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USFDA Guidance on
Quality Systems Approach to
Pharmaceutical CGMP Regulations
Presented by:
G. Hari Hara Rao,
Regd no: 219206,
M.Pharm I Sem,

TABLE OF CONTENTS
2
1. Introduction
2. Background and Purpose
3
CGMPs and the concepts of modern Quality systems
4. The Quality Systems Model
5. Conclusion
6. References

3
Introduction:
This guidance is intended to help manufacturers implementing modern quality
systems and risk management approaches to meet the requirements of the
Agency's current good manufacturing practice (CGMP) regulations
(21 CFR parts 210 and 211).
The guidance describes a comprehensive quality systems (QS) model,
highlighting the model's consistency with the CGMP regulatory requirements for
manufacturing human and veterinary drugs, including biological drug products.
The guidance also explains how manufacturers implementing such quality
systems can be in full compliance with parts 210 and 211.

4
Background and Purpose:
1.In August 2002, the FDA announced the
Pharmaceutical CGMPs for the 21st Century
Initiative. In that announcement, the FDA
explained the Agency’s intent to integrate
quality systems and risk management
approaches into its existing programs with
the goal of encouraging industry to adopt
modern and innovative manufacturing
technologies
2.The CGMP regulations and other quality
management systems differ somewhat in
organization and in certain constituent
elements; however, they are very similar and
share underlying principles.
3.For example, the CGMP regulations stress
quality control. More recently developed quality
systems stress quality management, quality
assurance, and the use of risk management
tools, in addition to quality control. The QS
working group decided that it would be very
useful to examine exactly how the CGMP
regulations and the elements of a modern,
comprehensive quality system fit together
in today's manufacturing world. This
guidance is the result of that examination.

5
1.This guidance describes a comprehensive
quality systems model, which, if
implemented, will allow manufacturers to
support and sustain robust, modern quality
systems that are consistent with CGMP
regulations.
2.A quality system addresses the public and
private sectors’ mutual goal of providing a
high-quality drug product to patients and
prescribers. A well-built quality system
should reduce the number of (or prevent)
recalls, returned or salvaged products, and
defective products entering the marketplace.
3.In addition, an effective quality system, by
lowering the risk of manufacturing problems,
may result in shorter and fewer FDA
inspections
4.A quality system can provide the
necessary framework for implementing
quality by design4 (building in quality from
the development phase and throughout a
product’s life cycle), continual improvement,
and risk management in the drug
manufacturing process.
Goals of
the
guidance

6
Scope of the guidance:
This guidance applies to manufacturers
of drug products (finished
pharmaceuticals), including products
regulated by the Center for Biologics
Evaluation and Research (CBER), the
Center for Drug Evaluation and Research
(CDER), and the Center for Veterinary
Medicine (CVM).
It may also be useful to manufacturers of
components (including active
pharmaceutical ingredients) used in the
manufacture of these products.
The document explains how
implementing comprehensive quality
systems can help manufacturers achieve
compliance with 21 CFR parts 210 and
211.

7
Organization of the guidance:
Management
Responsibilities
Resources
Manufacturing
Operations
Evaluation Activities

8
CGMPs and the concepts of modern quality
systems:
1.Quality: Every pharmaceutical product has established identity,
strength, purity, and other quality characteristics designed to ensure the
required levels of safety and effectiveness. For the purposes of this
guidance document, the phrase achieving quality means achieving
these characteristics for a product.
2.Quality by Design and Product Development: Quality by design
means designing and developing a product and associated manufacturing
processes that will be used during product development to ensure that the
product consistently attains a predefined quality at the end of the
manufacturing process.
3.Quality Risk Management: Quality risk management can in the setting
of specifications and process parameters for drug manufacturing, assess
and mitigate the risk of changing a process or specification, and determine
the extent of discrepancy investigations and corrective actions.

9
4.CAPA (Corrective and Preventive Action):
CAPA is a well-known CGMP regulatory concept that focuses
on investigating, understanding, and correcting discrepancies
while attempting to prevent their recurrence.
Remedial corrections of an
identified problem
Root cause analysis with
corrective action to help
understand the cause of the
deviation and potentially
prevent recurrence of a
similar problem
Preventive action to avert
recurrence of a similar
potential problem

10
5.Change Control: Change control is another well-known
CGMP concept that focuses on managing change to
prevent unintended consequences.
6.The Quality Unit: Current industry practice generally
divides the responsibilities of the quality control unit
(QCU), as defined in the CGMP regulations, between
quality control (QC) and quality assurance (QA) functions.

The Quality Unit:
Quality
control
functions:
1.Assessing the
suitability of
incoming
components,
containers,
closures, labeling,
in-process
materials, and the
finished products.
2.Evaluating the
performance of the
manufacturing
process to ensure
adherence to
proper
specifications and
limits.
3.Determining the
acceptability of
each batch for
release.
11

The Quality Unit:
Quality
Assurance
Functions:
Review and approval
of all procedures
related to production
and maintenance
Review of associated
records
Auditing and
performing/evaluating
trend analyses.
12

• Ensuring that controls are implemented
and completed satisfactorily during
manufacturing operations.
• Ensuring that developed procedures and
specifications are appropriate and
followed, including those used by a firm
under contract to the manufacturer.
• Approving or rejecting incoming materials,
in-process materials, and drug products.
• Reviewing production records and
investigating any unexplained
discrepancies
Other CGMP
assigned
responsibilities
of the QU are
consistent with
modern quality
system
approaches:
13

Six-system Inspection Model:
The FDA's Drug
Manufacturing
Inspection
Compliance Program,
which contains
instructions to FDA
personnel for
conducting
inspections, is a
systems-based
approach to inspection
and is very consistent
with the robust quality
system model
presented in this
guidance.
The diagram below
shows the relationship
among the six
systems: the quality
system and the five
manufacturing
systems.
The quality system
provides the
foundation for the
manufacturing
systems that are
linked and function
within it. The quality
system model
described in this
guidance does not
consider the five
manufacturing
systems as discrete
entities, but instead
integrates them into
appropriate sections
of the model.
Those familiar with the
six-system inspection
approach will see
organizational
differences in this
guidance; however,
the inter-relationship
should be readily
apparent.
One of the important
themes of the systems
based inspection
compliance program is
that you have the
ability to assess
whether each of the
systems is in a state
of control. The quality
system model
presented in this
guidance will also
serve to help firms
achieve this state of
control.
14

Six-system Inspection Model:
15

The Quality systems models:
This section describes model for
use in pharmaceutical
manufacturing that can help
manufacturers comply with the
CGMP regulations.
This section describes a robust
quality systems model that, if
properly implemented, can provide
the controls to consistently produce
a product of acceptable quality.
• Management Responsibilities
• Resources
• Manufacturing Operations
• Evaluation Activities
The model is described according
to four major factors:
16

• Provide Leadership.
• Structure the Organization.
• Build Your Quality System
to Meet Requirements
• Establish Policies,
Objectives, and Plans
• Review the System.
Management
Responsibilities:
17

18
Provide Leadership:
• Actively participating in system design, implementation, and monitoring,
including system review
• Advocating continual improvement of operations of the quality system
• Committing necessary resources
• All managers should demonstrate strong and visible support for the quality
system and ensure its implementation throughout the organization (e.g.,
across multiple sites).
• All managers should encourage internal communication on quality issues at
all levels in the organization.

Structure Of
The
Organization:
Management has the responsibility
to structure the organization and
ensure that assigned authorities
and responsibilities support the
production, quality, and
management activities needed to
produce quality products.
Senior managers have the
responsibility to ensure that the
organization’s structure is
documented.
All managers have the
responsibility to communicate
employee roles, responsibilities,
and authorities within the system
and ensure that interactions are
defined and understood.
19

Build Your
System To
Meet
Requirements
Implementing a robust
quality system can help
ensure compliance with
CGMP regulations related
to drug safety, identity,
strength, quality, and
purity.
For example, according to
the model, when
documenting the
implementation of a
quality system, the
following should be
addressed:
• The scope of the quality system,
including any outsourcing.
• The quality standard that will be
followed.
• The manufacturer’s policies to
implement the quality systems
criteria and the supporting
objectives.
• The procedures needed to
establish and maintain the
quality system
20

Establish Policies, Objectives
And Plans:
• Policies, objectives, and plans under a
modern quality system provide the
means by which senior managers
articulate their vision of and commitment
to quality to all levels of the organization.
• Managers operating within a quality
system should define the quality
objectives identified for implementing the
quality policy.
• Under a quality systems approach,
managers would use quality planning to
identify and allocate resources and define
methods to achieve the quality
objectives.
• Quality system plans should be
documented and communicated to
personnel to ensure awareness of how
their operational activities are aligned
with strategic and quality goals.
21

Review The System:
Under a quality systems approach, a review should consider
at least the following:
The
appropriatene
ss of the
quality policy
and objectives
The results of
audits and
other
assessments
Customer
feedback,
including
complaints.
The analysis
of data
trending
results
The status of
actions to
prevent a
potential
problem or a
recurrence
Any follow-up
actions from
previous
management
reviews
Any changes
in business
practices or
environment
that may affect
the quality
system (such
as the volume
or type of
operations)
Product
characteristics
meeting the
customer’s
needs
22

Resources:
General
Agreements
Personnel
Development
Facilities And
Equipment
Control
Outsourced
Operations. 23

General Agreements:
Under a robust
quality system,
sufficient resources
should be allocated
for quality system
and operational
activities.
Under the model, senior management, or a designee, should be responsible for providing
adequate resources for the following:
To supply and
maintain the
appropriate facilities
and equipment to
consistently
manufacture a
quality product.
To acquire and
receive materials that
are suitable for their
intended purpose.
For processing the
materials to produce
the finished drug
product.
For laboratory
analysis of the
finished drug
product, including
collection, storage,
and examination of
in-process, stability,
and reserve samples
24

Personnel Development:
Managers should encourage communication by creating an environment that values employee
suggestions and acts on suggestions for improvement.
In a quality system, personnel should be qualified to do the operations that are assigned to them in
accordance with the nature of, and potential risk of, their operational activities.
Under a quality system, managers should define appropriate qualifications for each position to help
ensure that individuals are assigned appropriate responsibilities.
Under a quality system, continued training is critical to ensure that the employees remain proficient in
their operational functions and in their understanding of CGMP regulations.
Typical quality systems training should address the policies, processes, procedures, and written
instructions related to operational activities, the product/service, the quality system, and the desired work
culture (e.g., team building, communication, change, behavior).
25

Under a quality system, the
technical experts (e.g.,
engineers, development
scientists), who have an
understanding of pharmaceutical
science, risk factors, and
manufacturing processes related
to the product, are responsible
for defining specific facility and
equipment requirements.
Under the CGMP regulations,
equipment must be qualified,
calibrated, cleaned, and
maintained to prevent
contamination and mix-ups.
Facilities
And
Equipment:
26

Control Outsourced Operations:
• Outsourcing involves hiring a second party under a
contract to perform the operational processes that are
part of a manufacturer’s inherent responsibilities. For
example, a manufacturer may hire another firm to
package and label or perform CGMP regulatory training.
• Under a quality system, the manufacturer should ensure
that a contract firm is qualified before signing a contract
with that firm.
• The contract firm’s personnel should be adequately
trained and monitored for performance according to their
quality system, and the contract firm's and contracting
manufacturer’s quality standards should not conflict.
27

Manufacturing:
Design, Develop, and Document Product
And Process.
Examine Outputs.
Perform and Monitor Operations.
Address nonconformities.
Quality risk management.
Corrective action.
Preventive actions.
Promote improvement.
28

1. Design, Develop,
And Document
Product And Process:
In a modern quality systems manufacturing environment, the
significant characteristics of the product being manufactured
should be defined from design to delivery, and control should be
exercised over all changes.
In addition, quality and manufacturing processes and procedures
— and changes to them — must be defined, approved, and
controlled.
It is important to establish responsibility for designing or changing
products. Documenting processes, associated controls, and
changes to these processes will help ensure that sources of
variability are identified.
Documentation
includes:
Resources and facilities used
Procedures to carry out the process
Identification of the process owner who will maintain and update
the process as needed
Identification and control of important variables
Quality control measures, necessary data collection, monitoring,
and appropriate controls for the product and process
Any validation activities, including operating ranges and
acceptance criteria
Effects on related process, functions, or personnel
29

2.Examine Outputs:
In a modern quality
systems model, the term
input includes any material
that goes into a final
product, no matter whether
the material is purchased
by the manufacturer or
produced by the
manufacturer for the
purpose of processing.
Materials can include items
such as components (e.g.,
ingredients, process water,
and gas), containers, and
closures. A robust quality
system will ensure that all
inputs to the manufacturing
process are reliable
because quality controls
will have been established
for the receipt, production,
storage, and use of all
inputs.
The CGMP regulations
require either testing or use
of a certificate of analysis
(COA) plus an identity
analysis for the release of
materials for
manufacturing.
Systems that produce
these in-house materials
should be designed,
maintained, qualified, and
validated where appropriate
to ensure that the materials
meet their acceptance
criteria.
In addition, it is
recommended that
changes to materials (e.g.,
specification, supplier, or
materials handling) be
implemented through a
change control system
(certain changes require
review and approval by the
QU.
30

3.Perform And Monitor Operations:
• An important purpose of implementing a quality
systems approach is to enable a manufacturer to
more efficiently and effectively validate, perform,
and monitor operations and ensure that the
controls are scientifically sound and appropriate.
• The goal of establishing, adhering to, measuring,
and documenting specifications and process
parameters is to objectively assess whether an
operation is meeting its design and product
performance objectives.
• In a robust quality system, production and
process controls should be designed to ensure
that the finished products have the identity,
strength, quality, and purity they purport or are
represented to possess.
31

Both the CGMP regulations and quality systems models call for
the monitoring of critical processes that may be responsible for
causing variability during production. For example:
Process steps must be
verified by a second
person. Process steps can
also be performed using a
validated computer system.
Batch production records
must be prepared
contemporaneously with
each phase of production.
Procedures must be in
place to prevent
objectionable
microorganisms in finished
products not required to be
sterile and to prevent
microbial contamination of
finished products purported
to be sterile. Sterilization
processes must be
validated for sterile drugs.
Under a quality system, trends
should be continually identified
and evaluated. One way of
accomplishing this is the use of
statistical process control. The
information from trend analyses
can be used to continually
monitor quality, identify potential
variances before they become
problems, bolster data already
collected for the annual review,
and facilitate improvement
throughout the product life
cycle.
Process capability
assessment can serve as a
basis for determining the
need for changes that can
result in process
improvements and
efficiency
32

4. Additional Nonconformities:
A key component in
any quality system is
handling
nonconformities and/or
deviations. The
investigation,
conclusion, and follow-
up must be
documented.
In a quality system, it
is important to develop
and document
procedures that define
who is responsible for
halting and resuming
operations, recording
non-conformities,
investigating
discrepancies, and
taking remedial action.
Remedial action can include any of the following:
Correct the non-
conformity
With proper
authorization, allow
the product to
proceed with
justification of the
conclusions
regarding the
problem’s impact
Use the product for
another application
where the deficiency
does not affect the
product’s quality
Reject the product
33

Evaluation
Activities:
Analyze Data
For Trends.
Conduct
Internal Audits.
Quality Risk
Management.
Corrective
Actions.
Preventive
Actions.
Promote
Improvement 34

1.Analyze Data For
Trends:
Quality systems call for continually
monitoring trends and improving
systems. This can be achieved by
monitoring data and information,
identifying and resolving problems,
and anticipating and preventing
problems.
Quality systems procedures involve collecting
data from monitoring, measurement,
complaint handling, or other activities, and
tracking this data over time, as appropriate.
35

2. Conduct Internal Audits:
• A quality systems approach calls for audits to be conducted at planned intervals to
evaluate effective implementation and maintenance of the quality system and to
determine if processes and products meet established parameters and specifications.
• Procedures should describe how auditors are trained in objective evidence gathering,
their responsibilities, and auditing procedures. Procedures should also define auditing
activities such as the scope and methodology of the audit, selection of auditors, and audit
conduct (audit plans, opening meetings, interviews, closing meeting and reports).
• It is critical to maintain records of audit findings and assign responsibility for follow-up to
prevent problems from recurring
• The quality systems model calls for managers who are responsible for the areas audited
to take timely action to resolve audit findings and ensure that follow-up actions are
completed, verified, and recorded.
36

Quality Risk
Management:
Effective decision-making in a quality systems environment is
based on an informed understanding of quality issues.
Elements of risk should be considered relative to intended use of a
product, and in the case of pharmaceuticals, patient safety and
ensuring availability of medically necessary drug products.
Management should assign priorities to activities or actions based
on an assessment of the risk including both the probability of
occurrence of harm and of the severity of that harm.
It is important to engage appropriate parties in assessing the risk.
Such parties include customers, appropriate manufacturing
personnel, and other stakeholders.
In a manufacturing quality systems environment, risk management
is used as a tool in the development of product specifications and
critical process parameters.
37

Corrective
Actions:
Corrective action is a reactive tool for system
improvement to ensure that significant problems do
not recur.
Both quality systems and the CGMP regulations
emphasize corrective actions.
Quality systems approaches call for procedures to be
developed and documented to ensure that the need
for action is evaluated relevant to the possible
consequences, the root cause of the problem is
investigated, possible actions are determined, a
selected action is taken within a defined timeframe,
and the effectiveness of the action taken is evaluated
It is essential to document corrective actions taken.
38

Corrective
Actions:
It is essential to determine
what actions will reduce
the likelihood of a problem
recurring. Examples of
sources that can be used
to gather such information
include the following:
• Nonconformance reports and
rejections
• Returns
• Complaints
• Internal and external audits
• Data and risk assessment
related to operations and quality
system processes
• Management review decisions
39

Preventive Actions:
1.Succession planning,
training, capturing institutional
knowledge, and planning for
personnel, policy, and
process changes are
preventive actions that will
help ensure that potential
problems and root causes are
identified, possible
consequences assessed, and
appropriate actions
considered.
2.The selected preventive
action should be evaluated
and recorded, and the system
should be monitored for the
effectiveness of the action.
3.Problems can be
anticipated and their
occurrence prevented by
reviewing data and analyzing
risks associated with
operational and quality
system processes, and by
keeping abreast of changes in
scientific developments and
regulatory requirements.
40

Management may
choose to use other
improvement activities
as appropriate.
It is critical that senior
management be
involved in the
evaluation of this
improvement process.
Promote
Improvement:
41

42
Conclusion:
1.The central goal of a quality system
is the consistent production of safe and
effective products and ensuring that
these activities are sustainable.
2.A robust quality system will promote
process consistency by integrating
effective knowledge-building
mechanisms into daily operational
decisions.
3. Both good manufacturing practice
and good business practice require a
robust quality system. When fully
developed and effectively managed, a
quality system will lead to consistent,
predictable processes that ensure that
pharmaceuticals are safe, effective,
and available for the consumer.

• Science-based approaches
• Decisions based on an understanding of the
intended use of a product
• Proper identification and control of areas of
potential process weakness
• Responsive deviation and investigation systems
that lead to timely remediation
• Sound methods for assessing and reducing risk
• Well-defined processes and products, starting
from development and extending throughout the
product life cycle.
• Systems for careful analysis of product quality
• Supportive management (philosophically and
financially)
Specifically,
successful
quality systems
share the
following
characteristics:
43

Useful reference materials:
1.1978 Preamble to the Good Manufacturing Practice Final Regulations – Federal
Register Docket No. 73N-0339] http://www.fda.gov/cder/dmpq/preamble.txt
2. CPGM 7356.002 Compliance Program – Drug Manufacturing Inspections
http://www.fda.gov/cder/dmpq/compliance_guide.htm
3. Quality Planning and Analysis, 3rd Ed. by J.M. Juran, F.M. Gryna (McGraw-Hill,
New York, N.Y. 1993)
4. ANSI/ISO/ASQ Q9000-2000: Quality management systems – Fundamentals and
vocabulary, (American Society for Quality, 2000)
5. Guideline of General Principles of Process Validation, May 1987 –
http://www.fda.gov/cder/guidance/pv.htm
45

6.FDA Compliance Policy Guide 7132c.08 Process Validation Requirements for Drug Products and Active
Pharmaceutical Ingredients Subject to Pre-Market Approval, updated 03-12-2004 –
http://www.fda.gov/ora/compliance_ref/cpg/cpgdrg/cpg490-100.html
7. Guidance for Industry - Sterile Drug Products Produced by Aseptic Processing Current Good
Manufacturing Practice – September 2004. See also the draft guidance on investigating Out-of-
Specification (OOS) Test Results for Pharmaceutical Production.
8. FDA Compliance Policy Guide Sec. 130.300, FDA Access to Results of Quality Assurance Program
Audits and Inspections, (CPG 7151.02) http://www.fda.gov/ora/compliance_ref/cpg/cpggenl/cpg130-
300.html
9. Criteria for Performance Excellence, Business (Baldrige National Quality Program, NIST 2003)
http://baldrige.nist.gov/PDF_files/2003_Business_Criteria.pdf
10.ANSI/ISO/ASQ Q9001-2000: Quality management systems – Requirements (American Society for
Quality, 2000)
11. ANSI/ISO/ASQ Q9004-2000: Quality management systems – Guidelines for performance
improvement (American Society for Quality, 2000)
46

12.ANSI/ISO 17025-1999: General requirements for the competence of testing and calibration laboratories (American Society
for Quality, 1999)
13. CMMI-SE/SW, V1.1: Capability Maturity Model Integration for Systems Engineering and Software Engineering, Staged
Representation (Software Engineering Institute, Carnegie Mellon University, 2002)
http://www.sei.cmu.edu/pub/documents/02.reports/pdf/02tr002.pdf
14. The Balanced Scorecard Institute: http://balancedscorecard.org
15. Guidance for Developing Quality Systems for Environmental Program (EPA QA/G-1, Nov 2002)
http://www.epa.gov/quality/qs-docs/g1-final.pdf
16. Guidance for Industry Q7A Good Manufacturing Practice Guidance for Active Pharmaceutical Ingredients (U.S.
Department of Health and Human Services/ Food and Drug Administration, August 2001) .
17.Good Manufacturing Practices for Pharmaceutical Products: Main Principles (World Health Organization Technical Report
Series, No. 908, 2003) http://www.who.int/medicines/library/qsm/trs908/trs908-4.pdf
18. Procedures For The Implementation of The Federal Managers’ Financial Integrity Act (FMFIA); (FDA Staff Manual Guide
2350.1) 47

20.Framework for Environmental Health Risk Assessment – Final Report, Vol.1
(Presidential/Congressional Commission on Risk Assessment and Risk Management, 1997)
http://www.riskworld.com/Nreports/1997/risk-rpt/pdf/EPAJAN.PDF
21. Report on FDA Quality System Framework for Pharmaceutical Product Regulation Activities; (Quality
System Framework Subcommittee, December 2003)
22. Tutorials for Continuous Quality Improvement (Clemson University, 1995)
http://deming.eng.clemson.edu/pub/tutorials/
23. Variation Risk Management – Focusing Quality Improvement in Product Development and Products
by Anna C. Thornton (John Wiley and Sons, Inc.; Hoboken, New Jersey, 2004
24.Guidance for Industry for the Submission of Documentation for Sterilization Process Validation in
Applications for Human and Veterinary Drug Products – http://www.fda.gov/cder/guidance/cmc2.pdf
25. Chapter 3, “Quality Management in the American Pharmaceutical Industry,” in Pharmaceutical Quality,
Ed. by R. Prince (DHI Publishing, River Grove, IL, 2004)
48

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