quality control (QC) responsibilities. This can be in the
form of separate QA and QC units or a single individual or group, depending upon the
size and structure of the organization.
2.14 The persons authorised to release intermediates and APIs should be specified.
2.15 All quality related activities should be recorded at the time they are performed.
2.16 Any deviation from established procedures should be documented and explained.
Critical deviations should be investigated, and the investigation and its conclusions
should be documented.
2.17 No materials should be released or used before the satisfactory completion of
evaluation by the quality unit(s) unless there are appropriate systems in place to allow for
such use (e.g. release under quarantine as described in Section 10.20 or the use of raw
materials or intermediates pending completion of evaluation).
2.18 Procedures should exist for notifying responsible management in a timely manner
of regulatory inspections, serious GMP deficiencies, product defects and related actions
(e.g. quality related complaints, recalls, regulatory actions, etc.).
2.19 To achieve the quality objective reliably there must be a comprehensively designed
and correctly implemented quality system incorporating Good Manufacturing Practice,
Quality Control and Quality Risk Management.
2.2 Quality Risk Management
2.20 Quality risk management is a systematic process for the assessment, control,
communication and review of risks to the quality of the active substance. It can be
applied both proactively and retrospectively.
2.21 The quality risk management system should ensure that:
- the evaluation of the risk to quality is based on scientific knowledge,
experience with the process and ultimately links to the protection of the
patient through communication with the user of the active substance
- the level of effort, formality and documentation of the quality risk
management process is commensurate with the level of risk
Examples of the processes and applications of quality risk management can be found,
inter alia, in Annex 20.
2.3 Responsibilities of the Quality Unit(s)
2.30 The quality unit(s) should be involved in all quality-related matters.
2.31 The quality unit(s) should review and approve all appropriate quality-related
documents.
2.32 The main responsibilities of the independent quality unit(s) should not be
delegated. These responsibilities should be described in writing and should include but
not necessarily be limited to:
1. Releasing or rejecting all APIs. Releasing or rejecting intermediates for
use outside the control of the manufacturing company;
2. Establishing a system to release or reject raw materials, intermediates,
packaging and labelling materials;
3. Reviewing completed batch production and laboratory control records of
critical process steps before release of the API for distribution;
4. Making sure that critical deviations are investigated and resolved;
5. Approving all specifications and master production instructions;
6. Approving all procedures impacting the quality of intermediates or APIs;
7. Making sure that internal audits (self-inspections) are performed;
8. Approving intermediate and API contract manufacturers;
9. Approving changes that potentially impact intermediate or API quality;
10. Reviewing and approving validation protocols and reports;
11. Making sure that quality related complaints are investigated and resolved;
12. Making sure that effective systems are used for maintaining and
calibrating critical equipment;
13. Making sure that materials are appropriately tested and the results are
reported;
14. Making sure that there is stability data to support retest or expiry dates
and storage conditions on APIs and/or intermediates where
appropriate; and
15. Performing product quality reviews (as defined in Section 2.5)
2.4 Responsibility for Production Activities
The responsibility for production activities should be described in writing, and should
include but not necessarily be limited to:
1. Preparing, reviewing, approving and distributing the instructions for the
production of intermediates or APIs according to written procedures;
2. Producing APIs and, when appropriate, intermediates according to preapproved
instructions;
3. Reviewing all production batch records and ensuring that these are
completed and signed;
4. Making sure that all production deviations are reported and evaluated and
that critical deviations are investigated and the conclusions are recorded;
5. Making sure that production facilities are clean and when appropriate
disinfected;
6. Making sure that the necessary calibrations are performed and records
kept;
7. Making sure that the premises and equipment are maintained and records
kept;
8. Making sure that validation protocols and reports are reviewed and
approved;
9. Evaluating proposed changes in product, process or equipment; and
10. Making sure that new and, when appropriate, modified facilities and
equipment are qualified.
2.5 Internal Audits (Self Inspection)
2.50 In order to verify compliance with the principles of GMP for APIs, regular
internal audits should be performed in accordance with an approved schedule.
2.51 Audit findings and corrective actions should be documented and brought to the
attention of responsible management of the firm. Agreed corrective actions should be
completed in a timely and effective manner.
2.6 Product Quality Review
2.60 Regular quality reviews of APIs should be conducted with the objective of
verifying the consistency of the process. Such reviews should normally be conducted and
documented annually and should include at least:
- A review of critical in-process control and critical API test results;
- A review of all batches that failed to meet established specification(s);
- A review of all critical deviations or non-conformances and related
investigations;
- A review of any changes carried out to the processes or analytical methods;
- A review of results of the stability monitoring program;
- A review of all quality-related returns, complaints and recalls; and
- A review of adequacy of corrective actions.
2.61 The results of this review should be evaluated and an assessment made of
whether corrective action or any revalidation should be undertaken. Reasons for such
corrective action should be documented. Agreed corrective actions should be completed
in a timely and effective manner.

3 Personnel
3.1 Personnel Qualifications
3.10 There should be an adequate number of personnel qualified by appropriate
education, training and/or experience to perform and supervise the manufacture of
intermediates and APIs.
3.11 The responsibilities of all personnel engaged in the manufacture of intermediates
and APIs should be specified in writing.
3.12 Training should be regularly conducted by qualified individuals and should cover,
at a minimum, the particular operations that the employee performs and GMP as it relates
to the employee's functions. Records of training should be maintained. Training should
be periodically assessed.
3.2 Personnel Hygiene
3.20 Personnel should practice good sanitation and health habits.
3.21 Personnel should wear clean clothing suitable for the manufacturing activity with
which they are involved and this clothing should be changed when appropriate.
Additional protective apparel, such as head, face, hand, and arm coverings, should be
worn when necessary, to protect intermediates and APIs from contamination.
3.22 Personnel should avoid direct contact with intermediates or APIs.
3.23 Smoking, eating, drinking, chewing and the storage of food should be restricted
to certain designated areas separate from the manufacturing areas.
3.24 Personnel suffering from an infectious disease or having open lesions on the
exposed surface of the body should not engage in activities that could result in
compromising the quality of APIs. Any person shown at any time (either by medical
examination or supervisory observation) to have an apparent illness or open lesions
should be excluded from activities where the health condition could adversely affect the
quality of the APIs until the condition is corrected or qualified medical personnel
determine that the person's inclusion would not jeopardize the safety or quality of the
APIs.
3.3 Consultants
3.30 Consultants advising on the manufacture and control of intermediates or APIs
should have sufficient education, training, and experience, or any combination thereof, to
advise on the subject for which they are retained.
3.31 Records should be maintained stating the name, address, qualifications, and type
of service provided by these consultants.

4 Buildings and Facilities
4.1 Design and Construction
4.10 Buildings and facilities used in the manufacture of intermediates and APIs should
be located, designed, and constructed to facilitate cleaning, maintenance, and operations
as appropriate to the type and stage of manufacture. Facilities should also be designed to
minimize potential contamination. Where microbiological specifications have been
established for the intermediate or API, facilities should also be designed to limit
exposure to objectionable microbiological contaminants as appropriate.
4.11 Buildings and facilities should have adequate space for the orderly placement of
equipment and materials to prevent mix-ups and contamination.
4.12 Where the equipment itself (e.g., closed or contained systems) provides adequate
protection of the material, such equipment can be located outdoors.
4.13 The flow of materials and personnel through the building or facilities should be
designed to prevent mix-ups or contamination.
4.14 There should be defined areas or other control systems for the following
activities:
-Receipt, identification, sampling, and quarantine of incoming materials, pending
release or rejection;
-Quarantine before release or rejection of intermediates and APIs;
-Sampling of intermediates and APIs;
-Holding rejected materials before further disposition (e.g., return, reprocessing or
destruction)
-Storage of released materials;
-Production operations;
-Packaging and labelling operations; and
-Laboratory operations.
4.15 Adequate, clean washing and toilet facilities should be provided for personnel.
These washing facilities should be equipped with hot and cold water as appropriate, soap
or detergent, air driers or single service towels. The washing and toilet facilities should
be separate from, but easily accessible to, manufacturing areas. Adequate facilities for
showering and/or changing clothes should be provided, when appropriate.
4.16 Laboratory areas/operations should normally be separated from production areas.
Some laboratory areas, in particular those used for in-process controls, can be located in
production areas, provided the operations of the production process do not adversely
affect the accuracy of the laboratory measurements, and the laboratory and its operations
do not adversely affect the production process or intermediate or API.
4.2 Utilities
4.20 All utilities that could impact on product quality (e.g. steam, gases, compressed
air, and heating, ventilation and air conditioning) should be qualified and appropriately
monitored and action should be taken when limits are exceeded. Drawings for these
utility systems should be available.
4.21 Adequate ventilation, air filtration and exhaust systems should be provided,
where appropriate. These systems should be designed and constructed to minimise risks
of contamination and cross-contamination and should include equipment for control of
air pressure, microorganisms (if appropriate), dust, humidity, and temperature, as
appropriate to the stage of manufacture. Particular attention should be given to areas
where APIs are exposed to the environment.
4.22 If air is recirculated to production areas, appropriate measures should be taken to
control risks of contamination and cross-contamination.
4.23 Permanently installed pipework should be appropriately identified. This can be
accomplished by identifying individual lines, documentation, computer control systems,
or alternative means. Pipework should be located to avoid risks of contamination of the
intermediate or API.
4.24 Drains should be of adequate size and should be provided with an air break or a
suitable device to prevent back-siphonage, when appropriate.
4.3 Water
4.30 Water used in the manufacture of APIs should be demonstrated to be suitable for
its intended use.
4.31 Unless otherwise justified, process water should, at a minimum, meet World
Health Organization (WHO) guidelines for drinking (potable) water quality.
4.32 If drinking (potable) water is insufficient to assure API quality, and tighter
chemical and/or microbiological water quality specifications are called for, appropriate
specifications for physical/chemical attributes, total microbial counts, objectionable
organisms and/or endotoxins should be established.
4.33 Where water used in the process is treated by the manufacturer to achieve a
defined quality, the treatment process should be validated and monitored with
appropriate action limits.
4.34 Where the manufacturer of a non-sterile API either intends or claims that it is
suitable for use in further processing to produce a sterile drug (medicinal) product, water
used in the final isolation and purification steps should be monitored and controlled for
total microbial counts, objectionable organisms, and endotoxins.
4.4 Containment
4.40 Dedicated production areas, which can include facilities, air handling equipment
and/or process equipment, should be employed in the production of highly sensitizing
materials, such as penicillins or cephalosporins.
4.41 Dedicated production areas should also be considered when material of an
infectious nature or high pharmacological activity or toxicity is involved (e.g., certain
steroids or cytotoxic anti-cancer agents) unless validated inactivation and/or cleaning
procedures are established and maintained.
4.42 Appropriate measures should be established and implemented to prevent crosscontamination
from personnel, materials, etc. moving from one dedicated area to another.
4.43 Any production activities (including weighing, milling, or packaging) of highly
toxic non-pharmaceutical materials such as herbicides and pesticides should not be
conducted using the buildings and/or equipment being used for the production of APIs.
Handling and storage of these highly toxic non-pharmaceutical materials should be
separate from APIs.
4.5 Lighting
4.50 Adequate lighting should be provided in all areas to facilitate cleaning,
maintenance, and proper operations.
4.6 Sewage and Refuse
4.60 Sewage, refuse, and other waste (e.g., solids, liquids, or gaseous by-products
from manufacturing) in and from buildings and the immediate surrounding area should
be disposed of in a safe, timely, and sanitary manner. Containers and/or pipes for waste
material should be clearly identified.
4.7 Sanitation and Maintenance
4.70 Buildings used in the manufacture of intermediates and APIs should be properly
maintained and repaired and kept in a clean condition.
4.71 Written procedures should be established assigning responsibility for sanitation
and describing the cleaning schedules, methods, equipment, and materials to be used in
cleaning buildings and facilities.
4.72 When necessary, written procedures should also be established for the use of
suitable rodenticides, insecticides, fungicides, fumigating agents, and cleaning and
sanitizing agents to prevent the contamination of equipment, raw materials,
packaging/labelling materials, intermediates, and APIs.

5 Process Equipment
5.1 Design and Construction
5.10 Equipment used in the manufacture of intermediates and APIs should be of
appropriate design and adequate size, and suitably located for its intended use, cleaning,
sanitization (where appropriate), and maintenance.
5.11 Equipment should be constructed so that surfaces that contact raw materials,
intermediates, or APIs do not alter the quality of the intermediates and APIs beyond the
official or other established specifications.
5.12 Production equipment should only be used within its qualified operating range.
5.13 Major equipment (e.g., reactors, storage containers) and permanently installed
processing lines used during the production of an intermediate or API should be
appropriately identified.
5.14 Any substances associated with the operation of equipment, such as lubricants,
heating fluids or coolants, should not contact intermediates or APIs so as to alter their
quality beyond the official or other established specifications. Any deviations from this
should be evaluated to ensure that there are no detrimental effects upon the fitness for
purpose of the material. Wherever possible, food grade lubricants and oils should be
used.
5.15 Closed or contained equipment should be used whenever appropriate. Where
open equipment is used, or equipment is opened, appropriate precautions should be taken
to minimize the risk of contamination.
5.16 A set of current drawings should be maintained for equipment and critical
installations (e.g., instrumentation and utility systems).
5.2 Equipment Maintenance and Cleaning
5.20 Schedules and procedures (including assignment of responsibility) should be
established for the preventative maintenance of equipment.
5.21 Written procedures should be established for cleaning of equipment and its
subsequent release for use in the manufacture of intermediates and APIs. Cleaning
procedures should contain sufficient details to enable operators to clean each type of
equipment in a reproducible and effective manner. These procedures should include:
-Assignment of responsibility for cleaning of equipment;
-Cleaning schedules, including, where appropriate, sanitizing schedules;
-A complete description of the methods and materials, including dilution of cleaning
agents used to clean equipment;
-When appropriate, instructions for disassembling and reassembling each article of
equipment to ensure proper cleaning;
-Instructions for the removal or obliteration of previous batch identification;
-Instructions for the protection of clean equipment from contamination prior to use;
-Inspection of equipment for cleanliness immediately before use, if practical; and
-Establishing the maximum time that may elapse between the completion of
processing and equipment cleaning, when appropriate.
5.22 Equipment and utensils should be cleaned, stored, and, where appropriate,
sanitized or sterilized to prevent contamination or carry-over of a material that would
alter the quality of the intermediate or API beyond the official or other established
specifications.
5.23 Where equipment is assigned to continuous production or campaign production of
successive batches of the same intermediate or API, equipment should be cleaned at
appropriate intervals to prevent build-up and carry-over of contaminants (e.g. degradants
or objectionable levels of micro-organisms).
5.24 Non-dedicated equipment should be cleaned between production of different
materials to prevent cross-contamination.
5.25 Acceptance criteria for residues and the choice of cleaning procedures and
cleaning agents should be defined and justified.
5.26 Equipment should be identified as to its contents and its cleanliness status by
appropriate means.
5.3 Calibration
5.30 Control, weighing, measuring, monitoring and test equipment that is critical for
assuring the quality of intermediates or APIs should be calibrated according to written
procedures and an established schedule.
5.31 Equipment calibrations should be performed using standards traceable to certified
standards, if existing.
5.32 Records of these calibrations should be maintained.
5.33 The current calibration status of critical equipment should be known and
verifiable.
5.34 Instruments that do not meet calibration criteria should not be used.
5.35 Deviations from approved standards of calibration on critical instruments should
be investigated to determine if these could have had an impact on the quality of the
intermediate(s) or API(s) manufactured using this equipment since the last successful
calibration.
5.4 Computerized Systems
5.40 GMP related computerized systems should be validated. The depth and scope of
validation depends on the diversity, complexity and criticality of the computerized
application.
5.41 Appropriate installation qualification and operational qualification should
demonstrate the suitability of computer hardware and software to perform assigned tasks.
5.42 Commercially available software that has been qualified does not require the
same level of testing. If an existing system was not validated at time of installation, a
retrospective validation could be conducted if appropriate documentation is available.
5.43 Computerized systems should have sufficient controls to prevent unauthorized
access or changes to data. There should be controls to prevent omissions in data (e.g.
system turned off and data not captured). There should be a record of any data change
made, the previous entry, who made the change, and when the change was made.
5.44 Written procedures should be available for the operation and maintenance of
computerized systems.
5.45 Where critical data are being entered manually, there should be an additional
check on the accuracy of the entry. This can be done by a second operator or by the
system itself.
5.46 Incidents related to computerized systems that could affect the quality of
intermediates or APIs or the reliability of records or test results should be recorded and
investigated.
5.47 Changes to the computerized system should be made according to a change
procedure and should be formally authorized, documented and tested. Records should be
kept of all changes, including modifications and enhancements made to the hardware,
software and any other critical component of the system. These records should
demonstrate that the system is maintained in a validated state.
5.48 If system breakdowns or failures would result in the permanent loss of records, a
back-up system should be provided. A means of ensuring data protection should be
established for all computerized systems.
5.49 Data can be recorded by a second means in addition to the computer system.

6 Documentation and Records
6.1 Documentation System and Specifications
6.10 All documents related to the manufacture of intermediates or APIs should be
prepared, reviewed, approved and distributed according to written procedures. Such
documents can be in paper or electronic form.
6.11 The issuance, revision, superseding and withdrawal of all documents should be
controlled with maintenance of revision histories.
6.12 A procedure should be established for retaining all appropriate documents (e.g.,
development history reports, scale-up reports, technical transfer reports, process
validation reports, training records, production records, control records, and distribution
records). The retention periods for these documents should be specified.
6.13 All production, control, and distribution records should be retained for at least 1
year after the expiry date of the batch. For APIs with retest dates, records should be
retained for at least 3 years after the batch is completely distributed.
6.14 When entries are made in records, these should be made indelibly in spaces
provided for such entries, directly after performing the activities, and should identify the
person making the entry. Corrections to entries should be dated and signed and leave the
original entry still readable.
6.15 During the retention period, originals or copies of records should be readily
available at the establishment where the activities described in such records occurred.
Records that can be promptly retrieved from another location by electronic or other
means are acceptable.
6.16 Specifications, instructions, procedures, and records can be retained either as
originals or as true copies such as photocopies, microfilm, microfiche, or other accurate
reproductions of the original records. Where reduction techniques such as microfilming
or electronic records are used, suitable retrieval equipment and a means to produce a hard
copy should be readily available.
6.17 Specifications should be established and documented for raw materials,
intermediates where necessary, APIs, and labelling and packaging materials. In addition,
specifications may be appropriate for certain other materials, such as process aids,
gaskets, or other materials used during the production of intermediates or APIs that could
critically impact on quality. Acceptance criteria should be established and documented
for in-process controls.
6.18 If electronic signatures are used on documents, they should be authenticated and
secure.
6.2 Equipment Cleaning and Use Record
6.20 Records of major equipment use, cleaning, sanitization and/or sterilization and
maintenance should show the date, time (if appropriate), product, and batch number of
each batch processed in the equipment, and the person who performed the cleaning and
maintenance.
6.21 If equipment is dedicated to manufacturing one intermediate or API, then
individual equipment records are not necessary if batches of the intermediate or API
follow in traceable sequence. In cases where dedicated equipment is employed, the
records of cleaning, maintenance, and use can be part of the batch record or maintained
separately.
6.3 Records of Raw Materials, Intermediates, API Labelling and Packaging
Materials
6.30 Records should be maintained including:
- The name of the manufacturer, identity and quantity of each shipment of each
batch of raw materials, intermediates or labelling and packaging materials for
API's; the name of the supplier; the supplier's control number(s), if known, or
other identification number; the number allocated on receipt; and the date of
receipt;
- The results of any test or examination performed and the conclusions derived
from this;
- Records tracing the use of materials;
- Documentation of the examination and review of API labelling and
packaging materials for conformity with established specifications; and
-The final decision regarding rejected raw materials, intermediates or API
labeling and packaging materials.
6.31 Master (approved) labels should be maintained for comparison to issued labels.
6.4 Master Production Instructions (Master Production and Control Records)
6.40 To ensure uniformity from batch to batch, master production instructions for each
intermediate and API should be prepared, dated, and signed by one person and
independently checked, dated, and signed by a person in the quality unit(s).
6.41 Master production instructions should include:
- The name of the intermediate or API being manufactured and an identifying
document reference code, if applicable;
- A complete list of raw materials and intermediates designated by names or
codes sufficiently specific to identify any special quality characteristics;
- An accurate statement of the quantity or ratio of each raw material or
intermediate to be used, including the unit of measure. Where the quantity is not
fixed, the calculation for each batch size or rate of production should be included.
Variations to quantities should be included where they are justified;
- The production location and major production equipment to be used;
- Detailed production instructions, including the:
- sequences to be followed,
- ranges of process parameters to be used,
- sampling instructions and in-process controls with their acceptance criteria,
where appropriate,
- time limits for completion of individual processing steps and/or the total
process, where appropriate; and
- expected yield ranges at appropriate phases of processing or time;
- Where appropriate, special notations and precautions to be followed, or cross
references to these; and
- The instructions for storage of the intermediate or API to assure its suitability
for use, including the labelling and packaging materials and special storage
conditions with time limits, where appropriate.
6.5 Batch Production Records (Batch Production and Control Records)
6.50 Batch production records should be prepared for each intermediate and API and
should include complete information relating to the production and control of each batch.
The batch production record should be checked before issuance to assure that it is the
correct version and a legible accurate reproduction of the appropriate master production
instruction. If the batch production record is produced from a separate part of the master
document, that document should include a reference to the current master production
instruction being used.
6.51 These records should be numbered with a unique batch or identification number,
dated and signed when issued. In continuous production, the product code together with
the date and time can serve as the unique identifier until the final number is allocated.
6.52 Documentation of completion of each significant step in the batch production
records (batch production and control records) should include:
-Dates and, when appropriate, times; -Identity of major equipment (e.g., reactors,
driers, mills, etc.) used;
-Specific identification of each batch, including weights, measures, and batch
numbers of raw materials, intermediates, or any reprocessed materials used during
manufacturing;
-Actual results recorded for critical process parameters;
-Any sampling performed;
-Signatures of the persons performing and directly supervising or checking each
critical step in the operation;
-In-process and laboratory test results;
-Actual yield at appropriate phases or times;
-Description of packaging and label for intermediate or API;
-Representative label of API or intermediate if made commercially available;
-Any deviation noted, its evaluation, investigation conducted (if appropriate) or
reference to that investigation if stored separately; and
-Results of release testing.
6.53 Written procedures should be established and followed for investigating critical
deviations or the failure of a batch of intermediate or API to meet specifications. The
investigation should extend to other batches that may have been associated with the
specific failure or deviation.
6.6 Laboratory Control Records
6.60 Laboratory control records should include complete data derived from all tests
conducted to ensure compliance with established specifications and standards, including
examinations and assays, as follows:
-A description of samples received for testing, including the material name or
source, batch number or other distinctive code, date sample was taken, and, where
appropriate, the quantity and date the sample was received for testing;
-A statement of or reference to each test method used;
-A statement of the weight or measure of sample used for each test as described by
the method; data on or cross-reference to the preparation and testing of reference
standards, reagents and standard solutions,
-A complete record of all raw data generated during each test, in addition to graphs,
charts, and spectra from laboratory instrumentation, properly identified to show the
specific material and batch tested;
-A record of all calculations performed in connection with the test, including, for
example, units of measure, conversion factors, and equivalency factors;
-A statement of the test results and how they compare with established acceptance
criteria;
-The signature of the person who performed each test and the date(s) the tests were
performed; and
-The date and signature of a second person showing that the original records have
been reviewed for accuracy, completeness, and compliance with established
standards.
6.61 Complete records should also be maintained for:
-Any modifications to an established analytical method,
-Periodic calibration of laboratory instruments, apparatus, gauges, and recording
devices;
-All stability testing performed on APIs; and
-Out-of-specification (OOS) investigations.
6.7 Batch Production Record Review
6.70 Written procedures should be established and followed for the review and
approval of batch production and laboratory control records, including packaging and
labelling, to determine compliance of the intermediate or API with established
specifications before a batch is released or distributed.
6.71 Batch production and laboratory control records of critical process steps should
be reviewed and approved by the quality unit(s) before an API batch is released or
distributed. Production and laboratory control records of non-critical process steps can be
reviewed by qualified production personnel or other units following procedures approved
by the quality unit(s).
6.72 All deviation, investigation, and OOS reports should be reviewed as part of the
batch record review before the batch is released.
6.73 The quality unit(s) can delegate to the production unit the responsibility and
authority for release of intermediates, except for those shipped outside the control of the
manufacturing company.

7 Materials Management
7.1 General Controls
7.10 There should be written procedures describing the receipt, identification,
quarantine, storage, handling, sampling, testing, and approval or rejection of materials.
7.11 Manufacturers of intermediates and/or APIs should have a system for evaluating
the suppliers of critical materials.
7.12 Materials should be purchased against an agreed specification, from a supplier or
suppliers approved by the quality unit(s).
7.13 If the supplier of a critical material is not the manufacturer of that material, the
name and address of that manufacturer should be known by the intermediate and/or API
manufacturer.
7.14 Changing the source of supply of critical raw materials should be treated
according to Section 13, Change Control.
7.2 Receipt and Quarantine
7.20 Upon receipt and before acceptance, each container or grouping of containers of
materials should be examined visually for correct labelling (including correlation
between the name used by the supplier and the in-house name, if these are different),
container damage, broken seals and evidence of tampering or contamination. Materials
should be held under quarantine until they have been sampled, examined or tested as
appropriate, and released for use.
7.21 Before incoming materials are mixed with existing stocks (e.g., solvents or stocks
in silos), they should be identified as correct, tested, if appropriate, and released.
Procedures should be available to prevent discharging incoming materials wrongly into
the existing stock.
7.22 If bulk deliveries are made in non-dedicated tankers, there should be assurance of
no cross-contamination from the tanker. Means of providing this assurance could include
one or more of the following:
-certificate of cleaning
-testing for trace impurities
-audit of the supplier.
7.23 Large storage containers, and their attendant manifolds, filling and discharge
lines should be appropriately identified.
7.24 Each container or grouping of containers (batches) of materials should be
assigned and identified with a distinctive code, batch, or receipt number. This number
should be used in recording the disposition of each batch. A system should be in place to
identify the status of each batch.
7.3 Sampling and Testing of Incoming Production Materials
7.30 At least one test to verify the identity of each batch of material should be
conducted, with the exception of the materials described below in 7.32. A supplier's
Certificate of Analysis can be used in place of performing other tests, provided that the
manufacturer has a system in place to evaluate suppliers.
7.31 Supplier approval should include an evaluation that provides adequate evidence
(e.g., past quality history) that the manufacturer can consistently provide material
meeting specifications. Full analyses should be conducted on at least three batches before
reducing in-house testing. However, as a minimum, a full analysis should be performed
at appropriate intervals and compared with the Certificates of Analysis. Reliability of
Certificates of Analysis should be checked at regular intervals.
7.32 Processing aids, hazardous or highly toxic raw materials, other special materials,
or materials transferred to another unit within the company’s control do not need to be
tested if the manufacturer’s Certificate of Analysis is obtained, showing that these raw
materials conform to established specifications. Visual examination of containers, labels,
and recording of batch numbers should help in establishing the identity of these
materials. The lack of on-site testing for these materials should be justified and
documented.
7.33 Samples should be representative of the batch of material from which they are
taken. Sampling methods should specify the number of containers to be sampled, which
part of the container to sample, and the amount of material to be taken from each
container. The number of containers to sample and the sample size should be based upon
a sampling plan that takes into consideration the criticality of the material, material
variability, past quality history of the supplier, and the quantity needed for analysis.
7.34 Sampling should be conducted at defined locations and by procedures designed to
prevent contamination of the material sampled and contamination of other materials.
7.35 Containers from which samples are withdrawn should be opened carefully and
subsequently reclosed. They should be marked to indicate that a sample has been taken.
7.4 Storage
7.40 Materials should be handled and stored in a manner to prevent degradation,
contamination, and cross-contamination.
7.41 Materials stored in fiber drums, bags, or boxes should be stored off the floor and,
when appropriate, suitably spaced to permit cleaning and inspection.
7.42 Materials should be stored under conditions and for a period that have no adverse
affect on their quality, and should normally be controlled so that the oldest stock is used
first.
7.43 Certain materials in suitable containers can be stored outdoors, provided
identifying labels remain legible and containers are appropriately cleaned before opening
and use.
7.44 Rejected materials should be identified and controlled under a quarantine system
designed to prevent their unauthorised use in manufacturing.
7.5 Re-evaluation
7.50 Materials should be re-evaluated as appropriate to determine their suitability for
use (e.g., after prolonged storage or exposure to heat or humidity).

8 Production and In-Process Controls
8.1 Production Operations
8.10 Raw materials for intermediate and API manufacturing should be weighed or
measured under appropriate conditions that do not affect their suitability for use.
Weighing and measuring devices should be of suitable accuracy for the intended use.
8.11 If a material is subdivided for later use in production operations, the container
receiving the material should be suitable and should be so identified that the following
information is available:
-Material name and/or item code;
-Receiving or control number;
-Weight or measure of material in the new container; and
-Re-evaluation or retest date if appropriate.
8.12 Critical weighing, measuring, or subdividing operations should be witnessed or
subjected to an equivalent control. Prior to use, production personnel should verify that
the materials are those specified in the batch record for the intended intermediate or API.
8.13 Other critical activities should be witnessed or subjected to an equivalent control.
8.14 Actual yields should be compared with expected yields at designated steps in the
production process. Expected yields with appropriate ranges should be established based
on previous laboratory, pilot scale, or manufacturing data. Deviations in yield associated
with critical process steps should be investigated to determine their impact or potential
impact on the resulting quality of affected batches.
8.15 Any deviation should be documented and explained. Any critical deviation
should be investigated.
8.16 The processing status of major units of equipment should be indicated either on
the individual units of equipment or by appropriate documentation, computer control
systems, or alternative means.
8.17 Materials to be reprocessed or reworked should be appropriately controlled to
prevent unauthorized use.
8.2 Time Limits
8.20 If time limits are specified in the master production instruction (see 6.41), these
time limits should be met to ensure the quality of intermediates and APIs. Deviations
should be documented and evaluated. Time limits may be inappropriate when processing
to a target value (e.g., pH adjustment, hydrogenation, drying to predetermined
specification) because completion of reactions or processing steps are determined by inprocess
sampling and testing.
8.21 Intermediates held for further processing should be stored under appropriate
conditions to ensure their suitability for use.
8.3 In-process Sampling and Controls
8.30 Written procedures should be established to monitor the progress and control the
performance of processing steps that cause variability in the quality characteristics of
intermediates and APIs. In-process controls and their acceptance criteria should be
defined based on the information gained during the development stage or historical data.
8.31 The acceptance criteria and type and extent of testing can depend on the nature
of the intermediate or API being manufactured, the reaction or process step being
conducted, and the degree to which the process introduces variability in the product’s
quality. Less stringent in-process controls may be appropriate in early processing steps,
whereas tighter controls may be appropriate for later processing steps (e.g., isolation and
purification steps).
8.32 Critical in-process controls (and critical process monitoring), including the
control points and methods, should be stated in writing and approved by the quality
unit(s).
8.33 In-process controls can be performed by qualified production department
personnel and the process adjusted without prior quality unit(s) approval if the
adjustments are made within pre-established limits approved by the quality unit(s). All
tests and results should be fully documented as part of the batch record.
8.34 Written procedures should describe the sampling methods for in-process
materials, intermediates, and APIs. Sampling plans and procedures should be based on
scientifically sound sampling practices.
8.35 In-process sampling should be conducted using procedures designed to prevent
contamination of the sampled material and other intermediates or APIs. Procedures
should be established to ensure the integrity of samples after collection.
8.36 Out-of-specification (OOS) investigations are not normally needed for in-process
tests that are performed for the purpose of monitoring and/or adjusting the process.
8.4 Blending Batches of Intermediates or APIs
8.40 For the purpose of this document, blending is defined as the process of combining
materials within the same specification to produce a homogeneous intermediate or API.
In-process mixing of fractions from single batches (e.g., collecting several centrifuge
loads from a single crystallization batch) or combining fractions from several batches for
further processing is considered to be part of the production process and is not
considered to be blending.
8.41 Out-Of-Specification batches should not be blended with other batches for the
purpose of meeting specifications. Each batch incorporated into the blend should have
been manufactured using an established process and should have been individually tested
and found to meet appropriate specifications prior to blending.
8.42 Acceptable blending operations include but are not limited to:
-Blending of small batches to increase batch size
-Blending of tailings (i.e., relatively small quantities of isolated material) from
batches of the same intermediate or API to forma single batch.
8.43 Blending processes should be adequately controlled and documented and the
blended batch should be tested for conformance to established specifications where
appropriate.
8.44 The batch record of the blending process should allow traceability back to the
individual batches that make up the blend.
8.45 Where physical attributes of the API are critical (e.g., APIs intended for use in
solid oral dosage forms or suspensions), blending operations should be validated to show
homogeneity of the combined batch. Validation should include testing of critical
attributes (e.g., particle size distribution, bulk density, and tap density) that may be
affected by the blending process.
8.46 If the blending could adversely affect stability, stability testing of the final
blended batches should be performed.
8.47 The expiry or retest date of the blended batch should be based on the
manufacturing date of the oldest tailings or batch in the blend.
8.5 Contamination Control
8.50 Residual materials can be carried over into successive batches of the same
intermediate or API if there is adequate control. Examples include residue adhering to
the wall of a micronizer, residual layer of damp crystals remaining in a centrifuge bowl
after discharge, and incomplete discharge of fluids or crystals from a processing vessel
upon transfer of the material to the next step in the process. Such carryover should not
result in the carryover of degradants or microbial contamination that may adversely alter
the established API impurity profile.
8.51 Production operations should be conducted in a manner that will prevent
contamination of intermediates or APIs by other materials.
8.52 Precautions to avoid contamination should be taken when APIs are handled after
purification.

9 Packaging and Identification Labelling of APIs and Intermediates
9.1 General
9.10 There should be written procedures describing the receipt, identification,
quarantine, sampling, examination and/or testing and release, and handling of packaging
and labelling materials.
9.11 Packaging and labelling materials should conform to established specifications.
Those that do not comply with such specifications should be rejected to prevent their use
in operations for which they are unsuitable.
9.12 Records should be maintained for each shipment of labels and packaging
materials showing receipt, examination, or testing, and whether accepted or rejected.
9.2 Packaging Materials
9.20 Containers should provide adequate protection against deterioration or
contamination of the intermediate or API that may occur during transportation and
recommended storage.
9.21 Containers should be clean and, where indicated by the nature of the intermediate
or API, sanitized to ensure that they are suitable for their intended use. These containers
should not be reactive, additive, or absorptive so as to alter the quality of the
intermediate or API beyond the specified limits.
9.22 If containers are re-used, they should be cleaned in accordance with documented
procedures and all previous labels should be removed or defaced.
9.3 Label Issuance and Control
9.30 Access to the label storage areas should be limited to authorised personnel.
9.31 Procedures should be used to reconcile the quantities of labels issued, used, and
returned and to evaluate discrepancies found between the number of containers labelled
and the number of labels issued. Such discrepancies should be investigated, and the
investigation should be approved by the quality unit(s).
9.32 All excess labels bearing batch numbers or other batch-related printing should be
destroyed. Returned labels should be maintained and stored in a manner that prevents
mix-ups and provides proper identification.
9.33 Obsolete and out-dated labels should be destroyed.
9.34 Printing devices used to print labels for packaging operations should be
controlled to ensure that all imprinting conforms to the print specified in the batch
production record.
9.35 Printed labels issued for a batch should be carefully examined for proper identity
and conformity to specifications in the master production record. The results of this
examination should be documented.
9.36 A printed label representative of those used should be included in the batch
production record.
9.4 Packaging and Labelling Operations
9.40 There should be documented procedures designed to ensure that correct
packaging materials and labels are used.
9.41 Labelling operations should be designed to prevent mix-ups. There should be
physical or spatial separation from operations involving other intermediates or APIs.
9.42 Labels used on containers of intermediates or APIs should indicate the name or
identifying code, the batch number of the product, and storage conditions, when such
information is critical to assure the quality of intermediate or API.
9.43 If the intermediate or API is intended to be transferred outside the control of the
manufacturer’s material management system, the name and address of the manufacturer,
quantity of contents, and special transport conditions and any special legal requirements
should also be included on the label. For intermediates or APIs with an expiry date, the
expiry date should be indicated on the label and Certificate of Analysis. For
intermediates or APIs with a retest date, the retest date should be indicated on the label
and/or Certificate of Analysis.
9.44 Packaging and labelling facilities should be inspected immediately before use to
ensure that all materials not needed for the next packaging operation have been removed.
This examination should be documented in the batch production records, the facility log,
or other documentation system.
9.45 Packaged and labelled intermediates or APIs should be examined to ensure that
containers and packages in the batch have the correct label. This examination should be
part of the packaging operation. Results of these examinations should be recorded in the
batch production or control records.
9.46 Intermediate or API containers that are transported outside of the manufacturer's
control should be sealed in a manner such that, if the seal is breached or missing, the
recipient will be alerted to the possibility that the contents may have been altered.

10 Storage and Distribution
10.1 Warehousing Procedures
10.10 Facilities should be available for the storage of all materials under appropriate
conditions (e.g. controlled temperature and humidity when necessary). Records should be
maintained of these conditions if they are critical for the maintenance of material
characteristics.
10.11 Unless there is an alternative system to prevent the unintentional or unauthorised
use of quarantined, rejected, returned, or recalled materials, separate storage areas should
be assigned for their temporary storage until the decision as to their future use has been
taken.
10.2 Distribution Procedures
10.20 APIs and intermediates should only be released for distribution to third parties
after they have been released by the quality unit(s). APIs and intermediates can be
transferred under quarantine to another unit under the company’s control when
authorized by the quality unit(s) and if appropriate controls and documentation are in
place.
10.21 APIs and intermediates should be transported in a manner that does not adversely
affect their quality.
10.22 Special transport or storage conditions for an API or intermediate should be
stated on the label.
10.23 The manufacturer should ensure that the contract acceptor (contractor) for
transportation of the API or intermediate knows and follows the appropriate transport
and storage conditions.
10.24 A system should be in place by which the distribution of each batch of
intermediate and/or API can be readily determined to permit its recall.

11 Laboratory Controls
11.1 General Controls
11.10 The independent quality unit(s) should have at its disposal adequate laboratory
facilities.
11.11 There should be documented procedures describing sampling, testing, approval or
rejection of materials, and recording and storage of laboratory data. Laboratory records
should be maintained in accordance with Section 6.6.
11.12 All specifications, sampling plans, and test procedures should be scientifically
sound and appropriate to ensure that raw materials, intermediates, APIs, and labels and
packaging materials conform to established standards of quality and/or purity.
Specifications and test procedures should be consistent with those included in the
registration/filing. There can be specifications in addition to those in the
registration/filing. Specifications, sampling plans, and test procedures, including changes
to them, should be drafted by the appropriate organizational unit and reviewed and
approved by the quality unit(s).
11.13 Appropriate specifications should be established for APIs in accordance with
accepted standards and consistent with the manufacturing process. The specifications
should include a control of the impurities (e.g. organic impurities, inorganic impurities,
and residual solvents). If the API has a specification for microbiological purity,
appropriate action limits for total microbial counts and objectionable organisms should
be established and met. If the API has a specification for endotoxins, appropriate action
limits should be established and met.
11.14 Laboratory controls should be followed and documented at the time of
performance. Any departures from the above described procedures should be
documented and explained.
11.15 Any out-of-specification result obtained should be investigated and documented
according to a procedure. This procedure should require analysis of the data, assessment
of whether a significant problem exists, allocation of the tasks for corrective actions, and
conclusions. Any re-sampling and/or retesting after OOS results should be performed
according to a documented procedure.
11.16 Reagents and standard solutions should be prepared and labelled following
written procedures. “Use by” dates should be applied as appropriate for analytical
reagents or standard solutions.
11.17 Primary reference standards should be obtained as appropriate for the
manufacture of APIs. The source of each primary reference standard should be
documented. Records should be maintained of each primary reference standard’s storage
and use in accordance with the supplier’s recommendations. Primary reference standards
obtained from an officially recognised source are normally used without testing if stored
under conditions consistent with the supplier’s recommendations.
11.18 Where a primary reference standard is not available from an officially recognized
source, an “in-house primary standard” should be established. Appropriate testing should
be performed to establish fully the identity and purity of the primary reference standard.
Appropriate documentation of this testing should be maintained.
11.19 Secondary reference standards should be appropriately prepared, identified,
tested, approved, and stored. The suitability of each batch of secondary reference
standard should be determined prior to first use by comparing against a primary reference
standard. Each batch of secondary reference standard should be periodically requalified
in accordance with a written protocol.
11.2 Testing of Intermediates and APIs
11.20 For each batch of intermediate and API, appropriate laboratory tests should be
conducted to determine conformance to specifications.
11.21 An impurity profile describing the identified and unidentified impurities present
in a typical batch produced by a specific controlled production process should normally
be established for each API. The impurity profile should include the identity or some
qualitative analytical designation (e.g. retention time), the range of each impurity
observed, and classification of each identified impurity (e.g. inorganic, organic, solvent).
The impurity profile is normally dependent upon the production process and origin of the
API. Impurity profiles are normally not necessary for APIs from herbal or animal tissue
origin. Biotechnology considerations are covered in ICH Guideline Q6B.
11.22 The impurity profile should be compared at appropriate intervals against the
impurity profile in the regulatory submission or compared against historical data in order
to detect changes to the API resulting from modifications in raw materials, equipment
operating parameters, or the production process.
11.23 Appropriate microbiological tests should be conducted on each batch of
intermediate and API where microbial quality is specified.
11.3 Validation of Analytical Procedures - see Section 12.
11.4 Certificates of Analysis
11.40 Authentic Certificates of Analysis should be issued for each batch of intermediate
or API on request.
11.41 Information on the name of the intermediate or API including where appropriate
its grade, the batch number, and the date of release should be provided on the Certificate
of Analysis. For intermediates or APIs with an expiry date, the expiry date should be
provided on the label and Certificate of Analysis. For intermediates or APIs with a retest
date, the retest date should be indicated on the label and/or Certificate of Analysis.
11.42 The Certificate should list each test performed in accordance with compendial or
customer requirements, including the acceptance limits, and the numerical results
obtained (if test results are numerical).
11.43 Certificates should be dated and signed by authorised personnel of the quality
unit(s) and should show the name, address and telephone number of the original
manufacturer. Where the analysis has been carried out by a repacker or reprocessor, the
Certificate of Analysis should show the name, address and telephone number of the
repacker/ reprocessor and a reference to the name of the original manufacturer.
11.44 If new Certificates are issued by or on behalf of repackers/ reprocessors, agents or
brokers, these Certificates should show the name, address and telephone number of the
laboratory that performed the analysis. They should also contain a reference to the name
and address of the original manufacturer and to the original batch Certificate, a copy of
which should be attached.
11.5 Stability Monitoring of APIs
11.50 A documented, on-going testing program should be designed to monitor the
stability characteristics of APIs, and the results should be used to confirm appropriate
storage conditions and retest or expiry dates.
11.51 The test procedures used in stability testing should be validated and be stability
indicating.
11.52 Stability samples should be stored in containers that simulate the market
container. For example, if the API is marketed in bags within fiber drums, stability
samples can be packaged in bags of the same material and in smaller-scale drums of
similar or identical material composition to the market drums.
11.53 Normally the first three commercial production batches should be placed on the
stability monitoring program to confirm the retest or expiry date. However, where data
from previous studies show that the API is expected to remain stable for at least two
years, fewer than three batches can be used.
11.54 Thereafter, at least one batch per year of API manufactured (unless none is
produced that year) should be added to the stability monitoring program and tested at
least annually to confirm the stability.
11.55 For APIs with short shelf-lives, testing should be done more frequently. For
example, for those biotechnological/biologic and other APIs with shelf-lives of one year
or less, stability samples should be obtained and should be tested monthly for the first
three months, and at three month intervals after that. When data exist that confirm that
the stability of the API is not compromised, elimination of specific test intervals (e.g. 9
month testing) can be considered.
11.56 Where appropriate, the stability storage conditions should be consistent with the
ICH guidelines on stability.
11.6 Expiry and Retest Dating
11.60 When an intermediate is intended to be transferred outside the control of the
manufacturer’s material management system and an expiry or retest date is assigned,
supporting stability information should be available (e.g. published data, test results).
11.61 An API expiry or retest date should be based on an evaluation of data derived
from stability studies. Common practice is to use a retest date, not an expiration date.
11.62 Preliminary API expiry or retest dates can be based on pilot scale batches if
(1) the pilot batches employ a method of manufacture and procedure that simulates the
final process to be used on a commercial manufacturing scale; and (2) the quality of the
API represents the material to be made on a commercial scale.
11.63 A representative sample should be taken for the purpose of performing a retest.
11.7 Reserve/Retention Samples
11.70 The packaging and holding of reserve samples is for the purpose of potential
future evaluation of the quality of batches of API and not for future stability testing
purposes.
11.71 Appropriately identified reserve samples of each API batch should be retained for
one year after the expiry date of the batch assigned by the manufacturer, or for three
years after distribution of the batch, whichever is the longer. For APIs with retest dates,
similar reserve samples should be retained for three years after the batch is completely
distributed by the manufacturer.
11.72 The reserve sample should be stored in the same packaging system in which the
API is stored or in one that is equivalent to or more protective than the marketed
packaging system. Sufficient quantities should be retained to conduct at least two full
compendial analyses or, when there is no pharmacopoeial monograph, two full
specification analyses.

12 Validation
12.1 Validation Policy
12.10 The company's overall policy, intentions, and approach to validation, including
the validation of production processes, cleaning procedures, analytical methods, inprocess
control test procedures, computerized systems, and persons responsible for
design, review, approval and documentation of each validation phase, should be
documented.
12.11 The critical parameters/attributes should normally be identified during the
development stage or from historical data, and the ranges necessary for the reproducible
operation should be defined. This should include:
-Defining the API in terms of its critical product attributes;
-Identifying process parameters that could affect the critical quality attributes of the
API;
-Determining the range for each critical process parameter expected to be used
during routine manufacturing and process control.
12.12 Validation should extend to those operations determined to be critical to the
quality and purity of the API.
12.2 Validation Documentation
12.20 A written validation protocol should be established that specifies how validation
of a particular process will be conducted. The protocol should be reviewed and approved
by the quality unit(s) and other designated units.
12.21 The validation protocol should specify critical process steps and acceptance
criteria as well as the type of validation to be conducted (e.g. retrospective, prospective,
concurrent) and the number of process runs.
12.22 A validation report that cross-references the validation protocol should be
prepared, summarising the results obtained, commenting on any deviations observed, and
drawing the appropriate conclusions, including recommending changes to correct
deficiencies.
12.23 Any variations from the validation protocol should be documented with
appropriate justification.
12.3 Qualification
12.30 Before starting process validation activities, appropriate qualification of critical
equipment and ancillary systems should be completed. Qualification is usually carried
out by conducting the following activities, individually or combined:
-Design Qualification (DQ): documented verification that the proposed design of the
facilities, equipment, or systems is suitable for the intended purpose.
-Installation Qualification (IQ): documented verification that the equipment or
systems, as installed or modified, comply with the approved design, the
manufacturer’s recommendations and/or user requirements.
-Operational Qualification (OQ): documented verification that the equipment or
systems, as installed or modified, perform as intended throughout the anticipated
operating ranges.
-Performance Qualification (PQ): documented verification that the equipment and
ancillary systems, as connected together, can perform effectively and reproducibly
based on the approved process method and specifications.
12.4 Approaches to Process Validation
12.40 Process Validation (PV) is the documented evidence that the process, operated
within established parameters, can perform effectively and reproducibly to produce an
intermediate or API meeting its predetermined specifications and quality attributes.
12.41 There are three approaches to validation. Prospective validation is the preferred
approach, but there are exceptions where the other approaches can be used. These
approaches and their applicability are listed below.
12.42 Prospective validation should normally be performed for all API processes as
defined in 12.12. Prospective validation performed on an API process should be
completed before the commercial distribution of the final drug product manufactured
from that API.
12.43 Concurrent validation can be conducted when data from replicate production runs
are unavailable because only a limited number of API batches have been produced, API
batches are produced infrequently, or API batches are produced by a validated process
that has been modified. Prior to the completion of concurrent validation, batches can be
released and used in final drug product for commercial distribution based on thorough
monitoring and testing of the API batches.
12.44 An exception can be made for retrospective validation for well established
processes that have been used without significant changes to API quality due to changes
in raw materials, equipment, systems, facilities, or the production process. This
validation approach may be used where:
(1) Critical quality attributes and critical process parameters have been identified;
(2) Appropriate in-process acceptance criteria and controls have been established;
(3) There have not been significant process/product failures attributable to causes
other than operator error or equipment failures unrelated to equipment suitability;
and,
(4) Impurity profiles have been established for the existing API.
12.45 Batches selected for retrospective validation should be representative of all
batches made during the review period, including any batches that failed to meet
specifications, and should be sufficient in number to demonstrate process consistency.
Retained samples can be tested to obtain data to retrospectively validate the process.
12.5 Process Validation Program
12.50 The number of process runs for validation should depend on the complexity of
the process or the magnitude of the process change being considered. For prospective
and concurrent validation, three consecutive successful production batches should be
used as a guide, but there may be situations where additional process runs are warranted
to prove consistency of the process (e.g., complex API processes or API processes with
prolonged completion times). For retrospective validation, generally data from ten to
thirty consecutive batches should be examined to assess process consistency, but fewer
batches can be examined if justified.
12.51 Critical process parameters should be controlled and monitored during process
validation studies. Process parameters unrelated to quality, such as variables controlled
to minimize energy consumption or equipment use, need not be included in the process
validation.
12.52 Process validation should confirm that the impurity profile for each API is within
the limits specified. The impurity profile should be comparable to or better than
historical data and, where applicable, the profile determined during process development
or for batches used for pivotal clinical and toxicological studies.
12.6 Periodic Review of Validated Systems
12.60 Systems and processes should be periodically evaluated to verify that they are
still operating in a valid manner. Where no significant changes have been made to the
system or process, and a quality review confirms that the system or process is
consistently producing material meeting its specifications, there is normally no need for
revalidation.
12.7 Cleaning Validation
12.70 Cleaning procedures should normally be validated. In general, cleaning validation
should be directed to situations or process steps where contamination or carryover of
materials poses the greatest risk to API quality. For example, in early production it may
be unnecessary to validate equipment cleaning procedures where residues are removed
by subsequent purification steps.
12.71 Validation of cleaning procedures should reflect actual equipment usage patterns.
If various APIs or intermediates are manufactured in the same equipment and the
equipment is cleaned by the same process, a representative intermediate or API can be
selected for cleaning validation. This selection should be based on the solubility and
difficulty of cleaning and the calculation of residue limits based on potency, toxicity, and
stability.
12.72 The cleaning validation protocol should describe the equipment to be cleaned,
procedures, materials, acceptable cleaning levels, parameters to be monitored and
controlled, and analytical methods. The protocol should also indicate the type of samples
to be obtained and how they are collected and labelled.
12.73 Sampling should include swabbing, rinsing, or alternative methods (e.g., direct
extraction), as appropriate, to detect both insoluble and soluble residues. The sampling
methods used should be capable of quantitatively measuring levels of residues remaining
on the equipment surfaces after cleaning. Swab sampling may be impractical when
product contact surfaces are not easily accessible due to equipment design and/or process
limitations (e.g., inner surfaces of hoses, transfer pipes, reactor tanks with small ports or
handling toxic materials, and small intricate equipment such as micronizers and
microfluidizers).
12.74 Validated analytical methods having sensitivity to detect residues or contaminants
should be used. The detection limit for each analytical method should be sufficiently
sensitive to detect the established acceptable level of the residue or contaminant. The
method’s attainable recovery level should be established. Residue limits should be
practical, achievable, verifiable and based on the most deleterious residue. Limits can be
established based on the minimum known pharmacological, toxicological, or
physiological activity of the API or its most deleterious component.
12.75 Equipment cleaning/sanitization studies should address microbiological and
endotoxin contamination for those processes where there is a need to reduce total
microbiological count or endotoxins in the API, or other processes where such
contamination could be of concern (e.g., non-sterile APIs used to manufacture sterile
products).
12.76 Cleaning procedures should be monitored at appropriate intervals after validation
to ensure that these procedures are effective when used during routine production.
Equipment cleanliness can be monitored by analytical testing and visual examination,
where feasible. Visual inspection can allow detection of gross contamination
concentrated in small areas that could otherwise go undetected by sampling and/or
analysis.
12.8 Validation of Analytical Methods
12.80 Analytical methods should be validated unless the method employed is included
in the relevant pharmacopoeia or other recognised standard reference. The suitability of
all testing methods used should nonetheless be verified under actual conditions of use
and documented.
12.81 Methods should be validated to include consideration of characteristics included
within the ICH guidelines on validation of analytical methods. The degree of analytical
validation performed should reflect the purpose of the analysis and the stage of the API
production process.
12.82 Appropriate qualification of analytical equipment should be considered before
starting validation of analytical methods.
12.83 Complete records should be maintained of any modification of a validated
analytical method. Such records should include the reason for the modification and
appropriate data to verify that the modification produces results that are as accurate and
reliable as the established method.

13 Change Control
13.10 A formal change control system should be established to evaluate all changes that
may affect the production and control of the intermediate or API.
13.11 Written procedures should provide for the identification, documentation,
appropriate review, and approval of changes in raw materials, specifications, analytical
methods, facilities, support systems, equipment (including computer hardware),
processing steps, labelling and packaging materials, and computer software.
13.12 Any proposals for GMP relevant changes should be drafted, reviewed, and
approved by the appropriate organisational units, and reviewed and approved by the
quality unit(s).
13.13 The potential impact of the proposed change on the quality of the intermediate or
API should be evaluated. A classification procedure may help in determining the level of
testing, validation, and documentation needed to justify changes to a validated process.
Changes can be classified (e.g. as minor or major) depending on the nature and extent of
the changes, and the effects these changes may impart on the process. Scientific
judgment should determine what additional testing and validation studies are appropriate
to justify a change in a validated process.
13.14 When implementing approved changes, measures should be taken to ensure that
all documents affected by the changes are revised.
13.15 After the change has been implemented, there should be an evaluation of the first
batches produced or tested under the change.
13.16 The potential for critical changes to affect established retest or expiry dates
should be evaluated. If necessary, samples of the intermediate or API produced by the
modified process can be placed on an accelerated stability program and/or can be added
to the stability monitoring program.
13.17 Current dosage form manufacturers should be notified of changes from
established production and process control procedures that can impact the quality of the
API.

14 Rejection and Re-Use of Materials
14.1 Rejection
14.10 Intermediates and APIs failing to meet established specifications should be
identified as such and quarantined. These intermediates or APIs can be reprocessed or
reworked as described below. The final disposition of rejected materials should be
recorded.
14.2 Reprocessing
14.20 Introducing an intermediate or API, including one that does not conform to
standards or specifications, back into the process and reprocessing by repeating a
crystallization step or other appropriate chemical or physical manipulation steps (e.g.,
distillation, filtration, chromatography, milling) that are part of the established
manufacturing process is generally considered acceptable. However, if such reprocessing
is used for a majority of batches, such reprocessing should be included as part of the
standard manufacturing process.
14.21 Continuation of a process step after an in-process control test has shown that the
step is incomplete is considered to be part of the normal process. This is not considered
to be reprocessing.
14.22 Introducing unreacted material back into a process and repeating a chemical
reaction is considered to be reprocessing unless it is part of the established process. Such
reprocessing should be preceded by careful evaluation to ensure that the quality of the
intermediate or API is not adversely impacted due to the potential formation of by35
products and over-reacted materials.
14.3 Reworking
14.30 Before a decision is taken to rework batches that do not conform to established
standards or specifications, an investigation into the reason for non-conformance should
be performed.
14.31 Batches that have been reworked should be subjected to appropriate evaluation,
testing, stability testing if warranted, and documentation to show that the reworked
product is of equivalent quality to that produced by the original process. Concurrent
validation is often the appropriate validation approach for rework procedures. This
allows a protocol to define the rework procedure, how it will be carried out, and the
expected results. If there is only one batch to be reworked, then a report can be written
and the batch released once it is found to be acceptable.
14.32 Procedures should provide for comparing the impurity profile of each reworked
batch against batches manufactured by the established process. Where routine analytical
methods are inadequate to characterize the reworked batch, additional methods should be
used.
14.4 Recovery of Materials and Solvents
14.40 Recovery (e.g. from mother liquor or filtrates) of reactants, intermediates, or the
API is considered acceptable, provided that approved procedures exist for the recovery
and the recovered materials meet specifications suitable for their intended use.
14.41 Solvents can be recovered and reused in the same processes or in different
processes, provided that the recovery procedures are controlled and monitored to ensure
that solvents meet appropriate standards before reuse or co-mingling with other approved
materials.
14.42 Fresh and recovered solvents and reagents can be combined if adequate testing
has shown their suitability for all manufacturing processes in which they may be used.
14.43 The use of recovered solvents, mother liquors, and other recovered materials
should be adequately documented.
14.5 Returns
14.50 Returned intermediates or APIs should be identified as such and quarantined.
14.51 If the conditions under which returned intermediates or APIs have been stored or
shipped before or during their return or the condition of their containers casts doubt on
their quality, the returned intermediates or APIs should be reprocessed, reworked, or
destroyed, as appropriate.
14.52 Records of returned intermediates or APIs should be maintained. For each return,
documentation should include:
-Name and address of the consignee
-Intermediate or API, batch number, and quantity returned
-Reason for return
-Use or disposal of the returned intermediate or API

15 Complaints and Recalls
15.10 All quality related complaints, whether received orally or in writing, should be
recorded and investigated according to a written procedure.
15.11 Complaint records should include:
- Name and address of complainant;
- Name (and, where appropriate, title) and phone number of person submitting the
complaint;
- Complaint nature (including name and batch number of the API);
- Date complaint is received;
- Action initially taken (including dates and identity of person taking the action);
- Any follow-up action taken;
- Response provided to the originator of complaint (including date response
sent);and
- Final decision on intermediate or API batch or
lot.
15.12 Records of complaints should be retained in order to evaluate trends, productrelated
frequencies, and severity with a view to taking additional, and if appropriate,
immediate corrective action.
15.13 There should be a written procedure that defines the circumstances under which a
recall of an intermediate or API should be considered.
15.14 The recall procedure should designate who should be involved in evaluating the
information, how a recall should be initiated, who should be informed about the recall,
and how the recalled material should be treated.
15.15 In the event of a serious or potentially life-threatening situation, local, national,
and/or international authorities should be informed and their advice sought.
16 Contract Manufacturers (including Laboratories)
16.10 All contract manufacturers (including laboratories) should comply with the GMP
defined in this Guide. Special consideration should be given to the prevention of crosscontamination
and to maintaining traceability.
16.11 Contract manufacturers (including laboratories) should be evaluated by the
contract giver to ensure GMP compliance of the specific operations occurring at the
contract sites.
16.12 There should be a written and approved contract or formal agreement between the
contract giver and the contract acceptor that defines in detail the GMP responsibilities,
including the quality measures, of each party.
16.13 The contract should permit the contract giver to audit the contract acceptor's
facilities for compliance with GMP.
16.14 Where subcontracting is allowed, the contract acceptor should not pass to a third
party any of the work entrusted to him under the contract without the contract giver's
prior evaluation and approval of the arrangements.
16.15 Manufacturing and laboratory records should be kept at the site where the activity
occurs and be readily available.
16.16 Changes in the process, equipment, test methods, specifications, or other
contractual requirements should not be made unless the contract giver is informed and
approves the changes.
17 Agents, Brokers, Traders, Distributors, Repackers, and Relabellers
17.1 Applicability
17.10 This section applies to any party other than the original manufacturer who may
trade and/or take possession, repack, relabel, manipulate, distribute or store an API or
intermediate.
17.11 All agents, brokers, traders, distributors, repackers, and relabellers should comply
with GMP as defined in this Guide.
17.2 Traceability of Distributed APIs and Intermediates
17.20 Agents, brokers, traders, distributors, repackers, or relabellers should maintain
complete traceability of APIs and intermediates that they distribute. Documents that
should be retained and available include:
-Identity of original manufacturer
-Address of original manufacturer
-Purchase orders
-Bills of lading (transportation documentation)
-Receipt documents
-Name or designation of API or intermediate
-Manufacturer’s batch number
-Transportation and distribution records
-All authentic Certificates of Analysis, including those of the original manufacturer
-Retest or expiry date
17.3 Quality Management
17.30 Agents, brokers, traders, distributors, repackers, or relabellers should establish,
document and implement an effective system of managing quality, as specified in
Section 2.
17.4 Repackaging, Relabelling and Holding of APIs and Intermediates
17.40 Repackaging, relabelling and holding of APIs and intermediates should be
performed under appropriate GMP controls, as stipulated in this Guide, to avoid mix-ups
and loss of API or intermediate identity or purity.
17.41 Repackaging should be conducted under appropriate environmental conditions to
avoid contamination and cross-contamination.
17.5 Stability
17.50 Stability studies to justify assigned expiration or retest dates should be conducted
if the API or intermediate is repackaged in a different type of container than that used by
the API or intermediate manufacturer.
17.6 Transfer of Information
17.60 Agents, brokers, distributors, repackers, or relabellers should transfer all quality
or regulatory information received from an API or intermediate manufacturer to the
customer, and from the customer to the API or intermediate manufacturer.
17.61 The agent, broker, trader, distributor, repacker, or relabeller who supplies the
API or intermediate to the customer should provide the name of the original API or
intermediate manufacturer and the batch number(s) supplied.
17.62 The agent should also provide the identity of the original API or intermediate
manufacturer to regulatory authorities upon request. The original manufacturer can
respond to the regulatory authority directly or through its authorized agents, depending
on the legal relationship between the authorized agents and the original API or
intermediate manufacturer. (In this context "authorized" refers to authorized by the
manufacturer.)
17.63 The specific guidance for Certificates of Analysis included in Section 11.4
should be met.
17.7 Handling of Complaints and Recalls
17.70 Agents, brokers, traders, distributors, repackers, or relabellers should maintain
records of complaints and recalls, as specified in Section 15, for all complaints and
recalls that come to their attention.
17.71 If the situation warrants, the agents, brokers, traders, distributors, repackers, or
relabellers should review the complaint with the original API or intermediate
manufacturer in order to determine whether any further action, either with other
customers who may have received this API or intermediate or with the regulatory
authority, or both, should be initiated. The investigation into the cause for the complaint
or recall should be conducted and documented by the appropriate party.
17.72 Where a complaint is referred to the original API or intermediate manufacturer,
the record maintained by the agents, brokers, traders, distributors, repackers, or
relabellers should include any response received from the original API or intermediate
manufacturer (including date and information provided).
17.8 Handling of Returns
17.80 Returns should be handled as specified in Section 14.52. The agents, brokers,
traders, distributors, repackers, or relabellers should maintain documentation of returned
APIs and intermediates.

18 Specific Guidance for APIs Manufactured by Cell Culture/Fermentation
18.1 General
18.10 Section 18 is intended to address specific controls for APIs or intermediates
manufactured by cell culture or fermentation using natural or recombinant organisms and
that have not been covered adequately in the previous sections. It is not intended to be a
stand-alone Section. In general, the GMP principles in the other sections of this
document apply. Note that the principles of fermentation for “classical” processes for
production of small molecules and for processes using recombinant and non-recombinant
organisms for production of proteins and/or polypeptides are the same, although the
degree of control will differ. Where practical, this section will address these differences.
In general, the degree of control for biotechnological processes used to produce proteins
and polypeptides is greater than that for classical fermentation processes.
18.11 The term “biotechnological process” (biotech) refers to the use of cells or
organisms that have been generated or modified by recombinant DNA, hybridoma or
other technology to produce APIs. The APIs produced by biotechnological processes
normally consist of high molecular weight substances, such as proteins and polypeptides,
for which specific guidance is given in this Section. Certain APIs of low molecular
weight, such as antibiotics, amino acids, vitamins, and carbohydrates, can also be
produced by recombinant DNA technology. The level of control for these types of APIs
is similar to that employed for classical fermentation.
18.12 The term “classical fermentation” refers to processes that use microorganisms
existing in nature and/or modified by conventional methods (e.g. irradiation or chemical
mutagenesis) to produce APIs. APIs produced by “classical fermentation” are normally
low molecular weight products such as antibiotics, amino acids, vitamins, and
carbohydrates.
18.13 Production of APIs or intermediates from cell culture or fermentation involves
biological processes such as cultivation of cells or extraction and purification of material
from living organisms. Note that there may be additional process steps, such as
physicochemical modification, that are part of the manufacturing process. The raw
materials used (media, buffer components) may provide the potential for growth of
microbiological contaminants. Depending on the source, method of preparation, and the
intended use of the API or intermediate, control of bioburden, viral contamination, and/or
endotoxins during manufacturing and monitoring of the process at appropriate stages
may be necessary.
18.14 Appropriate controls should be established at all stages of manufacturing to
assure intermediate and/or API quality. While this Guide starts at the cell
culture/fermentation step, prior steps (e.g. cell banking) should be performed under
appropriate process controls. This Guide covers cell culture/fermentation from the point
at which a vial of the cell bank is retrieved for use in manufacturing.
18.15 Appropriate equipment and environmental controls should be used to minimize
the risk of contamination. The acceptance criteria for quality of the environment and the
frequency of monitoring should depend on the step in production and the production
conditions (open, closed, or contained systems).
18.16 In general, process controls should take into account:
-Maintenance of the Working Cell Bank (where appropriate);
-Proper inoculation and expansion of the culture;
-Control of the critical operating parameters during fermentation/cell culture;
-Monitoring of the process for cell growth, viability (for most cell culture processes)
and productivity where appropriate;
-Harvest and purification procedures that remove cells, cellular debris and media
components while protecting the intermediate or API from contamination
(particularly of a microbiological nature) and from loss of quality;
-Monitoring of bioburden and, where needed, endotoxin levels at appropriate stages
of production; and
-Viral safety concerns as described in ICH Guideline Q5A Quality of
Biotechnological Products: Viral Safety Evaluation of Biotechnology Products
Derived from Cell Lines of Human or Animal Origin.
18.17 Where appropriate, the removal of media components, host cell proteins, other
process-related impurities, product-related impurities and contaminants should be
demonstrated.
18.2 Cell Bank Maintenance and Record Keeping
18.20 Access to cell banks should be limited to authorized personnel.
18.21 Cell banks should be maintained under storage conditions designed to maintain
viability and prevent contamination.
18.22 Records of the use of the vials from the cell banks and storage conditions should
be maintained.
18.23 Where appropriate, cell banks should be periodically monitored to determine
suitability for use.
18.24 See ICH Guideline Q5D Quality of Biotechnological Products: Derivation and
Characterization of Cell Substrates Used for Production of Biotechnological/Biological
Products for a more complete discussion of cell banking.
18.3 Cell Culture/Fermentation
18.30 Where aseptic addition of cell substrates, media, buffers, and gases is needed,
closed or contained systems should be used where possible. If the inoculation of the
initial vessel or subsequent transfers or additions (media, buffers) are performed in open
vessels, there should be controls and procedures in place to minimize the risk of
contamination.
18.31 Where the quality of the API can be affected by microbial contamination,
manipulations using open vessels should be performed in a biosafety cabinet or similarly
controlled environment.
18.32 Personnel should be appropriately gowned and take special precautions handling
the cultures.
18.33 Critical operating parameters (for example temperature, pH, agitation rates,
addition of gases, pressure) should be monitored to ensure consistency with the
established process. Cell growth, viability (for most cell culture processes), and, where
appropriate, productivity should also be monitored. Critical parameters will vary from
one process to another, and for classical fermentation, certain parameters (cell viability,
for example) may not need to be monitored.
18.34 Cell culture equipment should be cleaned and sterilized after use. As appropriate,
fermentation equipment should be cleaned, and sanitized or sterilized.
41
18.35 Culture media should be sterilized before use when appropriate to protect the
quality of the API.
18.36 There should be appropriate procedures in place to detect contamination and
determine the course of action to be taken. This should include procedures to determine
the impact of the contamination on the product and those to decontaminate the equipment
and return it to a condition to be used in subsequent batches. Foreign organisms observed
during fermentation processes should be identified as appropriate and the effect of their
presence on product quality should be assessed, if necessary. The results of such
assessments should be taken into consideration in the disposition of the material
produced.
18.37 Records of contamination events should be maintained.
18.38 Shared (multi-product) equipment may warrant additional testing after cleaning
between product campaigns, as appropriate, to minimize the risk of cross-contamination.
18.4 Harvesting, Isolation and Purification
18.40 Harvesting steps, either to remove cells or cellular components or to collect
cellular components after disruption, should be performed in equipment and areas
designed to minimize the risk of contamination.
18.41 Harvest and purification procedures that remove or inactivate the producing
organism, cellular debris and media components (while minimizing degradation,
contamination, and loss of quality) should be adequate to ensure that the intermediate or
API is recovered with consistent quality.
18.42 All equipment should be properly cleaned and, as appropriate, sanitized after use.
Multiple successive batching without cleaning can be used if intermediate or API quality
is not compromised.
18.43 If open systems are used, purification should be performed under environmental
conditions appropriate for the preservation of product quality.
18. 44 Additional controls, such as the use of dedicated chromatography resins or
additional testing, may be appropriate if equipment is to be used for multiple products.
18.5 Viral Removal/Inactivation steps
18.50 See the ICH Guideline Q5A Quality of Biotechnological Products: Viral Safety
Evaluation of Biotechnology Products Derived from Cell Lines of Human or Animal
Origin for more specific information.
18.51 Viral removal and viral inactivation steps are critical processing steps for some
processes and should be performed within their validated parameters.
18.52 Appropriate precautions should be taken to prevent potential viral contamination
from pre-viral to post-viral removal/inactivation steps. Therefore, open processing should
be performed in areas that are separate from other processing activities and have separate
air handling units.
18.53 The same equipment is not normally used for different purification steps.
However, if the same equipment is to be used, the equipment should be appropriately
cleaned and sanitized before reuse. Appropriate precautions should be taken to prevent
potential virus carry-over (e.g. through equipment or environment) from previous steps.

19 APIs for Use in Clinical Trials
19.1 General
19.10 Not all the controls in the previous sections of this Guide are appropriate for the
manufacture of a new API for investigational use during its development. Section 19
provides specific guidance unique to these circumstances.
19.11 The controls used in the manufacture of APIs for use in clinical trials should be
consistent with the stage of development of the drug product incorporating the API.
Process and test procedures should be flexible to provide for changes as knowledge of
the process increases and clinical testing of a drug product progresses from pre-clinical
stages through clinical stages. Once drug development reaches the stage where the API is
produced for use in drug products intended for clinical trials, manufacturers should
ensure that APIs are manufactured in suitable facilities using appropriate production and
control procedures to ensure the quality of the API.
19.2 Quality
19.20 Appropriate GMP concepts should be applied in the production of APIs for use in
clinical trials with a suitable mechanism of approval of each batch.
19.21 A quality unit(s) independent from production should be established for the
approval or rejection of each batch of API for use in clinical trials.
19.22 Some of the testing functions commonly performed by the quality unit(s) can be
performed within other organizational units.
19.23 Quality measures should include a system for testing of raw materials, packaging
materials, intermediates, and APIs.
19.24 Process and quality problems should be evaluated.
19.25 Labelling for APIs intended for use in clinical trials should be appropriately
controlled and should identify the material as being for investigational use.
19.3 Equipment and Facilities
19.30 During all phases of clinical development, including the use of small-scale
facilities or laboratories to manufacture batches of APIs for use in clinical trials,
procedures should be in place to ensure that equipment is calibrated, clean and suitable
for its intended use.
19.31 Procedures for the use of facilities should ensure that materials are handled in a
manner that minimizes the risk of contamination and cross-contamination.
19.4 Control of Raw Materials
19.40 Raw materials used in production of APIs for use in clinical trials should be
evaluated by testing, or received with a supplier’s analysis and subjected to identity
testing. When a material is considered hazardous, a supplier's analysis should suffice.
19.41 In some instances, the suitability of a raw material can be determined before use
based on acceptability in small-scale reactions (i.e., use testing) rather than on analytical
testing alone.
19.5 Production
19.50 The production of APIs for use in clinical trials should be documented in
laboratory notebooks, batch records, or by other appropriate means. These documents
should include information on the use of production materials, equipment, processing,
and scientific observations.
19.51 Expected yields can be more variable and less defined than the expected yields
used in commercial processes. Investigations into yield variations are not expected.
19.6 Validation
19.60 Process validation for the production of APIs for use in clinical trials is normally
inappropriate, where a single API batch is produced or where process changes during
API development make batch replication difficult or inexact. The combination of
controls, calibration, and, where appropriate, equipment qualification assures API quality
during this development phase.
19.61 Process validation should be conducted in accordance with Section 12 when
batches are produced for commercial use, even when such batches are produced on a
pilot or small scale.
19.7 Changes
19.70 Changes are expected during development, as knowledge is gained and the
production is scaled up. Every change in the production, specifications, or test
procedures should be adequately recorded.
19.8 Laboratory Controls
19.80 While analytical methods performed to evaluate a batch of API for clinical trials
may not yet be validated, they should be scientifically sound.
19.81 A system for retaining reserve samples of all batches should be in place. This
system should ensure that a sufficient quantity of each reserve sample is retained for an
appropriate length of time after approval, termination, or discontinuation of an
application.
19.82 Expiry and retest dating as defined in Section 11.6 applies to existing APIs used
in clinical trials. For new APIs, Section 11.6 does not normally apply in early stages of
clinical trials.
19.9 Documentation
19.90 A system should be in place to ensure that information gained during the
development and the manufacture of APIs for use in clinical trials is documented and
available.
19.91 The development and implementation of the analytical methods used to support
the release of a batch of API for use in clinical trials should be appropriately
documented.
19.92 A system for retaining production and control records and documents should be
used. This system should ensure that records and documents are retained for an
appropriate length of time after the approval, termination, or discontinuation of an
application.

20 Glossary
Acceptance Criteria
Numerical limits, ranges, or other suitable measures for acceptance of test results.
Active Pharmaceutical Ingredient (API) (or Drug Substance)
Any substance or mixture of substances intended to be used in the manufacture of a drug
(medicinal) product and that, when used in the production of a drug, becomes an active
ingredient of the drug product. Such substances are intended to furnish pharmacological
activity or other direct effect in the diagnosis, cure, mitigation, treatment, or prevention
of disease or to affect the structure and function of the body.
API Starting Material
A raw material, intermediate, or an API that is used in the production of an API and that
is incorporated as a significant structural fragment into the structure of the API. An API
Starting Material can be an article of commerce, a material purchased from one or more
suppliers under contract or commercial agreement, or produced in-house. API Starting
Materials are normally of defined chemical properties and structure.
Batch (or Lot)
A specific quantity of material produced in a process or series of processes so that it is
expected to be homogeneous within specified limits. In the case of continuous
production, a batch may correspond to a defined fraction of the production. The batch
size can be defined either by a fixed quantity or by the amount produced in a fixed time
interval.
Batch Number (or Lot Number)
A unique combination of numbers, letters, and/or symbols that identifies a batch (or lot)
and from which the production and distribution history can be determined.
Bioburden
The level and type (e.g. objectionable or not) of micro-organisms that can be present in
raw materials, API starting materials, intermediates or APIs. Bioburden should not be
considered contamination unless the levels have been exceeded or defined objectionable
organisms have been detected.
Calibration
The demonstration that a particular instrument or device produces results within
specified limits by comparison with those produced by a reference or traceable standard
over an appropriate range of measurements.
Computer System
A group of hardware components and associated software, designed and assembled to
perform a specific function or group of functions.
Computerized System
A process or operation integrated with a computer system.
Contamination
The undesired introduction of impurities of a chemical or microbiological nature, or of
foreign matter, into or onto a raw material, intermediate, or API during production,
sampling, packaging or repackaging, storage or transport.
Contract Manufacturer
A manufacturer performing some aspect of manufacturing on behalf of the original
manufacturer.
Critical
Describes a process step, process condition, test requirement, or other relevant parameter
or item that must be controlled within predetermined criteria to ensure that the API meets
its specification.
Cross-Contamination
Contamination of a material or product with another material or product.
Deviation
Departure from an approved instruction or established standard.
Drug (Medicinal) Product
The dosage form in the final immediate packaging intended for marketing. (Reference
Q1A)
Drug Substance
See Active Pharmaceutical Ingredient
Expiry Date (or Expiration Date)
The date placed on the container/labels of an API designating the time during which the
API is expected to remain within established shelf life specifications if stored under
defined conditions, and after which it should not be used.
Impurity
Any component present in the intermediate or API that is not the desired entity.
Impurity Profile
A description of the identified and unidentified impurities present in an API.
In-Process Control (or Process Control)
Checks performed during production in order to monitor and, if appropriate, to adjust the
process and/or to ensure that the intermediate or API conforms to its specifications.
Intermediate
A material produced during steps of the processing of an API that undergoes further
molecular change or purification before it becomes an API. Intermediates may or may
not be isolated. (Note: this Guide only addresses those intermediates produced after the
point that the company has defined as the point at which the production of the API
begins.)
Lot
See Batch
Lot Number see Batch Number
Manufacture
All operations of receipt of materials, production, packaging, repackaging, labelling,
relabelling, quality control, release, storage, and distribution of APIs and related controls.
Material
A general term used to denote raw materials (starting materials, reagents, solvents),
process aids, intermediates, APIs and packaging and labelling materials.
Mother Liquor
The residual liquid which remains after the crystallization or isolation processes. A
mother liquor may contain unreacted materials, intermediates, levels of the API and/or
impurities. It may be used for further processing.
Packaging Material
Any material intended to protect an intermediate or API during storage and transport.
Procedure
A documented description of the operations to be performed, the precautions to be taken
and measures to be applied directly or indirectly related to the manufacture of an
intermediate or API.
Process Aids
Materials, excluding solvents, used as an aid in the manufacture of an intermediate or
API that do not themselves participate in a chemical or biological reaction (e.g. filter aid,
activated carbon, etc).
Process Control
See In-Process Control
Production
All operations involved in the preparation of an API from receipt of materials through
processing and packaging of the API.
Qualification
Action of proving and documenting that equipment or ancillary systems are properly
installed, work correctly, and actually lead to the expected results. Qualification is part of
validation, but the individual qualification steps alone do not constitute process
validation.
Quality Assurance (QA)
The sum total of the organised arrangements made with the object of ensuring that all
APIs are of the quality required for their intended use and that quality systems are
maintained.
Quality Control (QC)
Checking or testing that specifications are met.
Quality Unit(s)
An organizational unit independent of production which fulfills both Quality Assurance
and Quality Control responsibilities. This can be in the form of separate QA and QC
units or a single individual or group, depending upon the size and structure of the
organization.
Quarantine
The status of materials isolated physically or by other effective means pending a decision
on their subsequent approval or rejection.
Raw Material
A general term used to denote starting materials, reagents, and solvents intended for use
in the production of intermediates or APIs.
Reference Standard, Primary
A substance that has been shown by an extensive set of analytical tests to be authentic
material that should be of high purity. This standard can be: (1) obtained from an
officially recognised source, or (2) prepared by independent synthesis, or (3) obtained
from existing production material of high purity, or (4) prepared by further purification
of existing production material.
Reference Standard, Secondary
A substance of established quality and purity, as shown by comparison to a primary
reference standard, used as a reference standard for routine laboratory analysis.
Reprocessing
Introducing an intermediate or API, including one that does not conform to standards or
specifications, back into the process and repeating a crystallization step or other
appropriate chemical or physical manipulation steps (e.g., distillation, filtration,
chromatography, milling) that are part of the established manufacturing process.
Continuation of a process step after an in-process control test has shown that the step is
incomplete is considered to be part of the normal process, and not reprocessing.
Retest Date
The date when a material should be re-examined to ensure that it is still suitable for use.
Reworking
Subjecting an intermediate or API that does not conform to standards or specifications to
one or more processing steps that are different from the established manufacturing
process to obtain acceptable quality intermediate or API (e.g., recrystallizing with a
different solvent).
Signature (signed)
See definition for signed
Signed (signature)
The record of the individual who performed a particular action or review. This record can
be initials, full handwritten signature, personal seal, or authenticated and secure
electronic signature.
Solvent
An inorganic or organic liquid used as a vehicle for the preparation of solutions or
suspensions in the manufacture of an intermediate or API.
Specification
A list of tests, references to analytical procedures, and appropriate acceptance criteria
that are numerical limits, ranges, or other criteria for the test described. It establishes the
set of criteria to which a material should conform to be considered acceptable for its
intended use. “Conformance to specification” means that the material, when tested
according to the listed analytical procedures, will meet the listed acceptance criteria.
Validation
A documented program that provides a high degree of assurance that a specific process,
method, or system will consistently produce a result meeting pre-determined acceptance
criteria.
Validation Protocol
A written plan stating how validation will be conducted and defining acceptance criteria.
For example, the protocol for a manufacturing process identifies processing equipment,
critical process parameters/operating ranges, product characteristics, sampling, test data
to be collected, number of validation runs, and acceptable test results.
Yield, Expected
The quantity of material or the percentage of theoretical yield anticipated at any
appropriate phase of production based on previous laboratory, pilot scale, or
manufacturing data.
Yield, Theoretical
The quantity that would be produced at any appropriate phase of production, based upon
the quantity of material to be used, in the absence of any loss or error in actual
production.