Cdsco gmp check list

SOP No.: EP-INS-004 Page 1
Annexure-1
GMP CHECKLIST
(Based on WHO Good Manufacturing Practices (GMP) for active pharmaceutical ingredients stated as per
Annex 2- WHO Technical report Series(TRS), No. 957, 2010; Good Manufacturing Practice guide for
Active Pharmaceutical Ingredients ICH Harmonised Triplicate Guideline stated as per ICH Q9; and GMP
requirements as per Directives No. 2001/83/EC latest amended vide Directive 2011/62/EU)
1 Location and surroundings: Self appraisal to
be filled by the
manufacturer
along with all
details (yes or no
type reply will not
be acceptable)
Observations to
be noted by the
inspecting team
at the time of
inspection
Remarks
1.1 How factory building is situated and
controlled to avoid risk of
contamination from external
environment including open sewage,
drain, public lavatory or any other
factory which produces disagreeable
or obnoxious, odors, fumes,
excessive soot, dust, and smoke,
chemical or biological emissions.
Pls specify industries /
establishments adjoining
manufacturing site.
2 Building and premises: -
2.1 How the building has been designed
constructed and maintained to suit
the manufacturing operations so as
to produce drugs under hygienic
conditions.
Pls specify nature of construction
used in the facility in respect of its
maintenance and hygienic
conditions.
2.2 Whether the building confirm to the
conditions laid down in the Factories
Act, 1948
Pls attach valid factory certificate/
license issued by the competent
authority.
2.3 Specify how the premises used for
manufacturing operations and
testing purpose prevents
contaminations and cross
contamination is:
a) Compatible with other drug
manufacturing operations that may
be carried out in the same or
adjacent area.
Pls specify any special criteria for

the product manufacturered. e.g.
temperature, humidity, air class
requirements maintained for aseptic
products, etc.
2.4 b) Whether adequate working space
is provided to allow orderly and
logical placement of equipment,
materials and movement of
personnel so as to avoid risk of mix-
up between different categories of
drugs and to avoid possibility of the
contamination by suitable
mechanism.
Pls specify space left around the
machines. Pls attach equipment lay
out, men and material movement,
waste movement if applicable.
2.5 c) Describe the pest, insects, birds
and rodents control system followed
in the premises.
Attach copy of pest / rodent control
schedule along with contract
agreement if any.
2.6 d) What measures have been taken
to make Interior surface of (walls,
floors, and ceilings) smooth and free
from cracks, and to permit easy
cleaning
Specify material of construction and
finish for walls, ceiling, floor, coving
etc. i.e. whether Epoxy or PU
coated, kota / granite stone with
epoxy sealed joints, solid / GI /
gypsum / cal. Silicate board ceiling
with epoxy, PU or any other pre-
fabricated panel (GRP, powder
coated SS or Aluminum etc.) paint.
2.7 e) What measures have been taken
so that the production and
dispensing areas are well lighted and
effectively ventilated, with air
control facilities.
Pls specify the lux level maintained
in various parts of the premise.
2.8 Pls specify the air handling system
used in various areas like stores,
production, packing, QC areas etc.

2.9 f) Specify drainage system which
prevents back flow and entry of
insects and rodents into the
premises. Drains should be of
adequate size and should be
provided with an air break or a
suitable device to prevent back-
siphonage
(pls specify number and location of
drains installed)
2.10 Containment area:
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.
3 Water system: -
3.1 Whether the unit has validated
system for treatment of water drawn
from own or any other source to
render it potable in accordance with
standards specified by BIS or local
municipal norms.
Pls specify source of raw water and
give details of treatment processes,
sampling points, distribution and
storage system for raw and purified
water.
3.2 How bio burden in purified water
controlled / reduced.
3.3 How water tank are cleaned
periodically and records maintained
thereof. How water distribution
system is sanitized to control
microbial contaminations.
4 Disposal of waste: -
4.1 Specify the system of disposal of
sewage, and effluents (solid, liquid,
and gas) from the manufacturing
site.
(Enclosed the copy of NOC obtained
from State Pollution Control Board
in this regard).

4.2 Whether provision for disposal of
bio-medical waste made as per the
provisions of the Bio Medical Waste
(Management and Handling) Rules
1996.
5 Warehousing Area: -
5.1 Whether adequate areas have been
allocated for warehousing of Raw
Materials, intermediates, Packaging
Material, products in quarantine,
finish products, rejected or returned
products.
How these areas marked or
segregated.
Please specify the total area
provided for warehousing.
5.2 How the warehousing areas being
maintained to have good storage
conditions. Are they clean and dry
and maintained within acceptable
temperature limits?
5.3 Specify the storage arrangement
provided for materials which
sensitive to temperature, humidity
and light and how the parameters are
monitored.
Is cold room or deep freezers
required for storage of goods? If yes,
how the temperature is monitored.
5.4 Whether proper racks, bins and
platforms have been provided for the
storage.
5.5 Whether receiving and dispatch bays
are maintained to protect in coming
and out going materials.
5.6 How incoming materials are treated
and cleaned before entry into the
plant.
Please specify the cleaning system
for the outer surface of the
container.
5.7 How quarantined materials are
segregated from other materials.
How access to quarantined area is
restricted.
5.8 Whether separate sampling area for
active Raw Materials and Excipients
is provided and maintained.
If yes, what is the control on entry of
material and men into the sampling
area. Whether reverse LAF have

been provided for sampling.
Whether log book for sampling
booth maintained.
If not what provision has been made
for sampling so as to prevent
contamination, cross contamination
and mix-ups at a time of sampling.
5.9 Specify the arrangements
provided to sample the primary
packaging materials foils, bottles,
etc which are used as such.
5.10 Pls specify sampling plan used.
Which type of sampling tools are
used and how they are cleaned, dried
and maintained.
5.11 How containers are cleaned before
and after sampling. Who carries out
the sampling?
(Pls specify whether the sampling is
carried out as per the current SOP).
5.12 What precautions are taken during
sampling of photosensitive,
hygroscopic materials?
5.13 What provisions have been made for
segregated storage of rejected,
recalled or returned materials or
products.
How is the access to these areas
restricted.
5.14 How highly hazardous, poisonous
and explosive materials, narcotics,
and psychotropic drugs are handled
and stored.
How these areas are safe and secure.
Is there certification from competent
authority for handling of explosives
etc. If any. Pls attach the certificate
issued by the competent authority.
5.15 How printed secondary packaging
materials are stored in safe, separate
and secure manner.
5.16 Specify the arrangement provided
for dispensing of starting materials.
What is the control on entry of
material and men into the dispensing
area? Whether reverse LAF have
been provided for dispensing with
back ground clean air supply.
Whether pressure differential is
maintained between the dispensing
and adjacent areas.

5.17 Which type of dispensing tools are
used and how they are cleaned, dried
and maintained.
How containers are cleaned before
and after dispensing. Who carries
out the dispensing?
(Pls specify whether the dispensing
is carried out as per the current
SOP).
5.18 How and where sampling of sterile
materials carried out.
5.19 What steps are taken against
spillage, breakage and leakage of
containers?
5.20 What provisions have been made to
prevent the entry of rodents, insects,
birds.
Which substance is used for pest
control and how it is handled.
(Pls specify whether the pest control
is carried out as per the SOP).
5.21 Whether record of master labels is
maintained for comparision to
issued labels?
6 Production Area: -
6.1 Please specify the design of the
manufacturing area which allow uni-
flow and logical sequence of
operations so as to prevent product
contamination/ mix ups.
Is there any criss cross of flow of
materials and men.
Specify the position of IPQC lab in
the manufacturing area .
Please specify whether non storage
areas used for storage of any
material.
6.2 Whether separate dedicated and self-
contained facilities have been
provided for the production of
sensitive pharmaceutical product
like Penicillin, Biological
preparation with like micro-
organism, Beta lactam, Sex
Hormones and Cytotoxic substances.
If yes pls explain how and attach
copy of plan of premises of each
category of drug.

6.3 Please specify the provisions of
storage of dirty, washed and cleaned
equipment parts, tool room, in
process storage areas
etc. Which provide sequential /
logical manner so as to prevent
contamination and cross
contamination?
6.4 Please specify how service lines like
pipe work, electrical fittings,
ventilation openings etc. are
identified by colors for nature of
supply and direction of the flow.
Whether service lines in production
areas are through service pendants.
If not, how they are placed so as to
avoid accumulation of dust.
7 Ancillary areas: -
7.1 Please specify the position of rest
and refreshment rooms and mention
whether they are separate and not
leading directly to the manufacturing
and warehouse areas.
7.2 Are there general change rooms in
plant?
Are toilets, change room separate
from mfg. Area? Pls specify number
of washing station & toilets
provided for number of users.
Whether change facilities separated
for both sexes.
How many sets of protective
garments provided for each
personnel entering production area.
Is there in house general laundry for
garment washing / cleaning? If not
how garments washing are carried
out and monitored
7.3 Whether maintenance workshop is
separate and away from production.
7.4 Whether animals for production or
testing are housed in the facility if so
whether areas housing animals are
isolated from other areas.
Please specify the provision of air
conditioned and ventilation system
for the animal house.
How quarantined, under test and
tested animals housed and
controlled.
How animal carcass are disposed of.
Pls attach copy of CPCSEA.

8 Quality Control Area: -
8.1 Whether QC area is independent of
production area.
Whether QC carries out its own:
physico-chemical testing,
biological testing,
microbiological testing & sterility
testing and
Instrumental testing.
Whether firm is outsourcing testing.
If yes names of the testing
laboratories contacted or approved.
Pls give list of test currently
outsourced.
In case of contractual testing what
are the responsibilities of contract
giver and contract acceptor. (Copy
of the contract should be enclosed)
Are there safety installation such as
shower, eye washer, fire
extinguisher etc in the laboratory.
Is there separate area for humidity
chambers for stability studies. How
many humidity chambers have been
provided. Pls attach stability
calendar.
8.2 Please specify the arrangement
provided for handling and storage of
test samples, retained samples,
reference standards / cultures,
reagents.
Whether retained samples are stored
for a period of 1 year after expiry or
3 years after distribution whichever
is earlier?
Whether separate area for storage of
reagents and glassware provided.
Whether separate records room is
provided.
8.3 How hazardous or poisonous
materials are stored and handled.
8.4 How environmental conditions are
met during the course of storage and
testing of samples.
8.5 Which grade of glassware are used
in assay procedures.
8.6 Whether separate AHU's are
provided for biological,
microbiological and radio iso-topes
testing areas with
HEPA filter arrangement.

8.7 Whether separate areas provided for
sterility testing within microbiology
lab.
Whether support areas are under
AHU.
Whether double door autoclave
provided for sterilization of
materials.
8.8 Whether entry to the sterility area is
through three air lock systems.
What is the air class of these testing
areas and whether pressure
difference is maintained in these
areas?
8.9 Which types of workbenches are
provided in these areas for testing?
When was the last filter integrity
tests performed on HEPA filters
8.10 How waste (cultures etc) disposed
of.
Whether in case of antibiotic
potency testing, statistical proof of
the determination of potency and
validity of the test carried out.
9 Personnel: -
9.1 Whether the manufacturing and
testing of drugs is conducted under
approved technical staff
Names of Technical Staff alongwith
qualification & experience
For Manufacturing: -
For Analysis:
9.2 Please specify whether head of Q.C.
is independent of manufacturing unit
9.3 Name, qualification and experience
of the personnel responsible for
Quality Assurance function.
9.4 Whether responsibilities for
production and QC laid down and
followed.
9.5 Whether adequate number of
personnel employed in direct
proportion to the work load.
9.6 What is the firm‟s policy on training
of personnel at various levels?
9.7 How is Periodic assessment of the
training checked?
10 Health, clothing and sanitation of
workers: -

10.1 Whether personnel handling Beta
lactam antibiotics are tested for
penicillin sensitivity before
employment.
10.2 Whether personnel involved in
handling of sex hormones, cytotoxic
and other portent drugs are
periodically examined for adverse
effect.
(Pls specify whether the current SOP
is followed or not).
10.3 Whether all personnel prior to
employment have undergone
medical examination including eye
examination and all free from
Tuberculosis, skin and other
communicable or contagious
diseases
10.4 Whether there is a SOP for medical
examination.
10.5 Pls give name and qualification of
contracted medical officer for
medical examination.
10.6 Whether investigational reports,
films of X rays etc. preserved.
Whether records of such medical
examination are maintained thereof
10.7 Whether all personnel are trained to
ensure high level of personal
hygiene.
Pls attach training calendar of last
two years.
10.8 Whether proper uniforms and
adequate facilities for personal
cleanliness are provided.
Pls specify nature and type of dress
used by the personnel in
various areas of operation.
How many dress/footwear have been
provided to each personnel.
Please specify whether cross over
bench is in place in the change room
and if so whether it rule out the
possibility of entering dust particle
to the clean side.
Whether arrangements provided for
cleaning of outside dust and dirt
from foot
Please specify whether hands are
disinfected before entering the
production area
Whether for sterile garments in

house clean laundry has been
provided.
11 Manufacturing Operations and
Controls: -
11.1 Whether the contents of all vessels
and containers used in manufacture
and storage is conspicuously labeled
with the name of the products. Batch
no, Batch Size, and stage of
manufacture along with signature of
technical staff.
11.2 Whether the products not prepared
under aseptic conditions are free
from pathogens like Salmonella,
Escherichia coli, Pyocyanea etc.
11.3 If yes, pls give brief account of
measures taken to assure freedom
from pathogens.
11.4 Precautions against mix-up and
cross-contamination: -
11.4.1 Whether proper AHU, pressure
differential, segregation, status
labeling have been provided to
prevent mix-up and cross-
contamination in manufacturing area
11.4.2 Pls specify the areas of dust
generation and mechanism involved
in controlling the dust.
11.4.3 Do all the areas have their own
independent air locks separately for
men and material entry.
11.4.4 What criteria of pressure differential
have been set for production v/s
adjoining areas.
11.4.5 Whether various operations are
carried out in segregated areas.
11.4.6 Whether processing of sensitive
drugs like Beta lactum Antibiotics
and Sex Hormones is done in
segregated areas with independent
AHU and proper pressure
differentials alongwith
demonstration of effective
segregation of these areas with
records.
11.4.7 Please specify what measures has
been taken to prevent contamination
of products with Beta Lactum
Antibiotics, Sex harmons and cyto
toxic substances

11.4.8 What measures has been taken to
prevent mix-ups during various
stages of production.
11.4.9 Whether equipments use for
production are labeled with their
current status.
11.4.10 What is the policy for the use of
Recovery material?
11.4.11 Whether packaging lines are
independent and adequately
segregated.
11.4.12 How line clearance is performed.
Whether records of line clearance is
maintained according to appropriate
checklist
11.4.13 Whether separate coding area has
been provided or online coding is
performed
How coding procedure is controlled.
11.4.14 Please specify how temperature,
humidity and air filtration are
controlled in the areas where raw
material and/or products are exposed
and handled.
11.4.15 How access of authorized persons to
manufacturing areas including
packaging is controlled.
11.4.16 Whether separate gowning provision
is follows before entering into the
procedure.
11.4.17 Whether segregated secured areas
for recall or rejected materials or for
such material which are to be
processed or recovered are provided.
Please specify the room No. of such
areas in the plant.
11.5 Sanitation in the Manufacturing
areas:-
11.5.1 Specify the cleaning procedure of
the manufacturing areas.
Whether cleaning procedure is
validated.
Please specify validation protocol
No. of the same.
11.5.2 Whether the manufacturing areas are
used as the general thoroughfare and
storage of materials not under
process.

11.5.3 Whether a routine sanitation
program is in place.
Please specify detailed account of
sanitation proramme specific to
various areas, equipment.
11.5.3 Dose the location facilitate cleaning
of equipment as well as the cleaning
of the areas in which they are
installed.
11.5.4 Whether production area is
adequately lit. If yes.
Please give lux levels provided in
production, visual inspect
12 Raw Materials: -
12.1 Whether the hard copies of records
of Raw Materials are maintained.
12.2 Please specify the procedures
followed receiving and processing of
in-coming materials (Starting
materials and packing material).
12.3 Whether first in / first out or first
expiry principal has been adopted.
12.4 How they are labeled and stored as
per their status – Under Test,
Approved and Rejected
12.5 Whether incoming materials are
purchased from approved sources.
12.6 What is the procedure for approving
the source for incoming materials.
12.7 Whether the raw materials are
directly purchased from the
manufacturers.
12.8 Whether list of approved vendors is
available to the user.
12.9 How damaged containers are
identified recorded and segregated.
12.10 How damaged containers are
identified recorded and segregated.
12.11 Whether all the containers of each
batch of starting materials is
sampled for identification test.
12.12 Whether labels of raw material in
the storage area have information
like
(a) designated name of the product
and the internal code reference,
where applicable, and analytical
reference number;
(b) manufacturer‘s name, address
and batch number;
(c) the status of the contents (e.g.

quarantine, under test, released,
approved, rejected); and
(d) the manufacturing date, expiry
date and re-test date.
12.13 Whether separate areas are provided
for under test, approved and rejected
materials.
12.14 How control on temperature and
humidity conditions, wherever
necessary, maintained in these
storage areas.
12.15 How the containers from which
samples have been drawn labeled.
12.16 Please specify the procedures by
which it is ensured that the raw
materials which has
been released by the Quality Control
Department and which are within
their shelf life are going to be used
in the product.
12.17 How materials are stacked in the
Stores i.e on Pallets, racks etc.
13 Equipment: -
13.1 Whether the equipments are
designed aiming to minimize risk of
error and permit effective cleaning
in order to avoid cross
contamination, build up of dust
13.2 Whether all equipment are provided
with log book.
13.3 Please specify the procedures to
clean the equipment after each batch
production.
13.4 Whether validity period for use after
the cleaning of equipment is
specified.
13.5 Whether separate area is provided
for storage of machine parts etc.
13.6 Whether balances and other
measuring equipments with
appropriate range are available in
the Raw Material stores &
production areas and they are
calibrated in accordance with SOP
maintained.
Specify the calibration schedule of
the balances.

13.7 Please specify material of
construction of contact parts of the
production equipments.
13.8 Which types of lubricants are used
in the equipment.
Specify the quality and control
reference No. of these lubricants.
13.9 Specify the procedures to remove
defective equipments from
production areas.
14 Documentation and Records: -
14.1 How the documents are designed,
prepared, reviewed and controlled to
provide an audit trail.
Whether documents are approved
signed and dated by appropriate and
authorized person.
Whether documents are approved
signed and dated by appropriate and
authorized person.
Whether documents specify title,
nature and purpose.
Whether documents are regularly
reviewed and kept up to date. If yes.
Please specify review period.
Please attached the list of documents
maintained by the firm
14.2 Whether the records are made at the
time of each operation in such a way
that all significant activities
concerning to the production are
traceable.
14.3 Whether data is recorded by
electronic data processing system or
by other means. If by electronic data
processing system then how access
is controlled to enter, modify etc. the
data.
14.4 Whether master formula and
detailed operating procedures are
maintained as hard copy.
14.5 Who is responsible for maintenance
of these records.
15 Labels and Other Printed
Materials:
15.1 Whether the printing is in bright
colour and legible on labels and
other printed materials.
15.2 How printed labels (art work) are
approved. Is there any SOP for this
if yes please give current SOP No.

15.3 Which colour coding system is used
to indicate the status of a product
and equipment.
15.4 How printed packaging materials,
product leaflets etc. are stored
separately to avoid chances of mix-
up.
15.5 How labels cartons boxes circulars
inserts and leaflets are controlled.
15.6 Whether the samples from the bulk
are drawn tested, approved and
released prior to packaging and
labeling.
How carryout the sampling
15.7 How records of receipt of all
labeling and packaging materials are
maintained.
15.8 Whether re-conciliation of used
packaging materials is maintained.
Whether unused packaging materials
return to the store or destroyed.
15.9 How returned/unused packaging
material like foils is controlled so as
to prevent contamination and cross-
contamination.
15.10 How the labels of reference standard
and culture maintained.
16 Quality Assurance: -
16.1 Specify the comprehensive quality
assurance system maintained by the
firm Inter-alia to cover deviation,
reporting, investigation and change
control.
How the products are designed and
developed in accordance with GMP.
16.2 Please specify the arrangements
provided to ensure that correct
starting and packaging materials are
used for manufacture.
16.3 Please specify the mechanism by
which all control like IP QC
Calibration, Validation etc. are
ensured.
16.4 Please specify the mechanisms to
ensure that the finished product has
been correctly processed and
checked in accordance with the
established procedures.
16.5 Please specify the mechanisms to
ensure that Pharmaceuticals
products are released for sale by
authorization person.

17 Self Inspection and Quality Audit: -
17.1 Whether the firm has constituted a
self inspection team supplemented
with a quality audit procedure to
evaluate that GMP is being
followed. If no. How internal audits
are carried out.
17.2 What is the system of monitoring,
evaluation of self inspection.
17.3 How conclusion and recommended
correcting actions are followed and
adopted.
17.4 What is the frequency of self-
inspection.
17.5 Is there any proforma for carrying
out the self-inspection.
Please indicate the date of last self-
inspection.
18 Quality Control System: -
18.1 Please specify the details of quality
control system of the unit.
18.2 How the reference standards are
stored, evaluated and maintained.
Please provide list of reference
standard and reference impurities
procured from the authentic sources.
18.3 Please specify the procedures of
preparation of working standard
from the reference standards.
18.4 Whether SOPs for sampling,
inspecting, testing of Raw Materials,
Finish products, Packing Materials
and for monitoring environmental
conditions are available.
18.5 Whether approved specifications for
different materials, products,
reagents, solvents including test of
identity content, purity and quality
available.
18.6 How reference samples from each
batch of the products are maintained.
18.7 Who releases batch of the products
for sale
18.8 Whether there is check list for
release of a batch. Please specify
current SOP No. for batch release.
18.9 Please specify the sampling
procedures from various stages of
production.
18.10 How it is ensured that the sample
collected are representative of the
whole batch.

18.11 Please specify the procedures for
carrying out the stability studies.
18.12 Under what condition stability
studies of the products are tested.
How many stability chambers have
been provided.
18.13 How self life is assigned to a
product. Please give current stability
protocol No.
18.14 Whether records of stability studies
are maintained.
18.15 Please attach stability calendar of
last year.
18.16 How complaints are investigated.
18.17 How instruments are calibrated and
at which interval.
18.18 How testing procedure validated
before they are adopted for routine
testing.
18.19 Specify the validation procedure is
responsible for validation of
procedures.
18.20 How validation procedures are
documented (Please indicate various
protocols/ recoding system applied
during validation).
18.21 Whether specifications for raw
materials intermediates final
products and packaging materials
are available.
18.22 Whether periodic revision of these
specifications are carried out.
Please specify No. of STPs being
maintained by the firm.
18.23 Which pharmacopoeias in original
are available in the plant.
19 Specifications: -
19.1 Whether specification of raw
material include.
(a) the designated name and internal
code reference;
(b) reference, if any, to a
pharmacopoeial monograph;
(c) qualitative and quantitative
requirements with acceptance limits;
(d) name and address of
manufacturer or supplier and
original manufacturer of the
material;
(e) specimen of printed material;
(f) directions for sampling and
testing or reference to procedures;

(g) storage conditions; and
(h) Maximum period of storage
before re-testing.
Whether specification of finished
product include
(a) the designated name of the
product and the code reference;
(b) the formula or a reference to the
formula and the pharmacopoeial
reference;
(c) directions for sampling and
testing or a reference to procedures;
(d) a description of the dosage form
and package details;
(e) the qualitative and quantitative
requirements, with the acceptance
limits for release;
(f) the storage conditions and
precautions, where applicable, and
(g) the shelf-life.
19.2 Whether the container and closures
meet the pharmacopial
specifications.
Whether second hand or used
containers and closures used.
20 Master Formula Records: -
20.1 How master formula records are
prepared, authorized and controlled.
20.2 Whether head of production, quality
control and quality assurance unit
endorse this documents. Whether
master formula is batch size specific.
20.3 Whether all products have master
formula containing.
(a) the name of the product together
with product reference code relating
to its specifications;
(b) the patent or proprietary name of
the product along with the generic
name, a description of the dosage
form, strength, composition of the
product and batch size;
(c) name, quantity, and reference
number of all the starting materials
to be used. Mention
shall be made of any substance that
may „disappear‟ in the course of
processing.
(d) a statement of the expected final
yield with the acceptable limits, and
of relevant intermediate yields,
where applicable.
(e) a statement of the processing

location and the principal equipment
to be used.
(f) the methods, or reference to the
methods, to be used
for preparing the critical equipments
including cleaning, assembling,
calibrating, sterilizing;
(g) detailed stepwise processing
instructions and the time taken for
each step;
(h) the instructions for in-process
control with their limits;
(i) the requirements for storage
conditions of the products, including
the container, labeling and special
storage conditions where applicable;
(j) any special precautions to be
observed;
(k) packing details and specimen
labels.
21 Packaging Records: -
21.1 Whether authorized packaging
instructions for each products, pack
size and type are maintained and
complied with.
Whether following are included in
the packaging instructions.
(a) Name of the product;
(b) the pack size expressed in terms
of the weight or volume of the
product in the final container;
(d) complete list of all
the packaging materials required for
a standard batch size, including
quantities, sizes and types with the
code or reference number relating to
the specifications of each packaging
material.;
(e) reproduction of the relevant
printed packaging materials and
specimens indicating where batch
number and expiry date of the
product have been applied;
(f) special precautions to be
observed, including a careful
examination of the area and
equipment in order to ascertain the
line clearance before the operations
begin.
(g) description of the packaging
operation, including any significant
subsidiary operations and equipment
to be used;

(h) details of in-process controls
with instructions for sampling and
acceptance; and
(i) Re-conciliation after completion
of the packing and labeling
operation.
(j) Whether line clearance records
are part of batch packing records.
22 Batch Processing Records
(BPR)
22.1 Whether BPR are based on current
master formula record.
22.2 How BPR are designed to avoid
transcription errors.
Whether the Batch Processing
Records for each product on the
basis of currently approved master
formula is being maintained.
Whether following information are
recorded in BPR
(a) the name of the product,
(b) the number of the batch being
manufactured,
(c) dates and time of
commencement, significant
intermediate stages and completion
of production.
(d) initials of the operator of
different significant steps of
production and where appropriate,
of the person who checked each of
these operations,
(e) the batch number and/or
analytical control number as well as
the quantities of each starting
material actually weighed,
(f) any relevant processing operation
or event and major equipment used,
(g) a record of the in-process
controls and the initials of the
person(s) carrying them out,and the
results obtained,
(h) the amount of product obtained
after different and critical stages of
manufacture (yield),
(i) comments or explanations for
significant deviations from the
expected yield limits shall be given,
(j) notes on special problems
including details, with signed
authorization, for any deviation from
the Master Formula,
(k) Addition of any recovered or

reprocessed material with reference
to recovery or reprocessing stages.
Specify the procedures for all the
entries made in BPR‟s.
(l) Procedure for reprocessing and
policy of the firm for adding of
recovery.
23 Standard Operating Procedure
and Records: -
Whether SOPs and records are being
maintained and complied for the
following.
SOP for receipt of in coming
material
(a) SOP for Internal labelling,
quarantine, storage, packaging
material and other materials
(b) SOP for each instrument and
Equipment
(c) SOP for sampling
(d) SOP for batch numbering
(e) SOP for testing
(f) SOP for equipment assembly and
validation
(g) SOP for Analytical
apparatus and calibration
(h) SOP for maintenance, cleaning
and sanitation
(i) SOP for training and hygiene for
the personal
(j) SOP for retaining reference
Samples
(k) SOP for handling, re-processing
and recoveries
(l) SOP for distribution of the
product
(m) SOP for warehousing of
products.
Whether applicable SOPs are
available in each area where they are
required.
Whether recording formats are
referred in SOP.
Is there SOP for writing an SOP.
24 Reference Samples
24.1 Specify the procedures for collection
of reference samples of active
ingredients and finished
formulations and how they are
stored and maintained.
25 Reprocessing and Recoveries
25.1 Is appropriate Validation of
recoveries and reprocessing done is

being performed?
26 Distribution records
26.1 Whether pre dispatch inspections are
carried out before release.
26.2 Whether periodic audits of
distribution center are carried out to
access warehousing practices
26.3 Whether distribution records are part
of the batch record. If not how batch
wise distribution record up to retail
levels are maintained.
26.4 Whether instruction for warehousing
and stocking of products like LVPs,
Heat sensitive etc are available in
store.
26.5 Whether Good Distribution
Practices followed
27 Validation and Process
Validation: -
27.1 Specify the validation policy of the
company.
Whether validation master plan has
been prepared.
27.2 Whether validation studies of
processing, testing and cleaning
procedures are conducted as per pre
defined protocol.
27.3 How records and conclusion of such
validation studies are prepared and
maintained.
27.4 Whether master formula is based on
approved process validation.
27.5 Specify how significant changes to
the manufacturing process
equipments material etc are
controlled.
27.6 Whether DQ,IQ,OQ & PQ are in
place for all major equipment and
facility.
27.7 Whether validation records of all
utilities and major equipments are
available.
28 Product Recalls: -
28.1 Specify the product recall system
followed by the firm.
How promptly recall operation at the
level of each distribution channel
up-to the retail level can be carried
out.
Whether there is a SOP for recall of
products clearly defining
responsibility, procedure, reporting,

re-conciliation etc.
29 Complaints and Adverse Reactions:
29.1 Specify the review system for
complaints concerning the quality of
products.
29.2 How records of complaint
maintained.
29.3 Whether reports of serious
complaints with comments and
documents immediately sent to
Licensing Authority
29.4 Is there any criteria for action to be
taken on the basis of nature of
complaint.
30 Site Master file: -
30.1 Whether all the relevant information
have been included in the site master
file.
30.2 Whether quality policy has been
included in the site master file.
Please attach the current version
30.3 Is there a master plan (Master
validation plan) covering:
30.4 Resources and those responsible for
its implementation.
30.5 Identification of the systems and
processes to be validated
30.6 Documentation and standard
operating procedures (SOPs), Work
Instructions and Standards
(applicable national and
international standards)
30.7 Validation list: facilities, processes
(e.g. aseptic filling), products
30.8 Key approval criteria
30.9 Protocol format
30.10 Each validation activity, including
re-validation and reasonable
unforeseen events (power failures,
system crash and recovery, filter
integrity failurer. Please attach
validation calendar.
30.11 Pls specify whether the critical
processes validated Prospectively,
retrospectively or concurrently.
30.12 Whether validation of following
performed and documented:
Analytical methods, Production and
assay equipment, Sterile production
processes, Non-sterile production
processes, Cleaning procedures,
Critical support systems (purified

water, water for injections, air,
vapor, etc.), Facilities
30.13 Please list reasons considered
important for validation or re-
validation.
30.14 In case electronic data processing
systems are used, are these
validated?
Please specify whether periodical
challenge tests performed on the
system to verify reliability.
30.15 Are the validation studies performed
according to pre-defined protocols?
Is a written report summarized,
results and conclusions prepared and
maintained? Is the validity of the
critical processes and procedures
established based on a validation
study?
30.16 Are criteria established to assess the
changes originating a revalidation?
Are trend analyses performed to
assess the need to re-validate in
order to assure the processes and
procedures continue to obtain the
desired results?
31 WATER SYSTEM
PURIFIED WATER
WATER FOR INJECTIONS
31.1 Please specify whether waster
system qualification (IQ, OQ and
PQ) has been carried out as per
protocol and repots have been
prepared and maintained.
31.2 Whether IQ protocol include at least
facility review, equipment
specification vs. design, welding
roughness testing on pipelines,
absence of dead points / section in
the pipelines, pipe and tank
passivation, drawings, SOP for
operations, cleaning, sanitation,
maintenance and calibration of
gadgets. Whether its report includes
Conclusion / Summary, description
of the performed assay, Data tables,
Results, Conclusions, Protocol
reference, Revision and approval
signatures.
31.3 Whether OQ protocol include at
least System production capacity
(L/min), Flow type and water rate,
Valve operation, Alarm system

operation and Controls operation?
31.4 Whether its report includes
Conclusion / Summary, description
of the performed assay, Data tables,
Results, Conclusions, Protocol
reference, Revision and approval
signatures.
31.5 Please specify the water whether
Phase 1, Phase 2 and Phase 3 studies
carried out in at PQ stages?
31.5.1 Phase 1 : Whether the operations
parameters, cleaning and sanitation
procedures & frequencies defined.
Whether daily sampling records for
every pretreatment point and usage
point for a period of 2 to 4 weeks
maintained and SOP‘s prepared.
31.5.2 PHASE 2 : Whether daily sampling
records for every pretreatment point
and usage point for a period of 4 to 5
weeks after Phase 1 maintained and
reviewed.
31.5.3 PHASE 3 : Whether weekly
sampling records available of every
usage point for a one-year period.
In the case of water for injections
systems, are the daily sampling
records of at least one usage point
available, with all the usage points
sampled weekly?
Whether results of these records
summarized to show suitability.
Are there personnel training
records?
32 EQUIPMENT
32.1 Are the equipment installation
Qualification (IQ) protocols contains
followings: Introduction, Installation
description, Responsibilities,
Performed tests/assays,
Qualification acceptance criteria and
Data recording and reporting?
32.2 Whether report contains Summary,
Description of performed
tests/assays, Obtained data tables,
Results, Conclusions, Installation
diagrams, Revision and approval
signatures.
32.3 Whether the equipment operation
qualification (OQ) protocols
contains following: Introduction,
Equipment description, Description
of the equipment operation steps

(SOP‘s), Responsibilities,
Qualification acceptance criteria,
Data recording and reporting.
Whether report contains Summary,
Results, Conclusions, Revision and
approval signatures.
32.4 Whether equipment performance
qualification (PQ) protocols contains
followings: Introduction,
Responsibilities, Performed assays,
Qualification acceptance criteria,
Data recording and reporting.
32.5 Whether report contains Summary,
Results, Conclusions, Revision and
approval signatures.
32.6 Whether Preventive Maintenance
Schedule of the equipments is
followed and records available?
33 Analytical Method Validation
33.1 Please specify whether following
Characteristics are considered
during validation of analytical
methods:
— specificity
— linearity
— range
— accuracy
— precision
— detection limit
— quantitation limit
— Robustness.
33.2 Whether Paharmocopial methods are
also validated. If yes, how.
33.3 Whether system suitable testing is
included in testing protocols e.g.
HPLC, GC etc.
33.4 Whether the procedure covers all
aspects of impurity profiling
required
33.5 Whether procedure covers all
aspects of Organic Volatile
Impurities detection and
quantification
34 CLEANING
34.1 Is a validation performed to confirm
cleaning effectiveness?
34.2 Does the protocol define the
selection criteria for products or

groups of products subject to
cleaning validation?
34.3 Is data produced supporting the
conclusion that residues were
removed to an acceptable level?
34.4 Please specify whether the
validation is implemented to verify
cleaning of:
Surfaces in contact with the product,
After a change in product, Between
shift batches.
34.5 Please specify whether the
Validation Strategy include
contamination risks, equipment
storage time, the need to store
equipment dry and sterilize and free
of pyrogens if necessary?
34.6 Whether the cleaning Validation
Protocol include:
a. Interval between the end of
production and the beginning of the
cleaning SOP‘s.
b. Cleaning SOP‘s to be used.
c. Any monitoring equipment to be
used.
d. Number of consecutive cleaning
cycles performed?
e. Clearly defined sampling points.
34.7 Whether Quality Control responsible
of the sampling for cleaning
verification?
34.8 Whether personnel engaged in
cleaning, sampling etc. trained.
34.9 Please specify whether acceptance
limits been set for cleaning
verification and are based on
following criteria:
a. Visually clean.
b. 10 ppm in another product
c. 0.1% of the therapeutic dose?
34.10 Please specify whether detergent
residues investigated and
degradation products verified during
validation.
34.11 Whether validation records include
Recovery study data, Analytical
methods including Detection Limits
and Quantification Limits,
Acceptance Criteria, Signatures of
the Quality Assurance Manager,
employee in charge of cleaning and
the verification from Production and
Quality Control.

35 Air Handling System
35.1 Please specify whether following
parameters have been qualified:
— temperature
— relative humidity
— supply air quantities for all
diffusers
— return air or exhaust air quantities
— room air change rates
— room pressures (pressure
differentials)
— room airflow patterns
— unidirectional flow velocities
— containment system velocities
—filter penetration tests (HEPA)
— room particle counts
— room clean-up rates
— microbiological air and surface
counts where appropriate
— operation of de-dusting
— warning/alarm systems where
applicable.
35.2 Whether strategic tests like Particle
count, air pressure differential, air
flow volume, air flow velocity etc.
included in Air Handling System
qualification.
36 Media fill test
36.1 Whether medial fill tests carried out
twice in a year during normal
working conditions.
36.2 Pls give date of last such test.
36.3 How many units are filled and
tested.
36.4 What is the criterion for
qualification of this test?
36.5 In case of failure of media fill test,
what precautions or actions are
taken.
37 Product Information
37.1 Name of product
37.2 Whether validated master formula is
available?
37.3 Whether specific SOP for product
processing is available?
37.4 Comments on the above SOP
37.5 Process Validation performed for the
product covers all aspects and the
approach is Risk Based
37.6 No. of Batches Produced
37.7 Stability studies
(i) Accelerated

(ii) Real Time
(iii) Whether the expiry date
assigned on the basis of stability
study?
37.8 Whether trend analysis was carried
out and interpretation thereof?
37.9 Whether Annual product review
(APR) is carried out? Whether the
following parameters considered in
the Annual product review?
1 critical in-process control and
critical API test results
2 all batches that failed to meet
established specification(s)
3 all critical deviations or non-
conformances and related
investigations
4 any changes carried out to the
processes or analytical methods
5 results of the stability monitoring
programme
6 quality-related returns, complaints
and recalls and adequacy of
corrective actions
37.10 Is there any complaint received for
the product and If any, whether the
investigation report along with ATR
is maintained?

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