Standard Operating Procedure for Regulatory Compliance Monitoring and Reporting

Purpose

The purpose of this SOP is to establish procedures for monitoring regulatory compliance within the pharmaceutical distribution facility and reporting any non-compliance issues to regulatory authorities, ensuring adherence to applicable regulations and standards.

Scope

This SOP applies to all personnel responsible for regulatory compliance monitoring and reporting activities, including quality assurance professionals, regulatory affairs personnel, and management personnel, within the distribution facility.

Responsibilities

• The Regulatory Affairs Manager is responsible for overseeing regulatory compliance monitoring and reporting activities, ensuring alignment with regulatory requirements and timely reporting of non-compliance issues.
• The Quality Assurance Manager is responsible for implementing compliance monitoring procedures, conducting internal audits, and investigating non-compliance incidents to identify root causes and implement corrective actions.
• All personnel involved in regulatory compliance monitoring and reporting are responsible for following procedures outlined in this SOP and promptly reporting any non-compliance issues or regulatory concerns to designated personnel.

Procedure

1. Regulatory Compliance Monitoring:
   • Establish procedures for monitoring regulatory requirements applicable to pharmaceutical distribution activities, including Good Distribution Practice (GDP) guidelines, product licensing requirements, and import/export regulations.
   • Conduct regular reviews of regulatory guidelines, updates, and changes to ensure awareness of current requirements and alignment of distribution practices with regulatory standards.
2. Internal Audits and Inspections:
   • Perform periodic internal audits and inspections of distribution processes, facilities, and documentation to assess compliance with regulatory requirements, identify areas of non-compliance, and implement corrective actions.
   • Document audit findings, observations, and corrective actions in audit reports, and communicate results to relevant stakeholders for review and follow-up.
3. Non-compliance Reporting:
   • Establish procedures for reporting non-compliance incidents, deviations, or regulatory concerns to regulatory authorities, including the local health authority, FDA, EMA, or other relevant regulatory agencies.
   • Notify regulatory authorities of any significant non-compliance issues or adverse events that may impact product safety, efficacy, or regulatory compliance, and provide timely updates and follow-up information as required.
4. Corrective and Preventive Actions (CAPA):
   • Implement corrective and preventive actions to address non-compliance incidents identified during internal audits, inspections, or regulatory reviews, ensuring prompt resolution of identified issues and prevention of recurrence.
   • Document CAPA plans, including root cause analysis, corrective actions, preventive measures, and timelines for implementation, and track progress through completion to verify effectiveness and closure of non-compliance issues.
5. Regulatory Compliance Records:
   • Maintain accurate and complete records of regulatory compliance monitoring activities, including audit reports, inspection findings, non-compliance reports, CAPA documentation, and correspondence with regulatory authorities.
   • Archive regulatory compliance records in a secure and organized manner to facilitate retrieval, review, and reference during regulatory inspections or audits by external authorities.

Abbreviations

• SOP – Standard Operating Procedure
• GDP – Good Distribution Practice
• FDA – Food and Drug Administration
• EMA – European Medicines Agency

Documents

Reference documents related to regulatory compliance monitoring and reporting may include:

• Regulatory guidelines and requirements
• Internal audit procedures
• Non-compliance reporting forms
• CAPA plans and documentation
• Regulatory correspondence records

Reference

Good Distribution Practice Guidelines

SOP Version

Version 1.0